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Exploring the benefits and dis-benefits of climate migration as an adaptive strategy along the rural-peri-urban continuum in Namibia
Jessica P. R. Thorn\textsuperscript{1,2,3,4} \textbullet{} Penelao Nangolo\textsuperscript{5} \textbullet{} Rebeca Aleu Biancardi\textsuperscript{1} \textbullet{} Sheona Shackleton\textsuperscript{1} \textbullet{} Robert A. Marchant\textsuperscript{2} \textbullet{} Olayinka Ajala\textsuperscript{6} \textbullet{} Guillermo Delgado\textsuperscript{7} \textbullet{} John K. E. Mfune\textsuperscript{4} \textbullet{} Steve Cinderby\textsuperscript{8} \textbullet{} Adam P. Hejnowicz\textsuperscript{1,9}
Received: 29 July 2021 / Accepted: 9 September 2022
© The Author(s) 2022
Abstract
The scale of climate migration across the Global South is expected to increase during this century. By 2050, millions of Africans are likely to consider, or be pushed into, migration because of climate hazards contributing to agricultural disruption, water and food scarcity, desertification, flooding, drought, coastal erosion, and heat waves. However, the migration-climate nexus is complex, as is the question of whether migration can be considered a climate change adaptation strategy across both the rural and urban space. Combining data from household surveys, key informant interviews, and secondary sources related to regional disaster, demographic, resource, and economic trends between 1990 and 2020 from north central and central dryland Namibia, we investigate (i) human migration flows and the influence of climate hazards on these flows and (ii) the benefits and dis-benefits of migration in supporting climate change adaptation, from the perspective of migrants (personal factors and intervening obstacles), areas of origin, and areas of destination. Our analysis suggests an increase in climate-related push factors that could be driving rural out-migration from the north central region to peri-urban settlements in the central region of the country. While push factors play a role in rural–urban migration, there are also several pull factors (many of which have been long-term drivers of urban migration) such as perceived higher wages, diversity of livelihoods, water, health and energy provisioning, remittances, better education opportunities, and the exchange of non-marketed products. Migration to peri-urban settlements can reduce some risks (e.g. loss of crops and income due to climate extremes) but amplify others (e.g. heat stress and insecure land tenure). Adaptation at both ends of the rural–urban continuum is supported by deeply embedded linkages in a model of circular rural–urban-rural migration and interdependencies. Results empirically inform current and future policy debates around climate mobilities in Namibia, with wider implications across Africa.
Keywords Climate mobilities \cdot Environmental migrants \cdot Migration dynamics \cdot Peri-urban settlements \cdot Rural–urban migration \cdot Sub-Saharan Africa
Introduction
Throughout human history, migration has been a commonly adopted strategy for managing risk, exploiting new resources, generating livelihoods and incomes, and for coping and surviving (Muñoz-Moreno and Crawford 2021). In the Anthropocene, environmental factors are increasingly recognised as contributing to human migration (Mastrorillo et al. 2016; Mueller et al. 2020). New terms, such as ‘environmental mobility’ or ‘environmental movements’, have been coined to describe these rising trends (Rigaud et al. 2018). Global forecasts suggest the likelihood of 150–200 million ‘environmental migrants’ by 2050 (Clement et al. 2021; Cundill et al. 2021). The scale of the issue is both vast and urgent and represents a clear human predicament and sustainability challenge, in what is progressively being framed as the ‘environmental migration-development nexus’ (Neumann and Hilderink 2015).
Clearly, environmental mobility is a complex multi-dimensional phenomenon, characterised by duration (e.g. seasonal, permanent, short-, medium-, or long-term), circumstance (e.g. progressive, sudden, proactive, or reactive), destination (e.g. internal or international), and choice (e.g. voluntary or forced) (Waldinger 2015; Rigaud et al. 2018; Clement et al. 2021). Migration is likewise a networked phenomenon, in which individuals, households, and groups are situated within ‘plural social networks’ that influence their ability to cope and adapt (Bilecen and Lubbers 2021). Set against this multi-dimensionality, there is a growing awareness that the environment interacts with non-environmental structural factors such as socio-economic, cultural, historical, political, and institutional conditions to influence migration decisions (Black et al. 2011; Hermans and McLeman 2021; Mastrorillo et al. 2016).
Climate change is increasingly viewed as the preeminent environmental driver of human movement, as the Clement et al. (2021) states: “Mobility is emerging as the human face of climate change” (Rigaud et al. 2018, pp. 1). Consequently, a subset of environmental mobility is progressively being framed through a climate change lens, frequently referred to as ‘climate-induced migration’ or simply ‘climate migration’, which principally encompasses “slow-onset impacts of climate change on livelihoods owing to shifts in water availability and crop productivity, or to factors such as sea level rise or storm surge” (Rigaud et al. 2018, pp. vii).
The climate migration narrative is not without criticism, however. It has been described as potentially misleading because of its frequently highly politicised usage, with the alternative term ‘climate mobilities’ put forward as better encapsulating the way people move as part of normal social life (Boas et al. 2019; Wiegel et al. 2019). Relatedly, climate change—rather than stimulating movement—may also cause people to be locked into a place (Call et al. 2017), giving rise to the much more understudied notion of climate immobility (Zickgraf 2019). Further, the strength of the evidence base for climate migration is often varied, due to, for instance, methodological differences between studies, the scale of studies, or a lack of suitable data (Delazeri et al. 2021).
Where climate is evidently a significant driver, other factors are often perceived by local people to be more proximal. For instance, in Ghana, Bangladesh, and India, few households identify environmental risks as the primary driver for past migration decisions. Instead, households perceive increased drought and insecurity to both reduce future migration intentions (Adger et al. 2021). This resonates with findings demonstrating that migrants frequently avoid or resist environmental explanations, favouring instead economic narratives of migration (Anderson and Silva 2020; Artur and Hilhorst 2012; Black et al. 2011; Hoffmann et al. 2019; McCubbin et al. 2015). In part, this may be indicative of the complex and context-specific nature of climate-related environmental change and human migration, which is reflective of not only the diversity and magnitude of climate drivers but also the characteristics and vulnerabilities of impacted populations (Delazeri et al. 2021; Falco et al. 2019). At the same time, climate change, via its interaction with structural factors, may directly and indirectly influence migration through multiple pathways (Cattaneo et al. 2019; Rigaud et al. 2018).
Whilst acknowledging these important complexities, undeniably, in a more climate-affected world, climate migration or mobilities, especially *internal migration*, is a growing phenomenon—particularly across the Global South (Clement et al. 2021). Across Africa, climate change projections suggest a greater frequency and intensity of natural hazards (Williams et al. 2019), increasing the risks of trade-offs across sectors and resources. Trade-offs particularly manifest through impacts on water availability and seasonal reliability—undermining key components of sustainable development (Mpandeli et al. 2018; Nhamo et al. 2018; Pardoe et al. 2018; Mabhaudhi et al. 2019). For example, changes in the intensity and frequency of extreme events (e.g. drought and floods)—due to changes in rainfall patterns—may reduce agricultural and pastoral productivity and raise food commodity prices (Marchiori et al. 2012; Morrissey 2013; Wiederkehr et al. 2018). Further, as highlighted in Kenya, climate change can enhance domestic livelihood vulnerabilities to exogenous drivers of change (e.g. oil price shocks) (Wakeford 2017). In sub-Saharan Africa, estimates suggest up to 86 million internal climate migrants by 2050 (Rigaud et al. 2018). Recent analyses in West Africa (Rigaud et al. 2021a) and Lake Victoria Basin countries (Rigaud et al. 2021b) suggest up to 32 million and 16.6–38.5 million internal climate migrants by 2050,
respectively. Responding to the sheer scale of the challenge, the United Nations’ International Organization for Migration, in October 2021, launched a decadal institutional strategy on migration, environment, and climate change (IOM 2021).
Today, migration can be seen as a rational climate adaptation strategy (Rigaud et al. 2018; Thiede et al. 2016). Frequently, the decision to migrate as a form of adaptation is often from rural hinterlands, where there is high dependence on climate-sensitive livelihood activities, towards urban centres that can offer alternative means of making a living. In their analysis of 63 studies covering over 9700 rural households in dryland sub-Saharan Africa, Wiederkehr et al. (2018) found that 23% of households employed migration to boost household income, alongside alternative crop, livestock, soil, and water management.
The interactions between climate and the structural factors that create or entrench vulnerability are important in decisions to migrate and be seen as key ‘pull’ factors. For example, Hoffmann et al. (2019) explored the motivation of rural–urban migrants who moved from the Himalaya foothills of Uttarakhand to its capital city, Dehradun. Authors found that education, employment opportunities with the associated income, and facilities were major reasons for migration despite evidence of negative environmental change. These pull factors can be thought of as the benefits of migration, but there are many benefits associated with moving into the urban or peri-urban space that are often not fully considered.
Rising rural–urban migration contributes to unplanned urbanisation and the growth of peri-urban informal settlements. Here, people tend to engage in casual work, self-employment, petty trading, and small-scale informal enterprises, providing a reservoir of goods, services, and labour to the wider city, contributing to a dynamic informal economy (UN-Habitat 2016). Frequently, in these spaces, new migrants and lower-income groups may be pushed to the margins of urban development and, due to the lack of basic infrastructure and often poorly constructed and fragile housing, are not prepared for the increased frequency of climate-related hazards, particularly floods, storm events, or heat waves (Satterthwaite et al. 2020). They may also face many other challenges such as a lack of basic services like water and sanitation creating greater health risks (Niva et al. 2019). Vinke et al. (2020) point out that the adaptive benefits and dis-benefits of migration are highly community specific and contingent, as migration is frequently not an anticipatory process, nor is it a first-choice option in cases where migration involves an entire household, and indeed it may lead to increased deprivation and vulnerability. Here, we define dis-benefits as the negative consequences of human-resource interactions or loss from climate migration that can be managed and mitigated at varying scales and levels (Dennis et al. 2020; Mycoo et al. 2022; Lázár et al. 2020; Rendon et al. 2019; United Nations 2021).
However, peri-urban areas are dynamic and form a functional space connecting the urban to the rural (via housing, infrastructure, health, education), people and landscapes via flows of goods and services, financial investments, and culture and family (Hutchings et al. 2022; UN Habitat 2016). Cities drive change in rural areas via increasing demand for rural food production (Suckall et al. 2015), off-farm employment opportunities, and the emergence of new markets (FAO 2020), whilst urban-based households depend on rural exchanges to maintain diversified livelihoods. Reciprocal movements back and forth, between rural and peri-urban areas, are tied to strong familial and social networks and the development of multi-local livelihoods, which can be seen as an adaptive strategy in both rural and urban contexts (Djurfeldt 2015; Dodman et al. 2017).
Often only particular members of the family may migrate (e.g. men, youth) which maintains the linkages between those migrating and those staying behind. This is the notion of the so-called stretched family (Porter et al. 2018). Gender, due to its dynamic nature, shapes key vulnerabilities that influence climate migration, particularly through the structuring and stratification of roles in the household and labour markets (Macgregor 2010; Lama et al. 2021). In many cases, this can further enhance pre-existing gender inequalities; in other cases, this can elevate women’s positions and bargaining capacities (Rao et al. 2019). Recent research has also suggested that temporary migration between rural and urban areas may be a more effective adaptation strategy than permanent migration for climate-vulnerable households and communities (Mueller et al. 2020). This strong, reciprocal connection between the rural and the urban could help overcome some of the dis-benefits of migration and strengthen the benefits. Hence, migration as adaptation is highly nuanced and context-specific and a mix of benefits and dis-benefits that are traded-off (Vinke et al. 2020).
Although there is a small but growing body of research concerning environment and climate migration in sub-Saharan Africa, for example, in Burkina Faso (Henry et al. 2004; Nébié and West 2019), Ethiopia (Gray and Mueller 2012; Morrissey 2013; Hermans-Neumann et al. 2017; Groth et al. 2021), Ghana (Adger et al. 2021), Malawi (Lewin et al. 2012; Suckall et al. 2015), Mali (Grace et al. 2018), Mozambique (Anderson and Silva 2020), Niger (Afifi 2011), Nigeria (Dillon et al. 2011), South Africa (Mastrorillo et al. 2016), Tanzania (Hirvonen 2016), Senegal (Hummel 2016), Uganda (Call and Gray 2020), and Zambia (Nawrotzki and DeWaard 2018), there is no overall coherence to this developing corpus of work which limits our understanding of how individuals utilise migration as an potential adaptive strategy. A lack of evidence on the feedback channels by which climate affects migration patterns
acts as a further impediment to our understanding (Mueller et al. 2020). Meanwhile, most of the research funding and local implementation in the sub-Saharan African region related to climate resilience focuses on ‘rural’ (e.g. agrarian) themes; even though climate also concerns urban areas and the connections between the rural and urban (Satterthwaite et al. 2020). Understanding the benefits and dis-benefits of migration as a climate adaptation strategy for individuals and their families living across rural and peri-urban areas is crucial for improved monitoring and prediction of internal patterns of migration, for identifying the consequences of such mobility for the communities of origin (rural areas) and communities of destination (peri-urban areas), for managing issues associated with the movement of people and resource flows, and for developing policies and strategies to build resilience to climate change (Borderon et al. 2018). This necessitates understanding not only local, but regional and national trends.
Motivated by these knowledge gaps, we explore the benefits and dis-benefits of rural-peri-urban climate migration and the ensuing rural-peri-urban linkages in Namibia since independence. Peri-urban areas have grown rapidly, concomitant with the general increase in urbanisation since independence, with fewer affordable houses and land supply not meeting demand (Weber and Mendelsohn 2017). Our purpose is to use climate as a lens through which to view reciprocal rural-peri-urban migration, which then lays the ground for a conversation with, for example, traditional structural drivers of mobility, such as economic motivators. In this way, we do not fall into the trap of focusing purely on the climate dimension as a separate issue to the detriment of socio-economic and political factors that may be more front and centre in decision-making around whether to migrate or not. We address the need to understand drivers (push and pull), patterns, and outcomes of migration, particularly for vulnerable communities, along the rural-peri-urban continuum. To this end, our research questions are as follows: (1) what are the patterns of climate change and internal regional migration flows? and (2) using Everett Lee’s influential migration model (Lee 1966), which assesses migration from the perspective of migrants (personal factors and intervening obstacles), areas of origin, and areas of destination, what are the benefits and dis-benefits of climate migration as an adaptive strategy?
From the late 1970s, several laws were repealed, instantiated by the South African apartheid administration, constraining the movement of people based on ethnicity (Pickard-Cambridge 1988). Since the 1930s, populations were regulated and much of the land of Northern regions reserved for commercial farming. The 20-year period following independence in 1990 saw the country shift from a primarily rural to urban population (from 44.8 to 55.2%) and move towards a younger society (37% ≤ 15 years, 5% ≥ 65 years, 21.8 years median age) with a lower-than-average level of fertility (3.6 children/woman compared to the sub-Saharan African average of 5) (Pendleton et al. 2014; Demographic Dividend Study Report 2018). Second, as the most arid country in Southern Africa, the connections between water, energy, and food sectors and climate are strong, particularly in terms of spatial interdependencies as well as physical and socio-economic exposure (Republic of Namibia 2002). For example, climate change impacts are manifesting through decreases in water availability, increases in energy prices, limited pasture availability, and rising vector- and water-borne diseases such as malaria, dengue, and cholera (Conway et al. 2015). Multiple droughts have occurred since 2014, with recurrent intermittent wildfires (Kapuka and Hlásny 2020). Climate change is adversely impacting subsistence and commercial agriculture crop and livestock production, which are key sectors for labour income (Humavindu and Stage 2013). Sudden onset flooding events from erratic seasonal rain is high in the northcentral regions of Oshikoto, Omusati, Ohangwena, and Oshana. Future projections of rainfall changes (~ 10–20%) across Angola and Zambia by 2050 suggest reductions of 20–30% in runoff and drainage of perennial rivers in northern Namibia. Meanwhile, central regions will likely experience increased heat stress (World Bank 2021a, b). Third, while Namibia has developed a modern economy with a 30-year average GNI growth rate of 3.75% (Online Resource 1 Fig. S1 and S2), it continues to suffer from persistent macroeconomic imbalances coupled with long-standing issues of inequality. The Gini coefficient in 2015 was 59.1%, making it the second most unequal country worldwide (World Bank 2021a, b). Many communal areas still feel multiple levels of neglect from public service delivery and lack of land rights, undermining communal land managers’ self-sufficiency (Mbidzo et al. 2021).
Namibia has a varied biocultural and geological diversity and climate. With an area of 824,292 km² and a population of only 2.49 million, Namibia is the second most sparsely populated country in the world (2.5 people/km²) (NSA 2011). Topographically, Namibia has a low-lying Atlantic coastal region, whilst the elevation increases inland. Climatologically, the country is hot and dry with uneven rainfall, experiencing average annual coastal temperatures of 16–22 °C in the north central and eastern areas, with interior climes exhibiting hotter and colder extremes. Rainfall varies considerably north to south, averaging 25 mm year⁻¹ in the south to 600 mm year⁻¹ in the northeast.
The principal land types are savannah (64%), dry woodlands and forests (20%), and desert (16%) which crosscut and interconnect to create four biomes: Succulent Karoo, Namib Desert, tree and shrub savannah, and Nama Karoo (Kapuka and Hlásny 2020). We studied the most populous regions (Fig. 1) which also have high climate risk, namely, Khomas in central Namibia and Omusati, Oshikoto, Oshana, and Ohangwena in northcentral Namibia (formerly Owamboland). While these areas represent only 10% of the country’s land surface area, they are home to about half of the population (Angula and Kaundjua 2016).
**Data collection**
To combine fine resolution data in rural and peri-urban areas and account for spatial–temporal variability, we applied an interdisciplinary mixed-method approach. We combined key informant interviews and household surveys with longitudinal trend analysis of disasters, resource consumption and production in the water, energy, and food sectors using secondary data.
**Household surveys**
Following Hummel (2016), we administered 330 household surveys in nine informal settlement destinations in Windhoek, in settlements of Okuryangava Kilimanjaro \((n = 25)\), Okuryangava Okahandja Park No. 3 \((n = 25)\), Havana Kabilu \((n = 25)\), Havana Cuba \((n = 25)\), Okuryagava Ombili Hakahana Namibia Nalitongwe \((n = 25)\), Okuryangava Ombili Hakahana Eehambo Danehale \((n = 26)\), Okuryangava Ombili Onididotuela \((n = 49)\), Okuryangava Ombili Jonas Haiduwa and Haiduire \((n = 51)\), and Okuryangava Ombili Epandulo \((n = 7)\). We selected settlements using the following criteria: (a) high population growth, (b) local expertise indicated that the sites were broadly representative of the area, and (c) we had permission to work in the sites. Within those settlement areas that met our criteria, households were randomly sampled. The sample represented a 57:43 female/male ratio. Respondents ranged in age from 19 to 75 years, averaging \(41.3 \pm 0.61\) years, and represented 27 ethnic groups, predominantly Omuwambo (68.8%), Kavango (13.6%), and Herero (3.6%). We collected the data between 2018 and 2020 in the dry and wet season. We asked participants when they moved to their current residence and where they moved from and to articulate what their motivations, aspirations, and obligations to migrate were in relation to both their community of origin and destination (Porst and Sakdapolrak 2020). Household surveys were designed and captured using Qualtrics\textsuperscript{XM} online survey software and were administered in situ using a Samsung Galaxy tablet A7. Following the completion of each respondent survey, data was uploaded onto the secure online survey platform. After completion of the full household survey, survey data was processed and then analysed using Excel Office 365.
**Key informant interviews**
We conducted informal semi-structured interviews with 125 key informants across six towns (Fig. 1). Towns in the geographic regions of interest were chosen based on the following criteria: (a) they were the origin of the largest proportion of migrants according to our household survey; (b) they have been historically more exposed to extreme climate-related hazards than other settlements; and (c) they are distributed across a rainfall gradient (wetter to drier). On pragmatic grounds, participants were recruited using snowball sampling and included local authority divisions \((n = 17)\) (e.g. human settlements, disaster risk reduction, urban and transport planning, city CEO, mayor), national government \((n = 6)\) (e.g. Namibian Statistics Agency, Ministry of Environment and Tourism), non-governmental and community-based organisations \((n = 21)\) (e.g. Namibian Housing Action Group, Desert Research Foundation, Namibian Chamber of Environment), private companies \((n = 17)\) (e.g. town planners, architectural firms, consultants), community leaders and residents \((n = 41)\) (e.g. Shack Dwellers Federation leaders), researchers \((n = 10)\) (e.g. University of Namibian, Namibian University of Science and Technology), elected councillors and politicians \((n = 8)\), and multilateral organisations and donors \((n = 5)\) (e.g. UNDP, FAO, GIZ, British High Commission). Interview topics covered migration flows; how adaptation is supported or hindered by migration; non-climatic drivers of migration; resource flow connections between markets, settlements, and production sites; and interlinkages in marketed and non-marketed commodities. Following Gemenne and Blocher (2017), anonymised interview transcripts were deductively coded using NVivo (12.0). Key themes corresponded to patterns of migration flows, direct and indirect climatic and non-climate drivers, and rural–urban linkages and the benefits and disbenefits of migration for migrants themselves, communities of origin, and destination. We acknowledge that our sampling is small compared to the overall population’s size and there is potential for bias; however, efforts were made to reach across scales of administration and government, as well as public, private, and civil society sectors, and thus connect with a diversity of actors and stakeholders operating in this space.
**Secondary data sources**
Following Call and Gray (2020), we analysed secondary data, as summarised in Table 1. We chose 10-year intervals to compute change over time between 1990 and 2019 for quantitative trend analysis. Due to the spatial and temporal resolution of secondary data types and availability, our focus centred on describing and identifying patterns and associations rather than developing causal links to populate models of migration. Where possible, we performed trend analysis, compared means including post hoc multiple
comparison tests, and generated graphical outputs of associations. One-way ANOVAs compared mean variances, while Tukey’s HSD tests examined multiple comparisons. IBM SPSS (v. 27) was used to perform statistical analyses. Sankey diagrams were generated in Excel (Office 365) using the Power-User package. Maps were generated in ArcGIS Pro. Namibian dollar (NAD) values were converted to USD because this is an international currency widely used (1USD = 14.37NAD).
Results
Recent changes in climate-related hazards in north central and central Namibia
Since independence, Namibia has experienced 26 large-scale events spanning 13 floods, eight droughts, and five parasitic, water-related epidemics (Fig. 2). Comparatively more flooding occurred in the north, while droughts dominated in the central and southern regions. Coupled to the geographical heterogeneity of these extreme events is a regional bias in their frequency, with climate-related disasters being higher in the north compared to central and southern regions. Major events occurred in 2000–2002 which affected eight regions, with the impacts during 2010–2011, 2013–2015 and 2019 being especially notable (Fig. 3). The intensity and frequency of these hazards had significant impacts on livelihoods of tens of thousands of people, degrading social networks, disrupting community institutions, and exacerbating land use change.
In north central Namibia, seasonal flooding is connected to the Cuvelai Basin hydrological regime, where water accumulated in the Angolan Highlands moves downstream to the floodplains and interconnected shallow water courses (oshanas). These annual floods (efundja)
Table 1 Data used in analysis. The main sources of data were the population censuses, the most current interim census data from 2015, and the recent labour force surveys of Namibian Statistics Agency (NSA)
| Variable | Description of variable | Temporal scope | Spatial resolution | Source |
|-----------------------------------------------|----------------------------------------------------------------------------------------|-------------------------|-------------------------------------|-----------------------------------------------------------------------|
| Population | Changes in population growth rates (% annual growth, % total population, for rural and urban) | 1991–2019 | Constituency level, if unavailable regional and then national level | Population Censuses (NSA 1991, 2001, and 2011), Labour Force Survey (NSA 2016a, b 2017, 2018), World Bank Data Portal |
| Climate-related hazards | Frequency of notable climate-related hazards (floods, droughts, epidemics) including the number of people impacted by those disasters | 1990–2019 | National/Regional scale | EM-DAT data (https://www.emdat.be/) |
| Remittances | Personal remittances, paid and received (current USD) | 1990–2019 | National scale | World Bank Data Portal (https://data.worldbank.org/) |
| Remittances as a source of household income (% households / region) | Remittances as a source of household income (% of households per region) | 2001, 2011, 2013, 2014, 2016, 2018 | Regional scale | Population Census (NSA 2001 and 2011), Labour Force Survey (NSA 2013a, b, 2014, 2016a, b, 2017 and 2018) |
| Socio-economic data | Wages, salaries, business activities, subsistence communal farming (% of households per region) | 2011, 2011, 2013, 2014, 2016, 2018 | Regional scale | Population Census (NSA 2001 and 2011), Labour Force Survey (NSA 2013a, b, 2014, 2016a, b, 2017 and 2018) |
| Internal migration | Migration status and regional flows of migrants | 2011 | Regional scale | 2011 Population Census Atlas (2013); National Migration Report (NSA 2015) |
| Agricultural production | Cereal production—millet and sorghum (tonnes) | 1997–2003, 2011–2019 | Regional scale | Central Bureau of Statistic (2004); Ministry of Agriculture, Water and Forestry (2018) |
| Agricultural Stress Index (ASI) | Percentage of the cropped or grassland areas within each administrative region affected by drought, as derived from Earth observations and defined over the course of the growing season | 1990–2019 | Administrative area | FAO 2020 |
| Annual mean Vegetation Health Index (VHI) | VHI illustrates the severity of drought based on the vegetation health and the influence of temperature on plant conditions | 1990–2019 | Regional | FAO 2020 |
| Dam water levels | Water levels assessed by volume (Mm$^3$) and content (%) | 1999–2019 | Calueque, Olushandja, Omatako, Swakoppoort, Von Bach | NamWater (pers. comm) |
| Sources of water | Private tap, public tap, bore hole, well/dam/river/stream/canal | 2001, 2011 | Regional | Namibia Population and Housing Census Report (NSA 2001; 2011) |
| Sources of energy | Electricity and wood/charcoal utilisation (% number of households) | 1991, 2001, 2011 | Regional | Namibia Population and Housing Census Report (NSA 1991; 2001; 2011) |
| Electricity provision | Electricity production and import (MWH) | 2015–2019 | National | NamPower (2020) |
| Elevation, slope, hillshade | National elevation (masl) | 2015 | National | NASA STRM (2015) |
| Landcover | National land cover | 2019 | National | Buchhorn et al. (2020) |
| Rainfall | Tropical Rainfall Measuring Mission (TRMM) data (mm) | 2011 | National | Tropical Rainfall Measuring Mission (TRMM) (2007) |
| Waterways, railways, populated places | Key landscape features | 2021 | Windhoek | Open Street Maps (2020) |
| Administrative boundaries | Administrative boundaries | 2020 | National | NSA (2012) |
Since the 1930s, droughts have impacted large portions of the country, with the 1970–1971 droughts declared the most devastating pre-independence. More recently, the 2015–2016 drought period was especially brutal, affecting 580,000 people with an estimated 80,000–500,000 livestock deaths (Kapuka and Hlásný 2020). In the past, pastoral transhumance practices allowed for the temporary evacuation of drought-stricken range in favour of...
reserve grazing elsewhere. Such temporary evacuation was facilitated by state-owned areas for emergency grazing. However, with increased commercialisation and land privatisation, this system no longer operates. Instead, only commercial farmers that can rent grazing land retain this practice and procure supplementary feed for livestock.
Communal areas of permanent and semi-permanent cropland are mostly found in the north central region, making people living here particularly vulnerable to climate change (Online Resource 2 Fig. S3-6). Overlaying crop production with years of significant droughts clearly shows associated reductions in cereal harvests across all regions. A 30-year analysis of the Vegetative Health Index indicates that years of major climate-related hazards are associated with the highest vegetation stress (< 35%), while spatial analysis of the Agricultural Stress Index indicates growing drought affecting most severely grassland and cropland areas of the north central regions. We also found, in the north central regions, that the source of household income comes predominantly from subsistence activities.
Fig. 3 The figure shows the numbers of people impacted by climate-related disasters during 1990–2019 where notable disaster events (floods, droughts, and epidemics) occurred. Source: EM-DAT
Patterns of internal regional migration flows
Net regional migration flows (Fig. 4), reproduced from the 2011 census, reveal significant southerly migration from the north central region, mostly from Omusati and Ohangwena, to the central Khomas region, where the capital Windhoek is located. Here, in-migration levels are approximately 75.2%, with Erongo also exhibiting high in-migration (68.6%), while lower levels of migration occur in Karas (15%) and Otjozondjupa (12.9%). Significantly, Khomas and Erongo had more than 40% of their population born elsewhere. Conversely, out-migration ≤ 21.1% occurred in eight of the 13 regions, with the highest levels in Ohangwena (21.1%) and Omusati (17.6%). Although rural to peri-urban flows predominate, reciprocal peri-urban to rural migration patterns are also observed. Illustrating this latter point, one household respondent from Havana, Windhoek, described: “I am just here to sleep, go to work and accumulate money and go back home when I’m old” (R.K., 14/01/2019).
Insights from key informants and the household survey suggested that people’s movement across the landscape is often a staged process, moving from smaller to larger urban areas and then back again. Further, young people (15–24 years old) were also more likely to migrate than older people—as explained by a researcher: “Service delivery is slow, and the youngsters become frustrated. Young people who are unemployed come to look for work or come to study and for more places of recreation. They accumulate and then go back when they are old” (W.S., 10/01/2018). In peri-urban centres, 26.1% of young migrants choose to migrate to gain independence from landlords \((n = 86)\), and another 11.5% migrated to gain independence from extended family members or escape overcrowded living conditions \((n = 38)\). Although more research is needed, many respondents during the household survey stated that men were more likely to migrate than women, due to traditionally higher decision-making power, access to resources, and fewer caring commitments.
One outcome of these inter-regional migration flows is a contribution to changing population demographics. Between 1991 and 2019, rural populations declined from 72.3 to 48.9%, contrasting with urban populations that almost doubled from 27.7 to 51.0%. During the same period, the rural population annual growth rate decreased from 3 to −0.1%/a, while urban population annual growth rates remained relatively constant from 4.3 to 3.9%. The highest urban annual growth rates were in Oshakati (6.9%), Outapi (5.4%), and Windhoek (4.2%) (Online Resource 3 Fig. S7 and Table S1). While population growth size itself is not indicative of migration, it does infer the overall trend of a shift from a rural to an urban society, and that growth is occurring not only in the central but also north central and north-western centres.
Data from our household survey revealed two interesting points. First, only 26.7% \((n = 89)\) of respondents specified that they came from locations outside Windhoek, while the majority (73.3%) stated they came from other informal settlement locations within the city. This gives a sense of the transience of people’s dwelling places and movements within the peri-urban landscape. This data also suggests that people are beginning to identify these settlements as home—as one respondent remarked: “Some people all they know is the city, this is their only home” (G. D., 10/01/2019). Most (76.9%, \(n = 256\)) household respondents living in Windhoek’s peri-urban settlements had been there for 10 years or less, while 22.2% \((n = 74)\) had lived there for more than 10 years, with the average being \(8.2 \pm 0.3\) years. Second, of the 26.7% of those who did identify origin locations outside of Windhoek, our data
corresponds with the national data, with more migrants originating from the northern region. Fifty eight of the 89 respondents said they had moved from the northern Omusati, Oshana (Oshakati), and Kavango regions—especially Rundu and other urbanised centres north of Etosha National Park—10 had come from the eastern region of Omaheke from places such as Gobabis and Tlhabanelo, while 7 came from places in the west, namely, Walvis Bay and Swakopmund. Towards southern Namibia, four of the migrants arrived from Rehoboth in Hardap and Keetmanshoop in Karas. In the central region, 10 came from Otjwarongo and Grootfontein in Otjozondjupa.
**Benefits and dis-benefits of climate migration as a climate adaptation strategy**
In this section, we draw on data from all our primary sources (household survey and key informant interviews) and national statistics.
**From the perspective of the migrant**
Vibrant urban centres with generally higher entrepreneurial-based comparative advantages and earning power are attractors for migrants. Such migrants seek to diversify away from a dependence on agricultural production, increase their household incomes, and elevate their socio-economic status. Wages and salaries, indicative of formal sector employment, as a percentage of household income vary significantly across regions ($df = 5$, $F = 139.538$, $P = 7.84 \times 10^{-20}$), ranging from 13 to 77% (Online Resource 4 Fig. S8). Tukey’s HSD test revealed that the contribution of wages and salaries to households in the central Khomas and Otjozondjupa regions is significantly higher compared to all north central regions (<0.001), while in the northern regions, we observed significant differences between Oshana, Ohangwena, and Omusati (<0.001), Ohangwena and Oshikoto (<0.001), and Omusati and Oshikoto (0.003).
The pull factors of wages and business in urban areas in central regions, combined with the impacts of climate change drivers on pastoral and agricultural activities in the north central regions, were explained by a town planner: “When livestock dies from drought it means wealth goes down the drain. Horticulture cannot be continued. There is a snowball impact on the poverty cycle. If this happens in the rural areas people can’t do anything and come to Windhoek to find a job. It’s a harsh reality” (R.S., 10/01/2018). A Shack Dwellers Federation representative of the settlement of Freedom Square went on to describe: “In the past, the Herero pastoralists thought the urban centre was a nuisance. But climate change changed their outlook. When they were hard hit from drought, their herd was reduced from a few hundred to a few which were no longer commercially viable. So, they came to Gobabis to sell their cattle on auction and buy emergency feed, water, or accumulate financial reserves” (M.S., 23/01/2020).
Despite the lure of formal sector salaries and wages, almost a quarter (23.6%, \( n = 87 \)) of household survey respondents derived their income from working in the informal economy (e.g. small business traders, construction, security guards, domestic workers, taxi drivers). Nonetheless, labour force surveys do not adequately capture the informal economy, and so it is likely that nationally derived figures underestimate the income earning opportunities in peri-urban and urban areas. A sizeable percentage (37%, \( n = 121 \)) of respondents were also unemployed, indicating that the promise of new income opportunities is not always realised. Additionally, income benefits are not equally realised across genders; in the case of women migrants, their earning potential is less than that of men (USD 144.12 ± 11 vs. USD 195.71 ± 15.05 per month).
In the face of growing water insecurity, climate migration releases the burden of time spent collecting water and the need to walk further for wells and boreholes during droughts. Differential access between regions is shown in Online Resource 5 Fig. S9, where between 2001 and 2011, ≥50% households in the central region had access to safe water in the form of treated piped water inside their dwellings. However, in the north central region, most areas did not, except for the Oshana region. Another benefit for migrants is the water supply in the central region that is more secure than in the north central region. Khomas and Otjozondjupa regions are supplied with water from a three-dam system. Omatako, Swakoppoort, and Von Bach dams, supplemented by water from Kombat and Berg Aukas Mines, boreholes, and a reclamation plant, whereas the north central region is supplied by the Calueque dam and the Olushandja dam (Online Resource 5 Fig. S10).
Climate migration to urban centres is considered to allow better access to education and healthcare. Whilst perceptions of better education services are high, we found migrants in peri-urban areas who remain poorly educated: 12.4% (\( n = 41 \)) of the sample had no access to schooling, while 31.5% (\( n = 105 \)) had only primary level education. From a healthcare perspective, our analysis of the 2016 intercensal demographic report showed that 33% of households in Namibia are < 1 km to the nearest hospital or clinic and 32% between 2 and 5 km. Urban households travel shorter distances to get to hospitals; 48% are within 1 km compared to 15% for rural households. Deprivations in rural areas, such as poverty, malnutrition, unsafe sanitation and hygiene, and limited access to health facilities, are amplified by climate hazard impacts such as flood-related breakdown of infrastructure and post-disaster waterborne diseases outbreaks like cholera, hepatitis E, polio, and meningococcal disease. However, only 1.5% (\( n = 5 \)) of household respondents had flushing toilet facilities inside or close to their homes, and due to dependence on shallow pit latrines, water-related and vector-borne diseases in peri-urban settlements are common. Moreover, as a group of residents noted: “A lot of people use valley for the toilet because the public toilets been broken for so many years. When it rains, in the lower areas the water is contaminated, and after it rains, the riverbed smells”. Despite this, 60% (\( n = 200 \)) of respondents in the household survey regarded Windhoek’s treatment and sewerage systems as well functioning.
Conversations with various key informants suggested that migration offers the possibility of better access to affordable energy and that in urban centres, access to electricity supports adaptation directly through mechanised cooling or indirectly through allowing people longer days to be educated and earn income. Our analysis of the 1991, 2001, and 2011 Namibia Population and Housing Census supports this, in that there is still a reliance on charcoal and wood in the north central regions, compared to electricity in the central regions (Online Resource 6 Figure S11). Nevertheless, we found that in peri-urban settlements, 97.9% (\( n = 326 \)) of household survey respondents did not have formal access to electricity, acknowledging that there may be regular illegal tapping of energy supplies. One plausible explanation for this is that most residents living in makeshift housing constructed without planning or building codes are explicitly denied the ability to upgrade or invest in housing due to a lack of tenure; 98.5% (\( n = 328 \)) of household respondents had illegally settled on the land.
**From the perspective of the communities of origin**
Analysis of the national remittance statistics showed an exponential increase in received remittances at the national scale in the last three decades, and this decadal increase was highly significant (\( df = 2, F = 37.961, P = 1.4270 \times 10^{-8} \)) (Fig. 5). It is likely that these sources of income help communities of
Fig. 5 National remittance data. Yearly value of personal remittances paid and received (orange and blue lines), at the national scale, between 1990 and 2019. Personally received remittances increased substantially from USD $13.56 \pm 1.84$ million (SD) in 1990–1999, to USD $19.13 \pm 20.46$ million in 2000–2009, to USD $63.90 \pm 13.39$ million in 2010–2019. Paid remittances also increased from USD $14.81 \pm 5.61$ million in 1990–1999, to USD $22.01 \pm 18.93$ million in 2000–2009, to USD $80.87 \pm 27.34$ million in 2010–2019. The main graph also depicts the annual fluctuation in the value of remittances received compared to the previous year (grey bars) during the same period. The smaller inset graph displays the summative decadal value of remittances received.
origin to buttress livelihood losses, stabilise income, and fund basic living needs such as food, education, consumer goods, and home improvements. When comparing cash remittances as a source of household income, the Oshana region had the highest level of remittances, and Otjozondjupa had the lowest, but this difference across regions not significant ($df=5$, $F=1.178$, $P=0.343$), and ranged between 1.9 and 16.9% of household income between 2001 and 2018.
In addition to cash remittances, climate migration facilitates the exchange of non-marketed products from urban to rural communities and vice versa. Respondents described that in response to climate shocks, urban relatives send construction materials, clothes, or medicine to rural areas. This suggests that migration serves as a meaningful developmental opportunity for the community of origin when links are maintained. Indeed, communities may also retain strong cultural connections to their community of origin, as an NGO representative explained: “The Aawambo people residing in Windhoek, always say we are from the north. So, there is always that link, we don’t permanently move. We come back when we are retired or when we are about to finish our contract on Earth. People feel comfortable there, it is our land, and the soil is fertile” (R.K., 06/02/2020).
Nonetheless, there are negative consequences of climate migration for communities of origin. Communities of origin often experience a shortage of labour or skills due to high out-migration, resulting in a human capital deficit. At the same time, climate migration can have gendered impacts too. Key informant respondents indicated that the out-migration of men can cause a redistribution of household labour and increase demands on women in the short term, who engage not only on on-farm labour but often set up community development initiatives such as early childhood development centres.
From the perspective of the communities of destination
Rural resource flows increase urban climate resilience and reduce vulnerabilities, especially in relation to urban food security. Key informant interviews revealed that those residing in peri-urban settlements clearly regard their rural communities and households as important sources of food security, which is a primary benefit of strong social familial ties. Northern regions of Namibia supply peri-urban residents with products such as cereals (e.g. pearl millet (*mahangu*)), cassava, meat, poultry, dairy products, tubers, and other food supplies that do not need to be refrigerated. At the same time, food and non-food products from rural areas can be sold in urban markets, products such as medicinal plants (e.g. devil’s thorn, buffalo thorn), livestock, veld products, forest products (fuelwood), artisanal crafts (e.g. makalani nuts), as well as tree seeds (e.g. marula, wild date, mulberry, baobab, camelthorn, sweet thorn, *moringa*). The financial benefits derived from these products can be particularly welcome sources of income during inflationary periods,
which often coincide with drought periods, because rural populations typically sell commodities at lower prices than imported alternatives. Beyond commodities, migrants offer human capital for instance in the form of skills, knowledge, and experience to help drive community development and labour and expertise to develop infrastructure.
On the other hand, climate migration—whilst benefiting an individual or household—can contribute to unplanned urban growth, proving a challenge to the community of destination. As a representative of the municipality described: “It’s illegal to put up the shacks. Some people are doing it during the weekend while the municipal officers are not working. So, when you wake up in the Monday, he [the informal settlement dweller] is already sleeping and cooking nice food (R.K., 09/02/2020)”. This can lead to conflict, competition, and tension in peri-urban settlements. Land settlement also puts pressure on municipal budgets, as the same senior official went on to explain: “If people settle on the land, the more the informal settlements grow, bringing more cost and burden for the city council. We don’t generate any tax from the informal settlements, so if they are to expand, the more the challenge (R.K., 09/02/2020)”. Conflicts between newcomers and established residents can arise related to land delimitation, employment, infrastructure, or overcrowding. For example, as a female councillor noted, “People who came illegally cleared the land and vandalised the toilets (S.H., 31/12/2018)”. A female leader of Okahandja Park in Windhoek went on to explain: “Changes happen when the informal settlement gets more crammed or more than one family lives on the same piece of land. Sometimes the municipality puts up numbers when the people erect an additional house which shouldn’t be designated as such. The municipality rarely calls meetings with the people who have cleared the land. In response, we have set up a women council to work with other leaders to keep the peace and order in the community, reduce domestic violence, and support police to fight against crime” (S.S., 04/01/2019)””.
**Discussion**
**Growing climate hazards, changing livelihoods and climate migration**
Overall, our findings reveal a growth in climate-related disasters (especially droughts and floods), which are more frequent in northern regions of Namibia. This pattern mirrors our broader analysis of climate-related disasters across sub-Saharan Africa (Online Resource 7 Fig. S12 to S14). This growth in hazards is in line with continental-wide modelled predictions (WMO 2020) and the expected future trajectories of temperature and rainfall patterns across Southern Africa (Trisos et al. 2022). Further analysis (World Bank 2021a, b) predicts growing irregular and intense seasonal rainfall and temperatures across Namibia, suggesting that more extreme periods of drought and flooding will be the dominant reality shaping Namibia’s future. The increased frequency of disasters has concomitant impacts on livelihoods—corroborated by previous studies (e.g. Amadhila et al. 2013; Anthonj et al. 2015; Heita 2018; Shikangalah 2020; Kapuka and Hlásny 2020). Meanwhile, global earth observation data of vegetation cover indicates the growing influence of drought, which negatively impacts agricultural productivity and pastoral livelihoods (FAO 2020). At the same time, migration flows are predominantly southerly towards the central regions of Khomas and Erongo, while most of the north central regions are seeing a net outflow of migrants. Considering the benefits and dis-benefits of climate migration, we suggest that exposure to climate-related hazards in the rural northern central regions contributes to enhancing out-migration, with more intense and extreme flooding and drought showing the strongest impacts.
**Rural migration to peri-urban settlements**
Aligning with other studies (Mastrorillo et al. 2016; Mueller et al. 2020), we found evidence that climate change is increasingly transforming pastoral and agricultural communities, with people mobilising towards urban centres and in particular peri-urban settlements. The benefits they seek for moving would, under normal circumstances, motivate rural–urban migration or act as pull factors. Yet, the vagaries of the climate and the impacts on livelihood sustainability in Namibia’s rural areas have increased the number of people moving or considering moving. Perhaps unsurprisingly, migrants suggest that migration to peri-urban destinations is driven by structural factors such as the perceived prospect of elevated socio-economic opportunities. This reinforces the significance of interactions between climate and non-environmental factors, as push and pull drivers, and lends further support to the environmental migration-development nexus paradigm (Neumann and Hilderink 2015). Birkmann et al. (2022) clearly indicates that climate hazards are driving rural income diversification, which is mainly supported through migration, urban wages, and remittances (Birkmann et al. 2022). This corresponds to findings revealed in the NHIES report (NSA 2016a, b, 2017) that shows that in urban centres, 72% of the households’ main source of income are wages and salaries compared to only 31.8% in rural areas. This further resonates with Mendelsohn et al. (2006) who suggest an apparent transition away from agricultural and livestock-based livelihoods in rural Namibia.
In peri-urban environments, migrants frequently work in the informal economy due to structural constraints such as labour market barriers, requirements to have a formalised address to access to social welfare, or a lack of official
permission to live in the city (Dodman et al. 2017). However, livelihood strategies of migrants are not necessarily mutually exclusive, as many population groups’ livelihoods comprise a mix of complementary activities, such as petty trading, artisanal work, and the receipt of goods for sale or household consumption from rural family members (Wiederkehr et al. 2018). Therefore, a more diversified livelihood portfolio in general is conducive to a higher climate adaptation capacity due to the spreading of risk (e.g. Heita 2018). Migration also enhances adaptation through the creation of social networks amongst migrants and between communities, by facilitating the exchange of non-marketed products (Frayne 2007) as well as the transfer of resources, knowledge, technology, and capacities to help communities deal with environmental changes (Gemenne and Blocher 2017). Moreover, migrants also exchange food commodities with rural origins (Crush and Caesar 2018).
Importantly, the impacts that climate change has differs amongst migrant groups. People that seem to be most affected are those living in communal areas of (semi)permanent crop-land, school children, or pastoralists lacking income to supplement fodder supplies during floods or droughts. Higher vulnerability to climate variability and change makes these groups more likely to use migration as an adaptation strategy. Climate change may act as a push factor whilst also reinforcing structural pull factors to impel economic transitions amongst the poorest, hastening shifts between agricultural labour and wages to other forms of labour (Birkmann et al. 2022). However, the youth and those with capital may be more likely to move, while women with more caring responsibilities and less negotiation power in some traditional areas may be less inclined to migrate. Previous studies in Zambia (Nawrotzki and DeWaard 2018; Mastrorillo et al. 2016) describe a similar phenomenon of trapped populations, where deep and persistent poverty results in negative feedback in the further erosion of already fragile economic livelihoods under climate change. Weinreb et al. (2020) in a study of 41 sub-Saharan African countries also describe how young adults were more likely to out-migrate from rural areas than children or the elderly—who are the most vulnerable that cannot afford migration as an adaptation strategy.
**Connectivity across the rural–urban continuum supports adaptation**
Baffoe et al. (2021) state: “while significantly influencing the creation of wealth, welfare, and employment, urban–rural linkages are also critical for improving regional governance and the competitiveness of related sectors and regions” (pp. 1342). We find that migration as an adaptation strategy is supported by deeply embedded linkages between rural and peri-urban areas. In a model of circular migration, rural–urban-rural, the rural and the urban are interdependent aspects of the same phenomenon (Steinbrink and Niedenführ 2020). This represents a form of trans-local optimisation, where climate migration between places provides for the most favourable outcome. In the future, these linkages will likely become more important, given growing urban unemployment and entry barriers to the formal economy (Frayne 2007; Mueller et al. 2020; Steinbrink and Niedenführ 2020) and increasingly felt impacts of climate change (Rigaud et al. 2018; Clement et al. 2021). Even when people living in urban centres are nominally poorer (e.g. less income), they may live more affluent lives (i.e. food supplies, reserves) compared to living in the north central region because of those dynamic social linkages that increase adaptivity (Tvedten 2008).
**The downsides of climate migration as an adaptation strategy**
Nevertheless, climate migration as an adaptive strategy also has dis-benefits. For migrants, peri-urban areas can be locations of heightened climate risks with concomitant health impacts (Borg et al. 2021), in which one configuration of risks in rural areas (e.g. heat stress) is merely replaced with another (e.g. flash flooding). Meanwhile, many migrants are inhibited in their ability to invest in land which complicates access to infrastructure and services (Dodman et al. 2017; Satterthwaite et al. 2020). For communities of origin, migration may amplify rural women’s vulnerability due to reduced labour power, as shown by Djoudi and Brockhaus (2011) in their work in Northern Mali and Lama et al. (2021). For the communities of destination, conditions in peri-urban informal settlements can become overburdened and infrastructure overstretched—impacting access to water, sanitation, health (Niva et al. 2019), and educational resources (Frayne 2004), while limiting livelihood opportunities to primarily trade (Mwilima 2006). This can lead to conflict, as shown by Oels (2011), who found that migrants are often used as scapegoats for other structural issues, reinforcing common misconceptions.
**A limited picture but opening a conversation to extend current work**
The extent to which we can fully untangle the interdependencies between climate and non-climate factors across the rural–urban continuum from this study is necessarily limited. First, secondary data are inherently limited by availability, accessibility, resolution, and comprehensiveness. Second, household survey data considered only peri-urban households. Third, migrants’ perceptions of environmental change do not always match observed changes in environmental parameters such as rainfall patterns as shown in Burkina Faso (de Longueville et al. 2020). Meanwhile, sometimes migrants inaccurately
represent or are unaware of the impact of migration on their community of origin and tend to idealise the community of origin as the ‘rural homestead’ (Gemenne and Blocher 2017).
Nevertheless, there are several avenues that could be pursued to deepen and extend the present work. First, building on existing research examining the networked structure of migration (Bilecen and Lubbers 2021) that utilises social network analysis and cultural sociology, future empirical work could trace individuals throughout their climate migration journey, exploring the characteristics of places and what traps or immobilises populations, and how climate anomalies experienced at the destination influence migrant labour demand. Second, drawing on the work of authors such as Naudé and Bezuidenhout (2014), Couharde and Generoso (2015), and Crush and Caesar (2018), future research could focus on the interrelationships between climate migration, macroeconomic factors, and climate hazards and the role of remittances in supporting resilience. Third, mirroring research by Rigaud et al. (2021a, b) in West Africa and the Lake Victoria Basin, future work could extend the present household surveys and key informant interviews to other informal settlements and policy actors to explore strategic policy and planning development responses.
**Conclusion**
In this paper, we explored the growing phenomenon of rural-peri-urban climate migration and the evolving rural-peri-urban connections in post-independent Namibia. We document the possible benefits and dis-benefits of climate adaptation within the wider economic, socio-demographic, and geographic context. We adopted a regional perspective, focusing on north central and central regions of the country, and examined this issue using Lee’s (1966) three-part approach to migration, covering the migration continuum from origin, destination, and migrants’ perspectives, using primary and secondary data.
To return to the beginning, the issue of climate migration is not something that can be ignored, it is not only a fact but a lived reality for many millions of people, a true grand challenge. How we come together to make decisions, across all levels of policy and governance, will be critical in determining the impacts of climate change on migrant households and those left behind across the rural-peri-urban continuum. Lack of action, or indeed inappropriate action, will reduce the capacity to support climate-resilient investments to improve lives and livelihoods. As Clement et al. (2021) argue: “The trajectory of internal climate migration in the next half-century depends on our collective action on climate and development in the next few years. The window to avert the conditions that lead to distress-driven internal climate migration is shrinking rapidly” (pp. xix). Overall, climate migration as an adaptation strategy is increasingly central to sustainability agendas in developing countries (e.g. 2030 Agendas, Paris Agreement, Sendai Framework, New Urban Agenda) (Rigaud et al. 2018; Clement et al. 2021). The need for adaptation planning to better acknowledge climate migration and the embedded rural-peri-urban linkages that support livelihoods and to mitigate such risks is ever more urgent, as Rigaud et al. (2018) clearly state: “Many urban and peri-urban areas will need to prepare for an influx of people, including through improved housing and transportation infrastructure, social services, and employment opportunities. Policymakers can prepare by ensuring flexible social protection services and including migrants in planning and decision-making. If well managed, ‘in-migration’ can create positive momentum, including in urban areas which can benefit from agglomeration and economies of scale” (pp. xxii). Ultimately, successful climate migration—where benefits outweigh dis-benefits—will be based on the flows of goods and services through the rural-peri-urban–rural social network. Such networks will be central to enhancing resilience to both acute and chronic climate challenges that will be experienced across sub-Saharan Africa throughout the twenty-first century.
**Supplementary Information** The online version contains supplementary material available at https://doi.org/10.1007/s10113-022-01973-5.
**Acknowledgements** We thank the reviewers, local municipal officials, and representatives of the Shack Dwellers Federation of Namibia for their invaluable comments on the earlier versions of the manuscript.
**Funding** This research is funded by a UK Research and Innovation’s Global Challenges Research Fund University of York internal pumping grant Peri-Urban Resilient Ecosystems, the African Research and Initiative for Scientific Excellence (ARISE-PP-FA-141), the Development Corridors Partnership project (ESP/011500/1), the African Women in Climate Change Science Fellowship supported by the African Institute of Mathematical Sciences and Canadian International Development Research Centre, and the Climate Research for Development Postdoctoral Fellowship (CR4D-19-21) implemented by the African Academy of Sciences in partnership with the UK’s Department for International Development, Weather and Climate Information Services for Africa (WISER) programme and the African Climate Policy Center of the United Nations Economic Commission for Africa.
**Open Access** This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/.
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Authors and Affiliations
Jessica P. R. Thorn\textsuperscript{1,2,3,4} \textbullet{} Penelao Nangolo\textsuperscript{5} \textbullet{} Rebeca Aleu Biancardi\textsuperscript{1} \textbullet{} Sheona Shackleton\textsuperscript{1} \textbullet{} Robert A. Marchant\textsuperscript{2} \textbullet{} Olayinka Ajala\textsuperscript{6} \textbullet{} Guillermo Delgado\textsuperscript{7} \textbullet{} John K. E. Mfune\textsuperscript{4} \textbullet{} Steve Cinderby\textsuperscript{8} \textbullet{} Adam P. Hejnowicz\textsuperscript{1,9}
\begin{itemize}
\item[1] African Climate and Development Initiative, University of Cape Town, Cape Town, South Africa
\item[2] Department of Environment and Geography, York Institute of Tropical Ecosystems, University of York, York, UK
\item[3] School of Geography and Sustainable Development, University of St Andrews, St Andrews, Scotland
\item[4] Department of Environmental Sciences, University of Namibia, Windhoek, Namibia
\item[5] Centre for Environmental Studies, International University of Management, Windhoek, Namibia
\item[6] Department of Politics and International Relations, Leeds Beckett University, Leeds, UK
\item[7] Integrated Land Management Institute, Namibian University of Science and Technology, Windhoek, Namibia
\item[8] Stockholm Environment Institute York, York, UK
\item[9] School of Engineering, University of Newcastle, Newcastle upon Tyne, UK
\end{itemize}
|
Historical insights at scale: A corpus-wide machine learning analysis of early modern astronomic tables
Oliver Eberle\textsuperscript{1,2}, Jochen Büttner\textsuperscript{2,3}, Hassan el-Hajj\textsuperscript{2,4}, Grégoire Montavon\textsuperscript{1,2,5}, Klaus-Robert Müller\textsuperscript{1,2,6,7,*}, Matteo Valleriani\textsuperscript{2,4,8,9,*}
Understanding the evolution and dissemination of human knowledge over time faces challenges due to the abundance of historical materials and limited specialist resources. However, the digitization of historical archives presents an opportunity for AI-supported analysis. This study advances historical analysis by using an atomization-recomposition method that relies on unsupervised machine learning and explainable AI techniques. Focusing on the “Sacrobosco Collection,” consisting of 359 early modern printed editions of astronomy textbooks from European universities (1472–1650), totaling 76,000 pages, our analysis uncovers temporal and geographic patterns in knowledge transformation. We highlight the relevant role of astronomy textbooks in shaping a unified mathematical culture, driven by competition among educational institutions and market dynamics. This approach deepens our understanding by grounding insights in historical context, integrating with traditional methodologies. Case studies illustrate how communities embraced scientific advancements, reshaping astronomic and geographical views and exploring scientific roots amidst a changing world.
INTRODUCTION
The European early modern period has traditionally been regarded as the cradle of modern society, particularly highlighting advancements in science and technology. Science itself has often been portrayed as a progressive process, culminating in a scientific revolution that propelled Europe into modernity. The works of alleged heroes of science such as Nikolaus Copernicus, Galileo Galilei, and Johannes Kepler were given special significance in this process. Their publications were frequently and sometimes still are regarded as pivotal moments, encapsulating the essence of the astronomical revolution of this era (1–9). These views, largely still dominating public reception, are rightly being challenged today.
Recent history of science is beginning to overcome its Eurocentrism and adopt a more differentiated view on the processes that led to the emergence of science. In his influential work, \textit{The Structure of Scientific Revolutions} (1962), Thomas Kuhn had already emphasized the role of scientific paradigms, moving away from focusing solely on the contributions of a few selected individuals to viewing scientific progress as a collective achievement of the broader scientific community (10). Even earlier, scholars like Braudel (11) and Bloch (12, 13) aimed to bridge the spatial and temporal gaps between well-studied singular events by analyzing a broader collection of sources. Today, modern approaches, informed by this historiographical legacy, delve into a much broader array of historical sources than before to gain a more comprehensive understanding of the intellectual context within which the celebrated “heroes” of science worked and developed their novel insights. The development of science is no longer perceived as a linear progression but as a multifaceted process shaped by a variety of factors operating across different temporal scales (14–16). However, a substantial practical limitation obstructs these new approaches to the history of science and history in general: The sheer volume of available sources surpasses our current capacity to conduct historical investigation with a comparatively limited pool of trained historians.
Machine learning (ML), specifically deep learning (17–20), has established itself as a powerful way of making inferences from data at scale. A variety of historical studies could take advantage of the recent successes of deep learning in vision and language (21–25). Well-curated image datasets and benchmarks of historical sources (26–30), combined with pretrained ML models for computer vision such as U-Net (31), YOLO (21), or CLIP (32), enabled to extract relevant visual elements such as illustrations, drawings, or images and place them in relation to their accompanying texts on the level of a whole corpus (29, 33–35). Likewise, recurrent neural networks (RNN) and, more recently, transformer-based architectures have enabled significant progress in optical character recognition and handwritten text recognition of historical content (27, 36–39). Beyond mere data exploration and extraction, Assael et al. (40) proposed a sequence-to-sequence RNN to reconstruct ancient Greek inscriptions, which was later followed by a transformer-based architecture not only to restore inscriptions but also to generate local insights about their provenance and dating (41). Other ancient languages also benefited from deep learning approaches, such as Latin (42), Akkadian (43), and Hieroglyphs (44). Last, Explainable artificial intelligence (XAI) (45–50) reveals aspects of the internal processing of ML models, putting visual and textual features in relation to predicted outputs and thus enabling a novel, insightful exploration of humanities datasets (51–53).
Despite these advances, the analysis of historical data at large, including the numerical tables our work focuses on, presents very
unique challenges from a ML perspective. In particular, higher-level interpretations by historians that shift from the formal assessment of individual units to semantic, corpus-wide assessments cannot rely on the availability of labeled datasets. Furthermore, general historical data are characterized by extensive heterogeneity and nonstationarity. These factors make end-to-end approaches particularly challenging, as they require a substantial amount of data that are now not available for the great majority of relevant tasks.
In this work, we demonstrate that these challenges can be addressed with our proposed “atomization-recomposition” approach. The approach rests on a data-efficient modeling of task-relevant features, where historical sources are decomposed into a collection of elementary units (the “atoms”) before being recomposed. This allows us to rely on intermediate atom-wise predictions, for which labels can be readily acquired. Furthermore, our approach integrates XAI for verifiability, transparency, and human interpretability. Overall, it enables a dataset-wide and robust processing of the historical content and provides accurate similarity predictions and groupings of historical data. In the following, we demonstrate the practical usefulness of our approach for a concrete historical research study.
In particular, we focus on the core astronomical knowledge of the early modern period, i.e., the set of widely accepted theories, methods, and results in the field of astronomy. A prime source for reconstructing this extensive core knowledge are university textbooks, which informed the broader student population and intelligentsia (54). Historians have previously shown interest in textbooks (55, 56). However, a comprehensive analysis of larger collections of this particular type of source has remained elusive due to the great amount of available material. Our research is uniquely poised in this context, as we leverage the “Sacrobosco Collection” (57–61) (section A.1 of Supplementary Materials and Methods). This very large and substantial thematic collection encompasses textbooks introducing geocentric astronomy to students across Europe from the final quarter of the 15th century up to 1650. During this period, the pre-Copernican geocentric worldview was a highly dynamic scientific field in which innovations quickly entered the core knowledge and left repercussions even at the level of the textbooks (59–62).
The collection contains approximately 359 editions of different textbooks, totaling around 76,000 pages of scientific content. These books were published starting in 1472, the year of the first edition (and of the first ever printing of a scientific, mathematical text). The year 1650, in which the last edition of the corpus was printed, marks the end of the slow decline of geocentric astronomy initiated almost a 100 years earlier by Nikolaus Copernicus, whose *De revolutionibus orbium coelestium* of 1543 introduced a mathematical system based on a heliocentric worldview. Assuming an average print-run of ~1000 copies, the Sacrobosco Collection can be considered as representative for about 350,000 textbooks that were circulating and used in Europe during the period considered (58, 63, 64) (section A.1.1 of Supplementary Materials and Methods).
Our study specifically addresses the mathematical education and culture had by students and the educated populace, i.e., the potential readers of the textbooks in our corpus. This entails understanding where this knowledge originated, the motivations behind its dissemination, and the modes of its circulation.
Computational astronomical tables are a central element of the mathematical apparatus of early modern astronomy. These tables can be understood as the sequential representation of the input and output values of mathematical relations, akin to equations. Before the advent of formulaic algebraic language toward the end of the period considered, this method was the predominant way to express mathematical relations, the meanings of which were described in the texts associated with the tables (65, 66).
We investigate the astronomical tables as a proxy for the underlying mathematical knowledge, its transformation, and its dissemination. This investigation focuses on a collection of tables that must first be identified within the corpus, with their meanings being entirely unknown. Such a collection differs from curated tables, such as those containing observational data and chronologically ordered, which are compiled from the outset, often within an archive, and have inherent semantic attributes. In the type of investigation we undertake, historians would have to initially ascertain whether each table within the corpus represents new information or merely repeats existing knowledge. This would involve comparing each table against the others in the corpus to see whether they represent the same fundamental knowledge or not. Particularly with complex computational tables (fig. S7 for an example), only a few experts in early modern astronomy can accurately make these comparisons. Moreover, judgments can be complex, as tables may appear similar but be fundamentally different or vice versa (section A.1.4 of Supplementary Materials and Methods). The sheer volume of required table comparisons to track innovations, their spread, and their disappearances for a corpus of the size of the Sacrobosco Collection renders such a close reading analysis based only on traditional methods of the historian impossible. Hence, to support such investigations, computational methods can greatly streamline the steps necessary to identify the numerical tables in the corpus, group them according to a semantically meaningful similarity, and analyze the dynamics of their development across space and time.
The editions analyzed in this work come from different times and from different places and were frequently produced following very different standards. The heterogeneity of these printed books and the tables they contain is compounded by the intertwining effects of the processes of scientific knowledge transformation, the development of printing technology, and the mechanisms of the academic book market (58, 67–70), each of which contributes differently to the diverse sources of data variability (sections A.2 and A.4 of Supplementary Materials and Methods).
Assessing the complex similarity structure of the numerical tables contained within the corpus poses challenges for both trained historians and conventional ML approaches, namely, end-to-end training and the utilization of pretrained models. While end-to-end approaches may be feasible for higher-level historical tasks, they rely on a substantial amount of data that is typically not available.
The acquisition of a labeled dataset would require a historian to perform many detailed analyses or similarity assessments of complex tables. This approach does not scale well, especially considering that the corpus contains approximately 10,000 pages with numerical tables (section A.1.4 of Supplementary Materials and Methods). Furthermore, the application of conventional ML approaches to this task seems unfeasible due to the high heterogeneity of these numerical tables (sections A.2.2 and A.8 of Supplementary Materials and Methods).
Our proposed atomization-recomposition ML approach efficiently addresses the labeling and heterogeneity challenges described above. In the case of numerical tables, we define the “atom” to be an individual digit. This allows us to decompose the ML approach into two main steps: first, building a ML detector for these digits (for which labels can be acquired handily) and then recombining
the detected digits into more informative sequences of two digits or “bigrams.”
Besides the advantage of requiring only a limited number of single-digit labels to ensure their robust detection, this approach also allows for the detection of features that do not occur in the training data. For example, the bigram “25” could be detected on test pages even when the training pages contained only the bigrams “12” and “51.” Last, these spatially resolved bigrams can be pooled into a “bag-of-bigrams” that subsumes the content of an entire numerical page into a hundred-dimensional vector. Our atomization-recomposition approach is related to common practices in other domains, such as the vector space model and bag-of-words representations in Natural Language Processing (NLP) (71) or “visual words” in image classification (72–74). Our instantiation with historical data, however, innovates by addressing technical challenges specific to low-resource settings, such as the distinction of tabular from nontabular pages, the pixel-level detection of individual digits and their classification amidst high heterogeneity, the data-efficient recomposition of those digits into bigrams, and their page-wide aggregation (section A.3 of Supplementary Materials and Methods).
We validate our “bag-of-bigram” representation of tables and the implied similarities, using both nominal accuracies and XAI techniques such as Layer-Wise Relevance Propagation (LRP) and Second-Order Layer-Wise Relevance Propagation (BiLRP) (75, 76). The BiLRP technique verifies that similarity predictions are grounded in meaningful pixel-level patterns. By leveraging the similarity predicted by our model over the entire corpus, our approach reaches its full potential, enabling previously impractical or even impossible historical investigations. Specifically, the examination of the geo-temporal circulation of the numerical tables provides insights into the widespread dissemination of mathematical education and culture in the frame of astronomy which otherwise remains obscured by an enormous, previously unanalyzable volume of astronomical tables.
Our approach allows not only for a systematic extraction of data-driven insights in large corpora, it also provides an example for the quantification of historical processes at scale. It thus aids in making more informed selections of historical source material which can then be analyzed using conventional methods of historical inquiry. The historical analysis presented on early modern mathematization serves as an example of how historical disciplines can benefit from ML and XAI methodologies. These methodologies aid in identifying case studies and assist in close-reading analysis of individual sources.
**RESULTS**
Starting from the Sacrobosco Collection and seeking to achieve a homogeneous representation of such a corpus with a focus on the numerical tables, we proceed with the proposed atomization-recomposition approach. Using a ML classifier, we extract tables versus nontable pages from a few ground-truth annotations, enabling us to reliably extract the ~10,000 pages bearing tables contained in the corpus—we refer to this selection of pages as the Sacrobosco Tables corpus (section A.7.2 of Supplementary Materials and Methods). This first step enables us to reduce the heterogeneity arising from nonnumerical content. A neural network, shown in Fig. 1B, extracts spatially resolved individual digits from the numerical table pages. From approximately 2500 annotations, a single-digit detection accuracy of 96% could be reached, thereby achieving at minimal cost a further reduction of data heterogeneity, for example, with respect to font size, print quality, and nonnumerical elements such as the tables’ vertical and horizontal lines.
Building on this atomized representation of the Sacrobosco Collection, we proceed with recomposition, specifically, the meaningful aggregation of atoms into representations of numerical tables that are interpretable and have predictive abilities. Our first recomposition step consists of augmenting the detected individual digits with digit bigrams, which we achieve technically by juxtaposing pairs of activation maps, applying a slight horizontal shift, and looking for the intersections of the activation peaks. This processing step is illustrated in Fig. 1B, and the details of the procedure are given in section A.3 of Supplementary Materials and Methods. The result is a “bigram map” that can be rendered as a color map (an example is shown in Fig. 1). We observe that the latter is particularly interpretable for the user: Increasing numerical series appear as color gradients, and numerical anomalies easily stand out.
A second stage of recomposition then converts, via spatial pooling, this human-readable map representation into a lower-dimensional bag-of-bigrams, which takes the form of a histogram that is invariant to the exact table layout. We validate the resulting histograms on a diverse subset of fully annotated table pages (section A.4.1 of Supplementary Materials and Methods) and achieve average Pearson correlations to the ground-truth histograms ranging from 0.84 for tables of low digit density to 0.93 for high density tables, as shown in Fig. 2B. The compactness of the bag-of-bigrams representation effectively addresses the curse of dimensionality in downstream applications while remaining highly predictive. We assess the performance of different table page representations in identifying clusters of identical table pages, with an exemplary visualization of the different page representations shown in fig. S20. We find that our proposed bag-of-bigrams representation is most effective for retrieving correct cluster members, reaching 90% purity, compared to 81% for a direct pooling of bigram activations (pooled), 78% for single-digit summaries (unigram), or 64% for a pretrained deep neural network representation from Visual Geometry Group 16 (VGG-16) (see also Fig. 2B). In addition, using XAI, specifically the BiLRP technique (76), we can verify that the similarity predictions built on our bag-of-bigrams representation are stably grounded in the numerical content (Fig. 1C), whereas unspecific methods based on pretrained models produce much less interpretable results (section A.5 of Supplementary Materials and Methods). While we evaluate our atomization-recomposition on numerical tables, which are important information carriers for our subsequent historical analyses, we emphasize that our approach could in principle be extended to other aspects of historical documents, such as structured mathematical diagrams (section A.8 of Supplementary Materials and Methods), by choosing appropriate atomization and recomposition steps.
**Corpus-level historical insights and case studies**
Our approach allows (i) for historical investigations on a general, corpus level as it makes it possible to trace and analyze the geotemporal circulation of the numerical tables in the entire corpus and (ii) for the identification of particularly interesting clusters of similar tables which guide an informed selection of specific case studies to be ultimately analyzed through standard close-reading. The results of the corpus-level analysis are described below, along with the identification and investigation of two relevant, mutually interconnected case studies.
On a corpus level, we demonstrate that the process of astronomy’s mathematization, codified in textbooks and taught at the European
universities, occurred alongside a process of accelerating dissemination of mathematical knowledge that took place during the last decades of the 16th century. This acceleration was ignited and fueled mainly by the competition between two key entities: the French Royal Chair of Mathematics and the Collegio Romano, the principal mathematical division within the Jesuit order (77) (section B.1.1 of Supplementary Text). Spreading mathematical knowledge was among the main goals of both institutions.
This process exhibits a dynamics that, on closer inspection, turns out to be caused to a large extent by the necessity to adhere to early modern marketing rules for academic prints. These rules required the rapid introduction of scientific works in various formats to the market, with multiple editions of each work released in close temporal proximity to one another (78–80), resulting in a high variability in printed pages with numerical content over time (Fig. 2A). The most relevant episodes of such high-frequency publication and republication of mathematical content occurred within a 5-year timeframe around 1550 and involved Oronce Finé, who was then the French Royal mathematician (Fig. 2D) (81). This publishing pattern may be attributed to market mechanisms that incentivized publishers to release multiple new editions within short timeframes (see section B.1.1.1 of Supplementary Text).
The accelerated circulation of mathematical knowledge represented in the corpus of textbooks was accompanied by a process of homogenization, where scientific works increasingly offered the same mathematical approaches (sections A.1 and A.1.2 of Supplementary Materials and Methods and section B.1.1 of Supplementary Text). By measuring the entropy of cluster membership vectors that represent the number of table pages in each cluster as presented in Fig. 2D, we show which places of print production contributed to this phenomenon most and which did so to a lesser extent. Low entropy scores indicate high redundancy, characterizing a printing process that repeatedly prints the same material, while higher scores signify a more diverse range of printed contents. The resulting entropy scores indicate that the mathematical knowledge presented in treatises produced, for instance, in post-Reformation Wittenberg is particularly homogeneous, presumably due to the political control exerted over scientific education in the city during this period (82–84). Similarly, the low entropy score for Frankfurt am Main suggests a high degree of content homogeneity. A closer look at the sources shows that this is because out of the 17 editions produced...
in the city, 13 are reprints of only two distinct editions (section B.1.1.2 of Supplementary Text).
The corpus-level analysis reveals instances where the pattern of spread of mathematical knowledge, embodied in the tables, deviates from broader established trends in interesting ways, diachronically, synchronically, or even semantically. This enable us to make informed decisions about specific case studies (section B.1.2 of Supplementary Text). To facilitate such studies, which allow an in-depth exploration of a particular phenomenon across its entire temporal and spatial trajectory of transformation, we provide a tool to identify clusters of tables identical and similar to one table selected by a domain expert (section B.1.2 of Supplementary Text).
In Figs. 3 and 4, we present two case studies selected through an integrated approach that combines data-driven cluster identification with expert domain knowledge (section B.1.1.3 of Supplementary Text). The first, which corresponds to the spatially and temporally most extended cluster, is dedicated to the method for geometrically subdividing the Earth’s surface from the equator to the poles based on the length of the solar day. The second is concerned with the calculation workflow necessary to retroactively predict the position of the Sun on the Zodiac during classical antiquity (sections B.1.2.1 and B.1.2.2 of Supplementary Text, with individual examples).
Since antiquity, the known world was considered as divided into habitable and inhabitable parts. The inhabitable parts were not considered to be entirely devoid of people but generally held to be inhabitable because of the hard conditions they presented for life. The habitable parts, covering roughly the longitudinal area of Europe and extending from North Africa northward to include Paris, were further traditionally divided into seven “climate zones.” A climate zone (land strips bordered by parallels to the equator) was defined on the basis of the length of the solar day on the summer solstice in those areas. This conception was fundamental for a variety of scientific disciplines, such as medicine, and continued to be taught until at least the mid-17th century (85). However, the early modern journeys of explorations had revealed that the ancient conception of the habitable part of the world was too limited (86). This situation is reflected in the sources under consideration, which display different types of climate zone tables: one for seven zones shown in Fig. 3B.
and another that encompasses the entire planetary surface from the equator up to the polar circle and thus conceptualizes 24 zones. In addition, a third transitional type of climate zone table, listing nine zones, could be identified (see Fig. 3C). Full maps are shown in figs. S44 and S45 in Supplementary Text.
By identifying and comparing a large number of relevant tables, we were first of all able to track the dissemination of the pertinent knowledge in detail over the 178 years under consideration as presented in Fig. 3A for the different variants of climate zone tables. We could establish that, contrary to what one might expect, the spread of the modern conception of 24 zones was unexpectedly not detrimental to the ancient one (section B.1.2.1 of Supplementary Text). The opposite is the case: The success of the innovation was largely dependent on its link to the traditional, ancient, and authoritative concept and associated worldview. The peak in the dissemination of the table representing the new conception of 24 zones can primarily be attributed to editions that also included the old table listing the traditional seven zones, as shown in Fig. 3A, where the publication frequency per decade is plotted for the editions containing 7, 9, and 24 climate zone tables and for those editions concurrently containing both 7 and 24 climate zone tables.
Second, by accurately assessing the similarity within the cluster of the climate zone tables, our approach enabled the identification of a third variant of climate zone tables. This variant initially expanded the old view but only so far as to incorporate European regions at higher northern latitudes, specifically to include Wittenberg by
adding two zones as highlighted in Fig. 3C (visualizations that displays the spread of the climate zone are available in the Supplementary Materials). Although the dissemination of this conception of nine zones remained limited in both time and space, it represented a notable break from the traditional view. Historians of the early modern period have previously shown some interest in the use of the climate zone concept in fields like medicine. The concept itself, however, they have regarded mostly as a stable and inert knowledge structure inherited from antiquity. Against this view, we have been able to demonstrate that the Age of Discovery’s far-reaching transformations did not dismiss the concept of climate zones. On the contrary, the authority of the older conception was even used as a vehicle for innovation. The latter, however, only expanded the number and geographic validity of climate zones. This transformation may have been perceived by historical European actors as a validation of their scientific endeavors during the Age of Exploration, contributing to the context in which science later became a central element of Europe’s cultural identity (section B.1.3 of Supplementary Text).
The second case study presented in Fig. 4 (A and B) focuses on a scientific specialization, no longer extant, that closely connected mathematical astronomy and history. Starting from the 13th century, when Europeans created the epochal subdivision between antiquity, the Middle Ages, and the new epoch in which they were living, frantic activity began that aimed to reconstruct an exact chronology of ancient events \((87, 88)\). This was because, from the perspective of the day, antiquity represented the epoch during which the pinnacle of civilization and knowledge had been reached. In antiquity, the connection between the calendar and the Sun’s position within the signs of the Zodiac was already well-established. As a result, by providing the positional values for the Sun, it was possible to calculate the day of the year and vice versa. Consequently, in ancient Greek and Latin works, descriptions of events are often accompanied by specific astronomical observations that can be linked to the position of the Sun in the Zodiac.
After Philipp Melanchthon, one of the founding fathers of the Protestant Reformation, had urged young students to study astronomy in 1531 and 1538, warning that without it the history of humanity would be mere chaos \((89, 90)\), a particular scientific specialization emerged. Aimed at providing precise dates for ancient events, this field of study persisted into the 19th century, especially within German universities. Mathematically, the required calculations were challenging both because of the historical changes of the calendar systems and the precession of the equinoxes, which itself was not yet fully understood in the 16th century \((91)\). Focused on this historical case, our approach provided us with the necessary means to identify and select relevant historical material which allowed us to investigate one of the first steps of a broad phenomenon of dissemination of mathematical culture in the framework of astronomy instruction at the universities.
First of all, we have been able to show that the values of the position of the Sun against the ecliptic were transposed into a handy table for the students for the first time in 1543 and have established that this table was printed and used only in Northern Germany and France (visualizations that display the spread of the nostro tempori tables are available in the Supplementary Materials). Second, and more relevantly, we were able to identify another table, which essentially provides the same information but pertaining to the position of the Sun over the course of the year for ancient times, called the veterum poetarum temporibus accommodata table. To communicate this information, a new table is required, since the position of the Sun relative to the zodiacal signs for a given date of the year changes over time. While the annual change is minimal, the change accumulates to a noticeable difference if longer time periods are considered. This new table is similar, but not identical, to the original handy table and therefore serves to display directly the position of the Sun as it was observed by the ancient writers. The new type of table was first conceived in Wittenberg and was apparently created to simplify the calculations otherwise required to convert the current (16th century)
position of the Sun at a given day into its position on that day in antiquity, which was necessary to establish a connection to the calendar. A dynamic visualization of the spread of the Sun-Zodiac table for the ancient authors can be accessed via section B.1.2.2 of Supplementary Text. The focus on an astronomy-based reconstruction of ancient chronicles shows the early modern European interest not only in establishing own intellectual roots but also a specific chronicle that, because of the mathematical workflow to calculate it, could gain a high level of consensus and leave less space to interpretation. At the same time, the process of homogenization of the content of astronomy instructional textbooks was ongoing, driven largely by the imitation of textbooks conceived and produced in Wittenberg (section A.1.2 of Supplementary Materials and Methods). Through this process, this specific type of mathematization of astronomy, a project driven by the Reformers in particular Philipp Melanchthon, eventually turned into a knowledge of the ancient past that was shared all over Europe whereby it was not so much the chronicle that was shared but the knowledge to calculate it. As astronomy was becoming an element of a European cultural identity during the age of the journeys of exploration (section B.1.3 of Supplementary Text), then sharing the same calculation workflow to generate chronicles of the ancient events on a continental level likely reinforced the role of science as an identity-shaping factor.
**DISCUSSION**
The present study has illuminated both qualitatively and quantitatively how mathematical knowledge as taught in the early modern universities in Europe has evolved in a context of institutional competition. This competition seems to have fostered a scientific knowledge sharing process in Europe even while, as is well known, the region was being fragmented by religious and political currents.
The pattern along which the conception of historical climate zones changed (from 7 to $7 + 2$ and eventually to 24 climate zones) allows us to hypothesize that the emergence of a shared science in continental Europe, at least as the generally educated populace is concerned, was coupled to the increasing perception of an expanding world, albeit of one pivoting around Europe.
The computation of the position of the Sun with respect to the Zodiac for dates in antiquity, moreover, reflects the emergence and spread of a shared desire of a society to establish its own intellectual roots. Given the relevance acquired by the Wittenberg textbooks in astronomy all over Europe (section A.1.2 of Supplementary Materials and Methods), the concerted effort of the Wittenberg Reformers to accurately reconstruct the chronology of historical events of classical antiquity turned into chronicles of the ancient epoch. These chronicles could achieve wide consensus all over Europe exactly because they were based on a shared computational workflow, leaving little room for interpretation and thus being prone to creating agreement.
The development of a global cultural perspective in Europe, coupled with the emerging need to establish one’s own historical roots, contributed to the creation of a shared intellectual background against which the European scientific and cultural identity later evolved. Considering the high mobility of university students during the early modern period in Europe (92), and given the rate of dissemination of basic astronomical knowledge into vernacular communities, such as those involved in navigation (93), it is suggested that astronomical core knowledge became one of the fundamental cornerstones of what Benedict Anderson defined as Latin Elite community, a trans-regional community built on the basis of book printing and knowledge circulation (37–46, 94) (section A.1.2 of Supplementary Materials and Methods and section B.1.3 of Supplementary Text).
The current investigation could be further extended by including, in addition to textbooks, works that were associated with the research frontiers of the time (54). In this way, the relation between the dissemination of a broad mathematical culture and those disruptive works usually associated with the idea of an astronomical revolution during the early modern era could be studied in more detail.
Moreover, by broadening the timeframe, for instance by including more recent sources, the transformation of mathematical knowledge could be investigated as it transits from the early modern tabular expression of mathematical functional relations to the more modern, formula-based one. By broadening the geographic scope, the same phenomenon could be investigated in a global perspective, potentially allowing for a quantitative assessment of the process of European intellectual colonization. Such spatial and/or temporal extensions of the source base would first require well-curated datasets of the relevant sources.
However, it is crucial to acknowledge the general limitations posed by data-driven approaches, including methodological aspects related to data quality and quantity, as well as model interpretability (section A.8 of Supplementary Materials and Methods), and challenges of generating ML-assisted historical insights (section B.1.1.3 of Supplementary Text). These factors need to be addressed to effectively generate research hypotheses. In our atomization-recomposition approach, we have demonstrated how these challenges can be mitigated through efficient modeling embedded within a process of scrutiny, independent testing, and thorough model evaluation. This evaluation incorporates XAI to make the underlying ML inference processes transparent and verifiable (see section A.8 of Supplementary Materials and Methods).
The scarcity of data and labels presents a central challenge, limiting the ability of ML approaches to capture the full richness of their sources by focusing on specific aspects of the data. In our historical use case, we have found that bag-of-bigrams offer a sufficiently complex representation to aid historians in corpus-wide examinations.
Only after carefully addressing these methodological challenges can emerging hypotheses be further pursued based on established methods in writing history: hypothesis-driven research. This is precisely the path that we have followed.
While this ambitious vision presents numerous challenges, we would emphasize that computational astronomical tables from the early modern period are exceptionally intricate sources that demand profound expertise for analysis. We have demonstrated that such analysis can be substantially augmented by ML methods. Therefore, we would like to express optimism that our general approach can be adapted and applied to other historical questions and sources.
The integration of humanities and ML technology needs to be problem specific and highly interwoven between the disciplines. Through close interaction between these two fields, a virtuous cycle of scholarly dialogue can be achieved, one that fosters innovation, insight, and meaningful advancement. In our study, the challenge of the sparseness and heterogeneity of historical data was solved by applying a general atomization-recomposition approach, highlighting how specific domain challenges can inform the development of ML methods. However, traditional humanities approaches continue to
play an important role and can be effectively applied alongside new techniques, as this work effectively demonstrates.
The ultimate goal of which this work is a part is to develop an AI-based assistant capable of facilitating an accelerated science lab for in-depth historical research, interpretation, and reconstruction. This lab would streamline the research process by using ML to generate genealogies between historical sources, thus aiding in the selection of relevant sources from the vast pool of unexplored material before historians conduct close reading analyses. These selections would be guided by trend analyses, similar to those conducted in this study. The overarching mission of the lab is to promote a deeper and more comprehensive understanding of our historical origins.
**MATERIALS AND METHODS**
**Data**
The Sacrobosco Collection (95) represents the complex edition history of the astronomy textbook *De sphaera* of Johannes de Sacrobosco and consists of a corpus of 359 early modern printed editions, amounting to roughly 76,000 pages of material (62). These books were used at European universities for the introduction to the study of astronomy and geocentric cosmology, a mandatory component of the first curricular year. The dates of the editions of the corpus range from 1472 to 1650. This corpus enables the study of important historical questions, such as of the evolution and homogenization process of knowledge on cosmology.
**Table pages**
From all the pages of the Sacrobosco Collection, we select 9793 pages bearing one or more numerical tables, which we submit to the table similarity workflow as the Sacrobosco Tables dataset. By numerical table we mean any tabular arrangement of data in our corpus which has at least one column with (predominantly) numerical content. We specifically exclude tables of content and book indices. The preselection was supported by an off-the-shelf Convolutional Neural Network (CNN) (VGG-16 (96) trained to classify pages as bearing such numerical tables or not. The output of this CNN was checked down to a low probability of the assignment of a page as bearing a numerical table. Because of the human postprocessing, the list of pages with numerical tables should have close to perfect precision and a very high recall. A list of all pages with numerical tables is provided as sphaera_tables_9793.csv (see folder data/corpus in code.zip), and the trained model instrumental in establishing this list is provided as sphaera_tables_classifier.h5 in folder data/trained_model via https://doi.org/10.5281/zenodo.10933231. The digital images of the pages that we refer to as the Sphaera Tables dataset can be obtained at sacrobosco_tables.zip via https://doi.org/10.5281/zenodo.10933231.
**Preparation and acquisition of ground-truth**
We have prepared four different ground-truth datasets to train and test our model at different processing stages: single digits and nondigit content to train the recognition model, fully annotated numbers to test the digit recognition and the bigram expansion, and Sun-Zodiac pages to evaluate the table similarity model. These sets are provided as numerical_patches.csv, contrast_patches.csv, digit_page_annotations.csv, and sun_zodiac.csv in the code and data repository (see folder data/training_data in code.zip accessible via https://doi.org/10.5281/zenodo.10933231).
**Single digits.** To capture the nonstandardized print types that occur in historical corpora, we have selected a subset of important printers and for each have annotated five individual number patches from five different pages that contain numerical content, resulting in a dataset of 2494 annotated numbers. From this, a dataset containing a diverse set of 5208 single digits is created. We also have added contrastive nondigit patches that contain text, illustrations, or geometry from nontable pages.
**Fully annotated numbers.** We have selected 11 pages and annotated each single digit contained on the pages with a bounding box. In addition, we have marked whether the individual digit is the first and/or the last digit of a number. This information makes reconstructing all numbers and thus also all bigrams contained on these pages straightforward. The annotated pages have been selected to cover a wide spectrum of different manifestation of numerical content in terms of writing direction, fonts, font sizes, the density of digit placement on the page, etc.
**Sun-Zodiac pages.** To evaluate to what extent our approach can reproduce the salient relations between the tables in our corpus, we have chosen the Sun-Zodiac tables, which give the positions of the Sun relative to the signs of the Zodiac in degrees for each day of the year. This table is well-suited for evaluating our approach. The table’s layout varies across its appearances in our corpus, with each layout partitioning the full table differently. In some cases, the entire table is contained on one page; in other books, it is distributed over as many as nine pages. The table only comprises numbers from 1 to 31 per its Zodiac content (a maximum number of 31 days per month and 30° per sign of the Zodiac). The table thus populates only a subspace of the feature space that we exploit for our similarity assessments. Since this subspace is more densely populated than would be expected with a uniform distribution of the data over the entire feature space, this table is particularly difficult to discriminate with our approach, making it a good test case.
In our corpus, we find two variants of the Sun-Zodiac table: tables for the times of the ancient poets (writers) (veterum poetarum temporibus accommodata) where the Sun is 16° into Capricorn on the first of January and tables for “contemporary” times (nostro tempori) where, on the first day of the year, the Sun has advanced 3° and is located 21° into Capricorn. This difference essentially amounts to a shift of the columns listing the days of the year with respect to columns giving the angular locations, and thus, from the perspective of our similarity model, these two variations represent the same (more abstract) table.
We have identified 68 instances of the Sun-Zodiac table which cover a total of 250 pages in the corpus. A list of the pages containing the different versions of the Sun-Zodiac tables is provided as sun_zodiac_pages.csv along with a ground-truth histogram for the digit-features distribution of a prototypical, i.e., noise-free and complete, Sun-Zodiac table that is provided as sun_zodiac_hist.csv (see folder data/corpus in code.zip accessible via https://doi.org/10.5281/zenodo.10933231).
**Climate zone table pages.** We have also collected a subset of material that is concerned with climate zone tables, which divide the surface of the “inhabited” world into zones that can be defined by the length of the solar day. The tables served as an indication of the overall meteorological conditions, which were in turn determinant information in the framework of Medieval and early modern medicine. We find three different principle variants of climate zone tables that use either 7, 9, or 24 zones. The 225 pages containing these tables are provided as clime_tables.csv (see folder data/corpus in code.zip accessible via https://doi.org/10.5281/zenodo.10933231). In each row, the csv file
lists the occurrence of an individual climate zone table, specifying the type and providing metadata for the edition containing this table.
**The atomization-recomposition model in detail**
**Digit recognition model**
As a first step, our goal is to train a single-digit recognition model for which we provide optimization and architecture details in the following. We built a seven-layer convolutional neural network using the Equivariant Steerable Pyramids framework (97), starting with an initial four-layer equivariant convolutional block with filter sizes \{3 \times 3, 3 \times 3, 5 \times 5, 5 \times 5\} and eight rotational groups invariant to translations and rotations on the \( \mathbb{R}^2 \) plane. Low-level features required to detect digits (lines, arches, and circles) thus generalize over spatial input transformations resulting in increased data efficiency.
Subsequently, a pooling layer selects the map with the maximum activation from the equivariant group. A series of three standard convolution layers with kernel sizes 5 \times 5, 1 \times 1, and 1 \times 1 outputs 10 activation maps \( a_j(x)_{j=0}^{9} \) corresponding to the digits 0 through 9. Last, we capture variations in scan orientation and page size by determining the scaling factor and rotation that result in the maximum activation of single-digit activation maps.
We optimized the model using equal amounts of single-digit and nondigit patches, resulting in around 8000 data points for training. These data were further augmented with small rotations (\( \pm 10^\circ \)), translations (0.025 \times \text{img\_width}/\text{img\_height} \) in \( x \) and \( y \) direction), scaling (0.8–1.2x), and shearing (\( \pm 5^\circ \)) transformations.
Since numbers can occur in various contexts beyond a table, e.g., as a page number, we model the local page context and consider a border of 10 pixels around the digit’s bounding box. We used the Adam optimizer to minimize the mean square error between true activation maps and model outputs using the loss term \( \ell = \ell_{\text{bbox}} + 0.3 \cdot \ell_{\text{context}} \) and selected the model that performed best on the test set.
**Bigram expansion**
In the subsequent recomposition step, we combined these single-digit activation maps to detect digit task-relevant bigram features using a hard-coded sequence of processing layers. We compute the composed feature representations by applying an element-wise “min” operation
\[
a_{jk}(\tau)(x; s, \theta) = \min \left\{ a_i(x; s, \theta), \tau \left[ a_k(x; s, \theta) \right] \right\}
\]
which signals the presence of bigrams \( jk \in \{00, \ldots, 99\} \) at image scale \( s \) and rotation \( \theta \) and can be seen as a continuous “AND” (98) operation. We also included additional feature maps that detect isolated single digits \( j \in \{0_-, \ldots, 9_-\} \) with “-” indicating that no digit is detected at the given location and that the translation operation \( \tau \) shifting activation maps by a fixed number of pixels \( \delta \) in the horizontal direction. To account for variations in spacing between characters, we generate bigram maps with multiple shifts \( \delta \) and select at each spatial location the best shift via the max-pooling operation
\[
a_{jk}(x; s, \theta) = \max_{\tau} \left\{ a_{jk}(\tau)(x; s, \theta) \right\}
\]
The “max” can be understood as a continuous “OR” operation, checking at each location whether a bigram has been detected in any of the candidate alignments. Furthermore, isolated single digits can be detected by computing neighborhood maps using shifts \( \pm \delta \). These neighborhood maps are computed from the single digit maps shifted in left and right horizontal directions and the further computing of a binary map that signals the absence of digits. Then, a “min” operation over digit map \( a_i \) and both neighborhood maps will indicate the presence of isolated single digits. This results in a total of 110 feature maps.
In our experiments, we use a reference page height/width of 1200 pixels, \( s \in \{0.5, 0.65, 0.8, 0.95, 1.0\}, \theta \in \{-90, 0, 90\}^\circ, \) and \( \delta \in \{8, 10\} \) pixels. Last, we select bigram maps from the sets of scalings, rotations, and shifts for which the feature map activity is maximized.
**Pooling**
As a final step, we apply spatial pooling to implement invariance with respect to the table layout and to reduce dimensionality, giving us a bag-of-bigrams representation for each page. We experimented with different pooling strategies and found that a standard peak detection algorithm resulted in the best task performance while allowing for a directly interpretable decoding of numerical features.
For the activity peak detection of bigrams, we started from a set of 100 bigram maps \( a_{jk} \) with \( jk = \{00, \ldots, 99\} \) which are added to 10 maps for isolated digits \( \hat{a}_i \) with \( i = \{0_-, \ldots, 9_-\} \), resulting in \( \hat{a} = (a_i, a_{jk}) \). Since the max-pooling used for the bigrams reduces the overall activity levels in comparison to the isolated digit maps, we introduced a scaling parameter \( \alpha \) to the latter \( a_i = \hat{a}_i / \alpha \).
Next, we subtracted a bias term calculated as the product of a relative scaling parameter \( \beta \) and the maximum pixel value across all maps \( \max_{(x,y)} \hat{a}_{(x,y)} \). The resulting maps were rectified to filter out weak background activity. For each of the 110 feature maps, we computed occurring peaks using the center of activity mass and further determine the linkage matrix using the distances between centers to perform a hierarchical clustering, assigning close-by activated pixels into groups of pixels that belong to one bigram. To limit the size of clustered regions, we define a maximum distance parameter \( d \) and select parameters using histogram Pearson correlation scores on the training patches and set \( \alpha = 3, \beta = 0.12, \) and \( d = 15 \). The resulting center of mass coordinates lastly give the digit location together with the digit label.
**Explaining similarity models**
To better understand the features that drive the similarity predictions, we apply XAI (47–50), specifically the purposely designed BiLRP method (76). This method assumes a similarity model of the type \( y = \langle \phi(x), \phi(x') \rangle \) where \( \phi \) is a neural network based feature extractor, and \( y \) measures the similarity between \( x \) and \( x' \). The method explains the produced similarity score \( y \) in terms of contributions of feature pairs \( (x_i, x'_p) \). Conceptually, the method computes these contributions by performing a backpropagation pass from the top layer to the input layer. Each step of the backpropagation redistributes contribution scores from a given layer to the layer below. The method stops once the input features are reached. In practice, the explanation is computed more efficiently by computing multiple standard LRP explanations (75) (one for each element of the dot-product) and then recombining them at the input via a matrix product. To compute each LRP pass, we apply the LRP-0 rule (99) and pool resulting explanations over pixel regions of 15 \times 15.
**Evaluation**
The evaluation of the different representations used in our approach using ground-truth data annotations is described in the following.
**Single-digit accuracy**
The trained digit encoder is used to predict digit maps on the held-out test set. For each patch, the resulting activation map is computed, multiplied by a bounding box region mask, and lastly sum-pooled, resulting in a vector of size $1 \times 10$. The maximally activating vector index gives the predicted digit used to compute the single-digit accuracy.
**Full-page bigram histograms**
We use the digit model to compute 110 single-digit and bigram activation maps from which we extract histogram summaries by applying peak detection or spatial sum-pooling. Ground-truth histograms are computed by identifying and counting all bigram and isolated single-digit occurrences. Each bigram count, $h_{ik}$ is optionally mapped to its square root to better handle the difference of scale between frequently occurring and rare digits and bigrams, respectively. Last, the Pearson correlation between ground-truth and computed histograms is computed for each page.
**Cluster classification**
To validate the resulting clusters, we use a subset of the full corpus that contains one- and two-page instances of the Sun-Zodiac tables. The corresponding 71 table pages containing more than 45,000 single digits are split into train-test (50/50) sets, and a nearest-neighbor distance model is fitted on the training set. For all remaining data points, we assign the class label according to different distance models and compute the cluster purity of the test split over 10 random seeds. We have compared different ways of extracting page representations: (i) Bigram: Bigram histogram counts were obtained using the bigram model with peak detection and square root mapping. (ii) Pooled: Activity maps were obtained as in (i), but instead of peak detection, we directly applied spatial sum-pooling to the bigram maps. (iii) Unigram: Instead of computing bigram maps, we built a 10-dimensional unigram count histogram using peak detection. (iv) VGG-16: We used the pretrained encoder of the deep image classification network VGG-16 (96) and extracted spatially pooled output feature maps after the last of five convolutional blocks.
**Visualization**
For visualization of the table representations, we performed a t-distributed Stochastic Neighbor Embedding (t-SNE) projection and use the same t-SNE projection coordinates throughout the paper. After ensuring that resulting projections are robust across a range of values, the perplexity parameter is set to 500. Depending on the analysis, we filter the rendered data points, for example, based on a specific time interval or geographical location as shown in Fig. 2. This two-dimensional visualization of the table representation is used primarily for illustration purposes. Given the limitations of such projections, we do not rely on it to infer any insights directly but instead use it as heuristic to guide data exploration by domain experts.
**Historical Corpus-level analyses**
**Temporal analysis**
The first edition of the Sacrobosco Collection (1472–1650) with at least one page of tables was produced in 1494 and the last in 1647. During these 153 years, the publication rate varied considerably. We thus implement a sampling-based temporal analysis. At each time step $t_i$, we determine sampling probabilities for each table page using a truncated normal distribution $\mathcal{N}(t_i, \sigma^2)$, assigning probabilities to data points falling within the interval $(t_i - \sigma, t_i + \sigma)$ and setting probabilities for data points outside this range to zero. We sample $N = 80$ data points at each iteration, assign cluster membership labels to them, generate a cluster count histogram with dimensions of $1 \times k$ with $k$ representing the number of clusters, and subsequently compute the entropy for each histogram vector. Clusters are computed using $k$-means clustering (100) with $k = 1500$ clusters. We have further studied the robustness of our results to the choice of hyperparameter in the Supplementary Materials. The temporal evolution of entropy scores is computed for digit density thresholds of $\{0, 100, 200, 250, 300\}$, which refer to the maximum number of digits detected on a page and average entropy curves over 20 runs for each threshold.
**Geographical analysis**
To study the varying knowledge production expressed by the tables printed across 32 different printing centers, we compute entropy as the difference in entropy between the $k$-means cluster distributions and an uninformed uniformly distributed production process $H(p) - H(p_{\text{max}})$, where $p_k$ represents the probability of assigning a table to cluster $k$ with $k = 1500$. The term $H(p_{\text{max}}) = \log(N_c)$ with $N_c$ the number of tables printed in city $c$ captures the maximum entropy that a cluster distribution for each print location can achieve. These differences in entropy scores are by definition below or equal to zero. They are minimized for cities that output low entropy distributions, i.e., by repeatedly printing the same material.
**Supplementary Materials**
The PDF file includes:
- Supplementary Materials and Methods
- Supplementary Text
- Figs. S1 to S48
- Tables S1 to S3
- Legends for movies S1 to S5
- References
Other Supplementary Material for this manuscript includes the following:
- Movies S1 to S5
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225. I. C. Hennen, “Printers, booksellers, and bookbinders in wittenberg in the sixteenth century: Real estate, vicinity, political, and cultural activities” in *Publishing Sacrobosco’s De sphaera in Early Modern Europe. Modes of Material and Scientific Exchange*, M. Valleriani, A. Ottone, Eds. (Springer, 2022), pp. 99–154.
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229. E. Honigmann, F. Szegzin, *Die sieben Klimata und die Poleis Episemoi : eine Untersuchung zur Geschichte der Geographie und Astrologie im Altertum und Mittelalter* (Institute for the History of Arabic-Islamic Science, 1992).
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237. F. Barozzi, *Cosmographia in quatuor libros distributa, summo ordine, miraque facilitate, ac brevitate ad Magnam Ptolemaei Mathematicam Constructionem, ad universamque Astrologiam instituens: Francisco Barocci, Iacobi Filio, Patritio Veneto autore. Cum Prefatione eiusdem Authoris, in qua perfecta quidem Astrologiae Divisio, & enarratio Aurorum illustrium, & voluminum ab eis conscriptorum in singulis Astrologiae partibus habetur: Ioannis de Sacrobosco vero 84 errores, & alij permulti suorum expositorum, & sectatorum ostenduntur, rationibusque redarguuntur. Precesserunt etiam quaedem Communia Mathematica, necnon Arithmetica & Geometrica principia, nonnullaque Propositiones, de quibus in toto opere saepe sit mentio: Ac demum locupletissimus index eorum, que ipsa Cosmographia continentur. Omnia ruper in hac secunda editione ab ipso Autore diligenter recognita, multisque in locis aucta* (Grazioso Percacino, 1598).
238. I. Pantin, “Lire le ciel dans les poèmes anciens. Le De ortu poetico et la pédagogie de melanchthon” in *Une honnête curiosité de s’enquérir de toutes choses: Mélanges en l’honneur d’Olivier Millet*, M. C. de Ribes, S. Dembriuk, D. Fliege, V. Oberliessen, Eds. (Droz, 2021), pp. 373–384.
239. T. Blebel, *De sphaera et primis astronomiae rudimentis libellus ad usum Scholarum maximè accommodatus: accurata methodo & brevitate conscriptus, ac denuo editus. A M. Thoma Blebelia Budissino* (Johann Krafft, 1582).
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**Acknowledgments:** We would like to thank O. Nicolaeva, T. Kemeny, and S. Tietz for support in the early phase of this research especially concerning the organization of the training set. We also would like to thank N. Citron, B. Federau, and V. Beyer for help in cleaning the data. Our gratitude also goes to L. Divarci for support in managing the publication process. Last, we would like to thank the reviewers for constructive remarks, which helped improve this article.
**Funding:** This work was partly funded by the German Ministry for Education and Research (under refs 01IS14013A-E, 01GQ1115, 01GQ0850, 01IS18056A, 01IS18025A, and 01IS18037A) and BBDC/BZML and BIFOLD. Furthermore, K.-R.M. was partly supported by the Institute of Information & Communications Technology Planning & Evaluation (IITP) grants funded by the Korea Government (MSIT) (no. 2019-0-00079, Artificial Intelligence Graduate School Program, Korea University and no. 2022-0-00984, Development of Artificial Intelligence Technology for Personalized Plug-and-Play Explanation and Verification of Explanation). Last, the Sphere project is also supported by the Max Planck Institute for the History of Science.
**Author contributions:** O.E., J.B., and G.M. developed the ML software. O.E., J.B, M.V., and H.H. performed the data analysis. M.V. and J.B. performed the historical interpretation. H.H. managed the data repository and performed data curation. O.E., G.M., J.B., M.V., and K.-R.M. conceptualized the experiments and discussed the results. O.E., G.M., J.B., H.H., M.V., and K.-R.M. wrote the manuscript. All authors read and approved the manuscript.
**Competing interests:** The authors declare that they have no competing interests.
**Data and materials availability:** All data needed to evaluate the conclusions in the paper are present in the paper and/or the Supplementary Materials. The Sacrobosco Tables dataset can be accessed via https://doi.org/10.5281/zenodo.10933231. Further data, including annotated ground-truth data for training and evaluation, code, as well as pretrained models and demonstration code, are made available at https://doi.org/10.5281/zenodo.10933231, and our code repository is hosted at https://github.com/oeb erle/reading_tables.
Submitted 12 June 2023
Accepted 19 September 2024
Published 23 October 2024
10.1126/sciadv.adj1719
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CORNELL VEGETABLE PROGRAM
A premier regional agricultural Cornell Cooperative Extension team that provides educational programs and information to growers, processors and agribusiness professionals, arming them with the knowledge to profitably produce and market safe and healthful vegetable crops.
- Together, the Cornell Vegetable Program made more than 400 farm visits and phone/email consultations
- 13 educational events were organized by the Cornell Vegetable Program this quarter
- Cornell Vegetable Program Specialists gave presentations at 25 events hosted by Cornell Cooperative Extension Associations and other collaborative organizations
- 2,319 people attended meetings where presentations were made by Cornell Vegetable Program Specialists
ONTARIO PRODUCE AUCTION FORMED
The Cornell Vegetable Program was privileged to participate in the November 15 formational meeting of a new produce auction in the Town of Gorham.
This new auction will mean less transportation for existing nearby growers, but more importantly the recruitment of many new vegetable farmers in Ontario and surrounding counties. Based on Cornell Vegetable Program/Harvest NY research this will be an economic benefit to the county. In other areas of New York State, produce auctions have led to 88% additional acreage of land being planted specifically for the auction and 66% of buyers expanded their operations because they were able to carry a larger variety of products.
In 2016, 5 of the 6 NYS produce auctions were located in WNY in Chautauqua, Orleans, Allegany, Seneca, and Yates Counties.
The Cornell Vegetable Program has repeatedly been cited by growers as key to auction growth. “[CVP] is recognized as a resource...through work getting the State’s produce auctions going.”
Development of a new produce auction in the Town of Gorham will increase vegetable acreage. Photos: CCE Cornell Vegetable Program
CVP'S UNDERGRADUATE EDUCATION BENEFITS NEXT GENERATION OF AG LEADERS AND TUNNEL RESEARCH OBJECTIVES
In the fourth quarter, the CCE Cornell Vegetable Program (CVP) strengthened its participation in undergraduate education by collaborating with the student run Dilmun Hill organic farm.
As collaborators on a $10,000 Toward Sustainability Foundation grant, CVP and Dilmun Hill organized 2 workshops for undergraduate students on season extension and vegetable production. The Cornell Vegetable Program collected data on soil and crop nutrient levels, assisting the managers with long-term farm planning. This data contributes to a state-wide observational study on high tunnel soil. The Cornell Vegetable Program and Dilmun Hill also collaborated on a grant proposal for 2017 which furthers the development of the next generation of agricultural leaders. Anticipated project outcomes include increased economic performance of tunnels by 25% by optimizing fertilizer inputs, balancing macro-nutrients, decreasing compaction, increasing organic matter levels.
For outreach, the partners have engaged in a 3-part video series explaining the techniques and benefits of season extension to be featured on the CVP YouTube channel and CU High Tunnel webpage.
TABLE BEET AND PROCESSING VEGETABLE ADVISORY MEETINGS FACILITATE INFORMATION EXCHANGE
Each year, the Cornell Vegetable Program organizes a series of crop-focused advisory meetings to facilitate the exchange of information between the industry and researchers. The groups set research priorities which are used by funding agencies when allocating research and extension dollars. On December 6, 2016 in Geneva, NY, a group of 30 growers, processors, crop consultants, and Cornell University Researchers and Extension Educators met to discuss processing snap beans, the largest acreage processing vegetable in New York (approx. 20,000 acres planted annually). Similarly, on December 8 in Batavia, NY the largest group of attendees (42) at the table beet advisory meeting in recent memory came together to hear of progress on current and future projects involving weed and disease management, to share industry needs, and to learn of resources available at Cornell. After lively informal discussions over lunchtime, 47 attendees met to discuss the growing season and to learn research results for processing carrots, sweet corn, peas and lima beans.
All agreed that the 2016 growing season was a tough one due to the long lasting drought and heat. Other concerns included troublesome weeds, diseases and insects. Priorities were set for upcoming research proposals, which are funded by the growers and processors through the New York State Vegetable Research Association, which annually allocates roughly $130,000 per year, based on tonnage of vegetables delivered to the plants the previous year. Furthermore, attendees could earn DEC pesticide applicator recertification credits or Certified Crop Advisor continuing education credits. Processing vegetables are grown on roughly 40,000 acres in New York each year, with a value of $53.5 million (USDA Ag Statistics, 2014). Research is supported by the industry, and various state and federal grants.
Cornell students attend a CVP workshop on high tunnel soil health and season extension at Dilmun Hill organic farm on November 4, 2016. Photo: Cordelia Hall, CCE Cornell Vegetable Program
Effect of different weed management treatments on carrot root growth. Photo: Julie Kikkert, CCE Cornell Vegetable Program
CORNELL VEGETABLE PROGRAM PREVENTS ECONOMIC LOSSES CAUSED BY SWEDE MIDGE ON AT-RISK SMALL-SCALE ORGANIC BRASSICA FARMS
Swede midge (SM) is an invasive insect pest that is threatening the viability of organic production of *Brassica* crops within the Cornell Vegetable Program region and throughout the Northeastern US. In New York State alone, these crops are grown on more than 300 farms and have a combined value of greater than $60 million. SM attacks all *Brassica* crops including broccoli, cauliflower, cabbage, Brussels sprouts, kale, kohlrabi and turnip. SM lays eggs in the growing meristems of these crops, and secretions of the feeding larva cause swelling, scarring and distortion of plant tissues, including lack of head formation, resulting in unmarketable crops.
Small-scale organic growers are especially at-risk for economic loss from SM, because organic insecticides analogous to the systemic products that have proved vital to conventional management of SM do not exist. Their small land base and high proportion of acreage cropped to *Brassica* crops in multiple plantings makes long and widely spaced crop rotations challenging and often ineffective. Thus, SM can build to devastating populations quickly.
In 2015, Cornell Vegetable Program Extension Specialist, Christy Hoepting and her team began work with seven small-scale organic farms across the CVP region that were suffering economic losses from SM. All of them reported losses of marketable yield from 60 to 100% in certain plantings, especially in broccoli, worth more than $4,000 per planting. The project involved using pheromone traps to monitor SM population dynamics in order to identify effective management strategies, as well as several on-farm trials/demonstrations of insect exclusion netting in combination with various mulches. At the end of the 2016 growing season, 5 out of the 7 farms (= 71%) no longer suffered economic losses from SM. Monitoring allowed these growers to understand how to effectively crash the SM population on their farm, whether it be via far and wide crop rotation, adoption of insect exclusion netting, or by planting quick growing brassicas under row cover.
Funding has been requested to continue the project on the remaining two farms that still suffered from SM losses in 2016; one farm transitioned to new owners who will need assistance, while on the other farm, the SM population dynamics proved to be more difficult to understand and predict. Project plans also include adding an organic management section to the Cornell Swede Midge Information website and production of a new fact sheet, both of which will include a compilation of management practices developed through this project. An SM diagnosis training video is also in the works. Ideally, small-scale at-risk organic growers will no longer suffer economic losses from SM as a result of this project and the Cornell Vegetable Program’s dedication to educating at-risk growers.
Several on-farm trials and demonstrations showed that using insect exclusion netting could be highly effective for managing swede midge, especially in high value brassicas.
*Photo: CCE Cornell Vegetable Program*
Christy Hoepting talks about swede midge diagnosis and management strategies at the Organic Vegetables Field Day at Cornell’s organic farm in Freeville, NY. *Photo from Cornell Horticulture.*
CORNELL WEED SCIENCE RESEARCH SUSTAINED BY CORNELL VEGETABLE PROGRAM SPECIALIST
Weed management continues to be a research priority for vegetable growers across the state. The sudden loss of Weed Scientist Robin Bellinder on November 13, 2015 was a shock to Cornell University and the vegetable industry. To help fill this tremendous void until a full-time faculty replacement is hired, CVP Specialist Darcy Telenko stepped in to keep the Cornell weed science research projects and program moving forward.
Darcy successfully acquired over $67,000 of research funding from the NY Vegetable Research Council and Association, NYS Dry Bean Industry, Cabbage Research and Development Program, and Industry Sponsors to continue weed science research. Twelve weed science research plots were established at the Homer C. Thompson Vegetable Research Farm in Freeville and with on-farm collaborators working alongside Robin’s great technical research team. Research trials included: herbicide evaluation trials in dry bean, snap bean, lima bean, beets, carrots, peas, and sweet corn; a NYFVI support trial in collaboration with Sarah Pethybridge and Julie Kikkert on evaluation of ethofumesate rates for beets; and an industry sponsored evaluation of a new products for potential use in carrot, rosemary, rhubarb, bell pepper and broccoli. Data collected this season is available in a [130-page research report](#) available on the CVP website or contacting Darcy email@example.com. In addition, some of the data will be combined from 2015 trials and written up as manuscripts for publication.
In conjunction with the research program extensive outreach programming in weed management was presented across the state. The CVP hosted two field days in Batavia and Portland, a Weed Management Session at Empire State Producer’s Expo, and over eight twilight and extension meetings in 2016. In addition, Darcy was relied on to make numerous weed management Extension presentations for other regional teams, at the Mid Atlantic Fruit and Vegetable Conference in Hershey, PA, WNY Farm Show, and the 2016 NRCCA Advance Training in Syracuse on topics including: Herbicide Resistance and Weed Management, Weed Management in Vegetables, Gaining the Upper Hand in Weed Control by Understanding the Enemy, and Current Status and Management Options for Herbicide Resistance. All in all, over 27 presentations were given reaching over 800 growers and industry representatives.
The Cornell Horticulture Section is in the process of interviewing candidates to fill the open faculty position left by Robin, and hopes to identify a candidate in the upcoming months and have them onboard during the summer of 2017.
NEWLY FUNDED GRANTS
Each year, the Cornell Vegetable Program is tasked with generating a certain percentage of our operating funds, or Program Generated Funds (PGF), through research grants, sponsorships, and meeting registration revenue. This quarter, we are pleased to have received the following grant funds:
- **Transforming White Mold Management in Snap Bean Using Remote Sensing Via Unmanned Aerial Systems**, USDA AFRI Critical Agricultural Research and Extension (CARE) Program, 2/1/17 - 8/31/18, $299,692 (Pethybridge, van Aardt, Salvaggio, Kikkert)
- **Weed Science Program**, Cornell Horticulture section, 12/16/16, $2,000 (Telenko)
- **Lead for Empire State Producer's Expo**, Cornell Horticulture section, 12/16/16, $3,000 (Telenko)
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**PRESIDENT’S MESSAGE**
*Burnout and the FSPHP: A Paradox for Success*
P. Bradley Hall, MD, DABAM, DFASAM
The term *burnout* itself is a paradox of sorts—almost a “pejorative blessing.” Initially indicating a condition of the individual physician, burnout garnered a preponderance of attention from the house of medicine at the individual level all the way to national organizations representing or serving those individuals experiencing burnout. As result, it is now recognized more accurately as a cause for concern that goes well beyond the problem “within” the
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President’s Message 1
Message from the Executive Director 3
FSPHP Appreciation to Our Annual Campaign Donors 4
Federation of State Physician Health Programs’ Development Plans for Performance Enhancement and Effectiveness Reviews (Peer) and Treatment Center Reviews 5
FSPHP Welcomes the Following New Members! 7
Observations of a Newbie 8
American Board of Obstetrics and Gynecology’s Collaboration with the Federation of State Physician Health Programs 9
“Cleared for Takeoff” 10
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Updates from Around the United States 13
Another Tool for Your Tool Kit in Your Work with Healthcare Professionals 17
Federation Of State Physician Health Programs, 2018 Annual Education Conference and Business Meeting 18
Physician Health and Other Related Organizations National Meetings 28
individual physician. It is now known to include “systems” within which physicians work today; therefore, the solutions must include this shared responsibility of system redesigns and individual wellness. This buzzword of *burnout* has resulted in the FSPHP being involved in an unprecedented multitude of projects and collaborations with other organizations and in partnership at the national level. The recognition of the benefits and success of the PHP model we have all known has shifted the perspective of others to see our membership—and the FSPHP itself—as having a significant role in primary prevention of burnout and the expanding awareness of issues facing physician health and well-being.
In recent years, the FSPHP has been involved in the 2016 World Medical Association Physician Well-Being Policy and the AMA Model Physician Health Program Act (a 1985 policy revision) [www.fsphp.org/sites/default/files/pdfs/ama_physicians_health_programs_act_-_2016.pdf]. Your leadership has attended the ACGME Symposium on Physician Well-Being and the National Academy of Medicine’s “Action Collaborative on Clinician Well-Being and Resilience” [https://nam.edu/initiatives/clinician-resilience-and-well-being]. We are currently involved in the Federation of State Medical Boards’ Physician Wellness and Burnout Workgroup, a joint FSPHP/FSMB survey of PHPs and will continue our combined education session at the FSPHP annual conference. We’ve had additional educational opportunities at the Coalition of Physician Enhancement (CPE), American Osteopathic Association (AOA), Coalition of Physician Education (COPE), and the Organization of State Medical Association Presidents (OSMAP), and we will be presenting “Improving Addiction Outcomes: Lessons from the Physician Health Program Model” at the National Rx Drug Abuse & Heroin Summit [https://vendome.swoogo.com/2018-rx-summit].
The FSPHP has also had direct interactions with ABMS member boards as they navigate their own processes. Many of our members were involved in the writing of the recent textbook, *Physician Mental Health and Well-Being: Research and Practice*. Meanwhile, Dr. Earley was involved in writing the revision of the chapter on PHPs and Physician Addiction in the ASAM textbook: *Principles of Addiction Medicine*. Dan Perlin, MD, presented at the International Health Facility Diversion Association (IHFDA), representing his commitment to physician health and well-being. We were also instrumental in assisting the American Board of Obstetrics and Gynecology in updating their MOC application relative to PHP participants. Without the support of our membership and individuals like yourselves, these and other important works would not have been accomplished.
Board members continue the important work in overseeing the accomplishments within each of the four strategic goals and associated objectives related to our workgroups:
- **Revenue**
- **Accountability, Consistency, and Excellence (ACE)**
- **Education, Media, and Research**
- **Organizational and Membership Development**
The FSPHP committees have been hard at work accomplishing the much-needed groundwork for the many FSPHP projects, both within and beyond the organization. The program planning committee, under the leadership of Martha Brown, MD, and Doris Gunderson, MD, have continued to improve the quality of education and attendee experience for members and nonmembers alike at our annual conference. The work of committee members has been exemplary and now includes the addition of the silent auction in support of the funding workgroup goals.
The publication committee, under the leadership of Sarah Early, PsyD, and Amanda Kimmel, continues to produce an exemplary FSPHP newsletter of the highest caliber, while guiding ongoing work of the website and ListServe. The finance committee, Robin McCown, chair, continues to guide the board in its fiscal responsibilities of carrying out our transition to organizational independence with sound financial management. Recently, one of our most valuable assets, the past-presidents committee, Luis Sanchez, MD, chair, has been doing a groundbreaking
**FSPHP STRATEGIC GOAL WORKGROUPS**
- **Revenue**: Develop revenue sources to support budget neutrality to ensure the financial sustainability of the FSPHP.
- **Accountability, Consistency, and Excellence (ACE)**: Improve accountability, consistency, and excellence by utilizing and implementing an FSPHP-endorsed review process for PHPs and treatment centers.
- **Education, Media, and Research**: Provide ongoing education about the value of PHPs via education, media relations, and research.
- **Organizational and Membership Development**: Maintain and continue to grow an organizational structure and membership services that will help achieve our mission, vision, and strategic goals.
compilation of references toward a future publication representing years of expertise, experience, and passion. Having a “white-paper-type” publication by our mentors and “lions in the field” is exciting. The medical student and resident committee, under the leadership of chairs Martha Brown, MD, and Joyce Davidson, LSW, has been quite busy in producing a medical school survey related to PHP awareness and utilization. The research committee chair, Paul Earley, MD, has been very productive in the development of potential FSPHP research and projects that will collaborate with outside organizations. Dr. Goldberg and the task force on education developed guidelines that resulted in the recent launch of the FSPHP membership portal and library of presentations. Kelley Long, chair of the funding development committee, is working in tandem with the board members involved in the Revenue Workgroup, providing incredible expertise and guidance in the FSPHP fundraising plan. Our intensely dedicated FSPHP ACE Committee has been and continues to participate in an impressive consensus-building process updating the *FSPHP Guidelines*. These guidelines will be utilized in the development of our performance, enhancement, and effectiveness review process to be made available for all PHP programs, inclusive of a treatment center review process.
As you can see, the years of hard work by the forefathers of the FSPHP, the PHP model success, the devotion of our membership, and the current state of affairs relative to burnout, physician health, and well-being have made the importance of our work highly respected. The gold standard of care provided by the PHP model and the work we do are exemplified by the current activities and those yet to come benefiting the PHP model and the participants we serve.
I would be remiss not to recognize Linda Bresnahan, our Executive Director, for her expertise, passion, and leadership, which is demonstrated in all that the FSPHP has accomplished and continues to improve upon today. The medical association management assistance from Julie Robarge is greatly appreciated as well. With our current staffing and committed membership, “we” have created more understanding of the value of the PHP model and, therefore, expanding opportunities ahead for PHPs, including greater visibility of the successes and importance of our work.
As your president, in writing my last “President’s Message,” I am in awe. Words are inadequate in describing the experience. Since beginning this work in 2005, the maturation, devotion, expertise, and accomplishments of the FSPHP are ineffable. I remain and have been honored to be a “humble servant” among many to the effectiveness of the FSPHP and enhancement of physician health and well-being.
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**MESSAGE FROM THE EXECUTIVE DIRECTOR**
*Linda Bresnahan, MS, Executive Director*
**FSPHP Activities**
As the new year began, I had a chance to consider where we have come and where we are going. During these 18 months in my role as your first full-time executive director, I realize now more than ever that this is an exciting and important time for the physician health program profession and the FSPHP.
**Membership**
The FSPHP total membership has increased 10 percent. There is more potential to realize. I look forward to prioritizing conversations and support from the membership committee and state physician health programs to continue to expand our membership to Physician Health Programs (PHP) professionals and to individual and organization members. Your support by sharing information about FSPHP membership to your board, committees, treatment professionals in the state, and stakeholders can have enormous impact. I invite you to encourage new members and share contact information of potential members with me.
This membership increase of 10 percent is significant considering many membership associations struggle to retain their membership. We not only retain our members, but we also gain new ones each year. We should be very proud of our ability to retain members. I am certain this is reflective of the strong dedication and passion we share with our fellow members toward our mission of supporting the well-being of physicians and healthcare professionals.
**FSPHP Committees and Workgroups**
Along with the 14 board members leading the FSPHP through the work of the Board of Directors, we have approximately 15 committees moving our goals forward. As you may know, in 2015, following a robust strategic retreat, the Board of Directors divided into four workgroups to help lead the progress of four strategic goals. These strategic goals were shaped based on your feedback solicited during our first membership survey. These workgroups are centered on expanding and diversifying revenue; sustaining and growing our membership and
*continued on page 4*
organizational development; enhancing our accountability, consistency, and excellence; and strengthening our education, research, and visibility.
The success of the FSPHP committees and workgroups has been tremendous. As an association, we are going to benefit from continued laser focus on our strategic plan goals. The action items of these plans are aligned and often carried out by the FSPHP committees. We thank you for this!
A sampling of FSPHP success in the past 18 months follows, accomplished with the robust leadership of our various FSPHP Committees and our Board of Directors:
- Navigated the transition of the FSPHP operations to an independent stand-alone organization
- Planned and organized a 2017 Strategic Retreat
- Strengthened and developed visibility for FSPHP through relationships with national associations, for example, the American Medical Association, the American Psychiatric Association, The American Osteopathic Association, FSMB, the ACGME, the AAAP, Coalition for Physician Enhancement, Institute for the Advancement of Behavioral Healthcare/National RX, and PEW Trust
- Launched the inaugural funding campaign and implemented many FSPHP fundraising initiatives, including our first silent auction (raising over $20,000 in 2017) with the support of the FSPHP Funding Committee and FSPHP Program Planning Committee
- Secured $10,000 in funding from the Federation of State Medical Boards and the American Medical Association to support the development of our Performance Enhancement and Effectiveness Process (PEER) for Physician Health Programs and Treatment Center reviews
- Implemented a new 123Signup membership system user interface
- Implemented our new membership portal with integration for member log-in access, with much guidance from the FSPHP Library Task Force
- Organized our first leadership media training and media training for FSPHP members in our 2016 and 2018 annual meetings
- Rewriting of the *FSPHP Guidelines* by the FSPHP ACE Committee
- Facilitated and contributed to an educational piece with PEW Trust ([www.pewtrusts.org/en/research-and-analysis/blogs/stateline/2017/11/06/for-addicted-doctors-confidential-treatment-that-works](http://www.pewtrusts.org/en/research-and-analysis/blogs/stateline/2017/11/06/for-addicted-doctors-confidential-treatment-that-works))
- Facilitated a publication about PHPs with the *Judges Journal* ([https://www.americanbar.org/groups/judicial/publications/judges_journal/2018/winter/physician-health-programs-model-treating-substance-use-disorders.html](https://www.americanbar.org/groups/judicial/publications/judges_journal/2018/winter/physician-health-programs-model-treating-substance-use-disorders.html))
- Participated in education calls with states forming or developing their PHP
- Program Planning Committee continues to meet monthly to design our pinnacle event—that is, our annual meeting
- First-ever Past Presidents Committee has been meeting monthly under the leadership of Luis T. Sanchez, MD
- Our Finance Committee, Research Committee, Ethics Committee, Publication Committee, Medical Student and Resident Committee, Membership Committee, and Bylaws Committee have all been meeting regularly and/or advising FSPHP on important matters. The FSPHP Public Policy Committee members have been actively involved in the critical work of updating the *FSPHP Guidelines*.
It continues to be my privilege to serve in this role for you. I encourage all members to take advantage of the many benefits of the FSPHP by participating in a committee or initiating posts to either of the two Yahoo! groups to increase discussion and dialogue around best practices. Please also log into our new member portal and submit presentations to grow our library. We are interested in having new members join our Program Planning Committee and the Membership Committee to help with our goals for these areas. Most of all, reach out to let me know how we can continue to best serve our members.
**FSPHP APPRECIATION TO OUR ANNUAL CAMPAIGN DONORS**
Since the start of our inaugural FSPHP fundraising campaign and silent auction, FSPHP raised $22,840 in 2017 and $500 dollars thus far in 2018.
FSPHP and our fundraising committee members would like to thank the numerous generous donors. We are grateful for this ongoing support. Board members, FSPHP members, and others invested in physician health have made contributions with a few matching PHP donations. This growing support will further our
strategic goals to develop a Performance Enhancement and Effectiveness Review Program (PEER) and a Treatment Center Review Program and increase member services and support, while furthering our research and education goals. To donate online, you may click here: www.fsphp.org/donate.
We would like to thank the following donors who have contributed since our last FSHPH newsletter issue:
**Caregivers ($500–$999)**
- Chris Bundy, MD
- Mary Ellen Caiati, MD
- Penelope Ziegler, MD
**Friends ($1–$499)**
- Michael Baron, MD
- Chris Bundy, MD
- Russ Carpenter, MD
- Gary Carr, MD
- Sarah Early, PsyD
- Paul Earley, MD
- Doris Gundersen, MD
- Marlene Hall
- P. Bradley Hall, MD
- Lynn Hankes, MD
- John Jackson, MD
- Victoria Jones
- David Karney, MD, MPH
- Scott Hambleton, MD
- Charles Meredith, MD
- Warren Pendergast, MD
- Michael Ramirez, MS
- Tracy Zemansky, PhD
- Penelope Ziegler, MD
**A Special Thank You to Our Education Donors**
- Affinity
- Caron Treatment Center
- The Farley Center
- MARR
- Providence Treatment Center
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**FEDERATION OF STATE PHYSICIAN HEALTH PROGRAMS’ DEVELOPMENT PLANS FOR PERFORMANCE ENHANCEMENT AND EFFECTIVENESS REVIEWS (PEER) AND TREATMENT CENTER REVIEWS**
In the 1980s, the American Medical Association and the Federation of State Medical Boards called for every state to form a safe alternative to discipline for physicians seeking confidential support for their mental health needs. Almost all state medical societies promptly responded and created Physician Health Committees within their state medical societies to address this call to action. Having successfully established PHPs in most states in the United States, the profession has called upon PHPs to improve the accountability, consistency, and excellence of the services we provide. PHPs are expanding the scope of their services. As PHPs improve, they are reaching a wider range of physicians before their stress, burnout, or challenges result in illness or impairment.
In 2005, the state members of FSHPH formulated guidelines for state programs to improve accountability, consistency, and excellence (FSHPH, 2005). This was the first step for PHPs and FSHPH to document best practices for PHPs. Consistent application of best practices has been a challenge for PHPs in an environment where each PHP works within the parameters of its state laws, regulations, and/or contracts. Given this dilemma, it became apparent that PHPs would benefit from a method for their boards, licensing agencies, and other stakeholders to review the expectations and services provided to determine if a given PHP is performing optimally and effectively. Furthermore, in 2011, the Federation of State Medical Board’s (FSMB’s) Policy on Physician Impairment states, “to gain the confidence of the regulatory boards, PHPs must develop audits of their programs that demonstrate an ongoing track record of ensuring safety to the public and reveal deficiencies if they occur.” More feedback came to the PHPs from members of our Physician Health Programs who completed a survey in 2015 in response to a request from FSHPH to help develop a process to review Physician Health Programs. For many years, PHPs have commissioned their own “audits” or “reviews.” However, objective and qualified review professionals are in short supply, and the existing methods for conducting reviews vary widely. To further assist its member PHPs with designing their own reviews, FSHPH created guidelines for designing a “Performance Enhancement Review” (PER). The 2016 *FSHPH Performance Review Guidelines* ([https://www.fsphp.org/resources/guidelines/2016-performance-enhancement-review-guidelines](https://www.fsphp.org/resources/guidelines/2016-performance-enhancement-review-guidelines)) were a necessary and helpful tool to promptly assist a PHP in commissioning and designing a performance review.
The next critical step in optimizing the efficacy of PHPs and to confirm credibility with key stakeholders is for FSHPH to design a standardized “Performance Enhancement and Effectiveness Review” process and train knowledgeable professionals on how to perform the PEER. An FSHPH PEER will alleviate the variability of reviews and provide a consistent measure of quality across all PHPs.
In addition, FSHPH recognizes the need to develop standards and use them to accredit treatment centers that work with our special population. Over the years, PHPs have gained tremendous experience with treatment...
centers that specialize in the care of medical students, residents, and career physicians. Our members have established standards of care for certain diseases. PHPs provide their physician participants with several treatment options at these programs, based on the physician’s illness and the experience of the treatment center with that illness and co-occurring illnesses. Despite best efforts, PHPs are sometimes questioned about their rationale for suggesting certain treatment programs for certain situations. To provide an accountable and consistent method of ensuring the treatment programs offered as resources to PHP participants are qualified, FSPHP would like to develop a Healthcare Professional Treatment Center Review Program in conjunction with developing the PEER Program. This review process will examine the qualifications of treatment centers to manage physicians, given the treatment centers’ unique needs to not only achieve health and strong recovery during treatment but also to be able to make qualified determinations regarding a physician’s fitness and whether to return a safety-sensitive professional to work.
**Project Plan**
The 2005 *FSPHP Guidelines* are undergoing an update and will be a useful resource for the development of this process. The “Accountability, Consistency, and Excellence Committee” consists of physicians, social workers, and attorneys representing 20 state PHPs. To provide a consistent measure of quality across all physician health programs, these updated guidelines will be utilized to serve as the basis for the state PHP PEER Program.
Given the call for the PHP review arm of the PEER process and the treatment centers’ review process, we need to establish both arms of this process quickly. This is best accomplished with a partner. Over the past two years, FSPHP has vetted several potential partners. Ultimately, we are close to partnering with a quality company that has a track record of successfully developing validated accreditation processes and has extensive management experience. Outsourcing the initial development work on these two review programs—with FSPHP, PHP, and treatment professionals’ input and oversight—and the subsequent day-to-day management of the programs to an external partner will enable both programs to grow under the guidance of a dedicated staff with deep expertise in standard-setting programs. Metacred will implement a research and development solution that will take the PHP PEER Program and the Treatment Center Review Program from concept to full implementation, helping FSPHP realize our strategic and financial goals. They will be certain that the solution has the proper governance, structure, policies, procedures, and assessments in place to ensure the program is reliable, valid, and legally defensible and adheres to global best practices.
**Projected Outcome**
We are confident this program will strongly enhance the accountability, consistency, and excellence of the PHPs. It is well documented that healthy physicians have healthier patients. By enhancing PHPs, this process will improve the PHP participant’s ability to deliver quality care to patients, improve patient safety, and return more physicians to medicine, thereby positively impacting the supply of physicians. The visibility and accountability of PHPs have the capacity to increase with this program, thereby increasing referrals to PHPs. The impact of more referrals has the capacity to have a positive impact on more physicians who face the challenges of the healthcare environment today and suffer from stress and burnout as a result of those challenges. Finally, PHPs are well positioned to assist leaders in healthcare organizations who need time-sensitive, compassionate, and skilled assistance referring physicians in crisis within their organizations for help to a PHP. Again, with the PEER program and Treatment Center Review Program, PHPs’ capabilities in all these areas will improve, further supporting leaders in healthcare and PHP participants.
FSPHP’s specific outcome goal is to design and launch a PEER program and Treatment Center Review program over a period of 18–24 months. Our first successful outcome will be the completion of Phase 1 development, and our second successful outcome will be the launch of the PEER and Treatment Center Review services. The overall target outcome is for both review programs to provide a baseline for a PHP’s record of enhancing professional health, and to identify areas that would benefit from improvements. PEERs will provide a strong foundation for an ongoing commitment to maintaining quality of services, as well as strategic enhancement to a PHP and the treatment centers. As such reviews become more common, it is hoped that the data will enable the development of deeper insight and awareness into the importance of allowing our professionals the dignity to be patients, as well as providers, thereby enhancing patient health and safety.
**Funding Request to National Organizations**
The Federation of State Physician Health Programs (FSPHP) is requesting financial support from national organizations that share our common goal to improve the health and well-being of physicians. The funds
will go directly to an important project that further enhances the success of Physician Health Programs (PHPs) through the development and implementation of FSPHP’s Performance Enhancement and Effectiveness Review (PEER) Program. This program will create an on-site review process of PHPs. The review will capitalize on best practices in physician health and will identify areas that would benefit from improvements. In addition, FSPHP is constructing a second review process for the treatment centers that care for healthcare professionals—again ensuring that our physicians who become ill are given the best available treatment using evidence-based care.
Our first enthusiastic support has already come from the Federation of State Medical Boards (FSMB) and the American Medical Association (AMA). The FSMB and AMA—both of which promoted the development of PHPs in every state over 30 years ago—have each offered $10,000 in seed funding. We are asking other organizations to join us in this important endeavor, so we can start the development process in early 2018.
As you may know, FSPHP is a nonprofit organization of state physician health programs (PHPs) whose mission is “to support physician health programs in improving the health of medical professionals, thereby contributing to quality patient care.” PHPs, in turn, ensure the health of the physician workforce by assisting physicians suffering from potentially impairing conditions such as burnout, stress, substance use disorders, and other mental health conditions. PHPs are strengthened by the support of FSPHP. Thus, the support of national organizations will be amplified to the thousands of physicians throughout the country who suffer from stress, burnout, and mental health issues.
Upon confirmation of funding, FSPHP will execute the agreement with our new partner, who will develop both the PEER and treatment center review programs. With the chosen partner, FSPHP will have the capability to implement the review services upon completion of the development phase.
**References**
Earley, P. (2013). “Persons in Safety-sensitive Occupations.” In D. Mee-Lee (Ed.), *The ASAM Criteria: Treatment Criteria for Addictive, Substance-related and Co-occurring Disorders*. Carson City, NV: The Change Companies.
FSPHP. (2005). FSPHP Physician Health Program Guidelines. Retrieved from [www.fsphp.org/sites/default/files/pdfs/2005_fsphp_guidelines-master_0.pdf](http://www.fsphp.org/sites/default/files/pdfs/2005_fsphp_guidelines-master_0.pdf).
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**FREQUENTLY ASKED QUESTIONS**
*What will the PEER and treatment center review cost?*
During the development phase of this project, the FSPHP board and members involved will be part of an analysis to determine the cost for these services. These details are to be determined.
*How will my PHP or treatment center prepare for a review?*
A PHP or treatment center will complete an application for a review, at which point an iterative, consultative process will guide the applicant through the review.
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**FSPHP WELCOMES THE FOLLOWING NEW MEMBERS!**
**FSPHP State/Voting Members**
**Guy Cousins, LCSW, LADC, CCS, Director**
Medical Professionals Health Program, ME
**Greg Jones, MD, Medical Director**
Kentucky Physicians Health Foundation, KY
**David Karney, MD, MPH**
Texas Physician Health Program, TX
**Todd Mandell, MD**
Vermont Practitioner Health Program, VT
**Ben Seymour, CADC, Program Coordinator**
Idaho Physician Recovery Network, ID
**FSPHP Associate Members**
**James Alford, MD Associate Medical Director**
Alabama Physician Health Program, AL
**Dan Avery Jr., MD, FACOG, FACS, Associate Medical Director**
Alabama Physician Health Program, AL
**Jill Billions, MD, ABAM, FASAM, Associate Medical Director**
Alabama Physician Health Program, AL
**Amanda Brooks, LPC, Clinician**
Colorado Physician Health Program, CO
**Philip Candilis, MD, Interim Director of Medical Affairs**
Saint Elizabeth’s Hospital, VA
**Ashley Capdeville, LMHC, Monitoring Associate**
Physician Health Services, Inc., MA
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FSPHP Welcomes the Following New Members!
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Paul Cheng, MD
Oklahoma Health Professionals Program, OK
Monica Faria, MD, Addiction Psychiatrist
Greenburg & Sucher, PC, AZ
Sandra Frazier, MD, FASAM, Medical Director
Alabama Physician Health Program, AL
Dianne Gay, Project Manager
Georgia PHP, Inc., GA
Emily Haase, LPC, Clinician
Colorado Physician Health Program, CO
James T. Howell, MD, MPH
Florida PRN, FL
Wendy Humphries, Program Manager
Texas Medical Association, TX
Victoria Jones, Director, Program Operations
WV Medical Professionals Health Program, WV
Meghan McGauley, Clinical Coordinator
Montana Professional Assistance Program, MT
Andrew McLean, MD, MPH, Board President
NDPHP, ND
Cynthia Morales, Clinical Coordinator
Washington Physicians Health Program, WA
Kristi Plotner, LCSW, Executive Director
Mississippi Physician Health Program, MS
Astrid Richardson-Ashley, LGSW, Clinical Manager
Maryland Physician Health Program and Maryland Professional Rehabilitation Program, MD
Lisa Thomas, MD, MA, Medical Director
Missouri Physicians Health Program, MO
Ray Truex, MD, FACS, FAANS, Medical Director
Physicians’ Health Program, PA
John Valentine, MD
Vermont Practitioner Health Program, VT
Felix Vanderlick, Case Manager
Healthcare Professionals’ Foundation of Louisiana, LA
FSPHP Individual Members
Roland Gray, MD, Commissioner
Tennessee Lawyers Assistance Program, TN
Corey Richardson, DHSc, MBA, CEO/Clinical Director
Integrated Care of Greater Hickory, NC
FSPHP International Members
Vicki Deutsch, Program Manager
Physician and Family Support Program of the Alberta Medical Association, AB
Mara Goldstein, MD, FRCPC, Associate Medical Director
Ontario Medical Association—Physician Health Program, ON
Jon Novick, MD, Associate Medical Director
Ontario Medical Association—Physician Health Program, ON ■
OBSERVATIONS OF A NEWBIE
January 2018
Raymond C. Truex Jr., MD, FACS, FAANS; Co-Medical Director,
Pennsylvania PHP Foundation of the Pennsylvania Medical Society
Thirty-one years ago, I was in the process of losing my job to addiction. I had no ability to control my drinking and drug use and was living broke in a cheap motel. A colleague had heard something about a new program that had been started at the Pennsylvania Medical Society and suggested that I give them a call. That new program was called the Physicians’ Health Program. I made the call, and the PHP staff asked if I would be willing to follow their direction, and I agreed to do so. It was not an easy program that they outlined, but in my mind, I had no choice if I still wanted to be a physician. So, I went away to a long-term rehabilitation facility, and I was out of neurosurgery, my specialty, for three years. I never expected to get back.
However, after working in a drug rehabilitation facility for several years, a neurosurgical job opened up in middle Pennsylvania and, having demonstrated some early success in staying sober, the Physicians’ Health Program advocated for my return to neurosurgical practice. I would not have been able to return to clinical practice without the PHP standing behind me. I was able to rebuild my life in a new locale, and through a recovery program that included toxicology monitoring, I was able to maintain a stable recovery and build a successful practice.
Thirty years have now passed, but I’ve stayed close to the PHP. I became involved in my county medical society and rose to a leadership position. Because of my burgeoning involvement in organized medicine, I was elected to the Board of Trustees of the Foundation of the Pennsylvania Medical Society, the parent organization of our state PHP. I learned how important fundraising is to our PHP’s function and helped
campaign successfully to create an endowment for our PHP, ensuring its long-term survival. While on the Board of Trustees, I was heartened by the growth and success of Pennsylvania’s PHP, which I realized was a model for other states. I was honored to be elected Chairman of the Foundation Board and served as such for twelve years, all the while maintaining my own personal sobriety.
In July of 2017, I retired from clinical practice after 50 years of service to my patients. I knew that I would be at loose ends if I did not have some new purpose in my life. My Higher Power, as always, provided that purpose in the form of an offer to serve as a co-Medical Director of the Pennsylvania PHP. It seemed such a natural progression to me, given my personal understanding of recovery and gratitude to our PHP for turning my life around. What a shock it was to find that, despite my time on the Board of Trustees, I knew virtually nothing about the internal workings of our PHP and its relationship to the Pennsylvania State Board of Medicine and Dentistry. I had a lot to learn to become functional in my new position. I had to become more familiar with the co-occurrence of psychiatric conditions and substance abuse, and I needed to learn more about the new medically assisted treatments that are currently employed by the rehabilitation centers. I needed to know more about the new toxicology tests, their values and limitations. It was confusing to understand the various case-management paradigms that provide a structure for the management of our physician participants, yet to see that each case has its own variables that require flexible solutions. Dr. Jon Shapiro and our clinical staff proved to be patient, willing, and able teachers. And finally, I was introduced to the Federation of the State Physicians’ Health Programs, which I only remotely knew existed. I attended the Northeast regional meeting of the FSPHP in November of 2017 and was amazed to see how all of the state PHPs are confronted by different problems and have varying organizational structure, yet they are united in their purpose to assist recovering physicians. They facilitate the exchange of useful and important information through an Internet email chain, formal face-to-face interaction, and this newsletter. All of these communications have helped me acclimate to my new career with our state’s PHP.
In retrospect, I would not have planned my life as it happened, and it seems to have unfolded in a most unpredictable way. Early in my recovery, I had great fear of the PHP for the power they had over me and resentment for what they asked of me. Those negatives transitioned to respect and gratitude for the PHP in their support for me as I regained my life and my neurosurgical career. And as the narrative continues, I am learning about what happens behind the scenes to create success stories for so many of my fellow travelers on the road to recovery. I have been given a wonderful opportunity to work for the PHP, in the service of my peers, and for that I am most thankful. And I am grateful for all the wisdom and compassionate efforts of state PHPs across our country who have encouraged and facilitated the road to recovery for thousands of physicians and healthcare professionals, who, like me, without the help of their state PHP would have been consigned to the trash bin of medicine and dentistry.
AMERICAN BOARD OF OBSTETRICS AND GYNECOLOGY’S COLLABORATION WITH THE FEDERATION OF STATE PHYSICIAN HEALTH PROGRAMS
Susan Ramin, MD
Associate Executive Director
Sylvia Aziz, MHA, CSSGB
MOC Program and Communication Manager
Melissa Bagert
MOC Senior Specialist
The professionalism and professional standing component of the Maintenance of Certification (MOC) Program is indispensable with regard to maintaining board certification through the American Board of Obstetrics and Gynecology (ABOG).
A physician’s professionalism and professional standing not only contribute to better patient care and improvements in practice but also assure the public that Diplomates exhibit a high standard of care and professionalism in medical practice.
A few examples of the aforementioned level of care and professionalism include:
1. Acting in patients’ best interests
2. Behaving professionally in encounters with other medical professionals and colleagues, as well as with patients and families
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American Board of Obstetrics and Gynecology’s Collaboration with the Federation of State Physician Health Programs
continued from page 9
3. Holding themselves to a high standard of care so as to be able to provide the same for their patients
4. Representing their board certification and MOC status in the utmost professional manner
One measure of the professionalism and professional standing requirement is the self-reporting mechanism that is integrated into the annual ABOG MOC application. ABOG, along with the Federation of State Physician Health Programs (FSPHP), collaborated on revisions to the health-related questions in the application to ensure the questions are appropriate and effective. It is the goal of ABOG to have questions supportive of physician health and well-being and encourage support if needed. Health-related questions are intended to reflect ABOG’s desire to minimize barriers to physician health and well-being.
The health-related questions pertain to mandated participation in physician health programs by a state medical licensing board and to conditions affecting a physician’s ability to practice medicine in a competent, ethical, and professional manner. When physicians self-report that they are participating in a physician health program mandated by the state or facility where they are privileged, ABOG will conduct an inspection. Through this enhancement, ABOG can ensure the proper physician health program disclosure that would meet MOC requirements, protect privacy of health information not specifically related to a physician’s ability in their clinical practice, and simultaneously safeguard public welfare.
Furthermore, ABOG was cognizant of the fact that sometimes health-related questions are viewed negatively. Accordingly, the intention behind the revision of these health-related questions was to steer away from those that could potentially be interpreted as invasive or punitive. Notably, the partnership with the FSPHP on this project was instrumental in utilizing verbiage that disclosed the appropriate information without being intrusive, thereby minimizing any unintended barriers to physician health and well-being.
In summary, this collaboration has allowed ABOG to ask physician health program questions effectively, enabling physicians to respond without fear of disciplinary action in most situations.
For inquiries regarding ABOG’s MOC program or specific health program questions, email us at email@example.com.
“CLEARED FOR TAKEOFF”
Lynn Hankes, MD
“Cleared for Takeoff” is the title of the segment that aired on December 10, 2017, on CBS-TV Sunday Morning News with Jane Pauley. It told the success story of the commercial airline pilots’ recovery and monitoring program called HIMS that coordinates the identification, treatment, and return to work for pilots with substance use disorders. It is an industry-wide effort in which managers, pilots, healthcare professionals, and the FAA work together to preserve careers and enhance air safety.
Up until now, HIMS, like most PHPs, has not been well understood by the public, media, and population it serves. This, combined with the stigma of addiction, has made it difficult to share this model of success. Both HIMS and PHPs have benefited from tremendous success with their models for monitoring substance use disorders, and more effort is underway to share these strategies to create more awareness of the public and patient safety efforts in place and to raise awareness of the lessons to be learned from these safety-sensitive professions.
Both HIMS and PHPs have many similarities and differences. What can PHPs learn from HIMS?
HIMS was established in 1974, two years before the earliest PHP was formed. The early PHPs actually “borrowed” many features from the HIMS model.
There is variation among PHPs, and the table on page 11 represents a broad generalization for comparison purposes only.
Here are some comparisons:
| ELEMENT | HIMS | PHPs |
|--------------------------|---------------|---------------|
| Organization | National | State |
| Participation | 80% of airlines | 90% of states |
| Structure | Airline sponsored | Variable by state |
| Oversight | FAA | Organized medicine and medical boards |
| Services | SUD* only | SUD, MI¹, others |
| Drug of Choice | 90% EtOH | EtOH and drugs |
| In-Patient Treatment | 28 days | 28–90 days |
| Treatment cost | Airline and pilot | Doctor alone |
| Return-to-work | 6–9 months | 3–6 months |
| Disability support | Yes | No |
| Monitoring | 3 years | 6 months–5 years |
| A.A. and Peer Support | Mainstream/BOAF | Mainstream/IDAA |
| Confidentiality | No | Yes |
| Relapse Rates | 20% Estimated | 21% Estimated |
| Research | Only 1 study | Many studies |
| Penetration | 0.7% average | 1.0% average |
| Diagnostic mon. | No | Yes |
| Public Safety | Yes | Yes |
* SUD = Substance Use Disorder
¹ MI = Mental Illness
Both programs deal with individuals who are highly educated, goal-oriented, perfectionistic, hypervigilant, analytic, obsessive-compulsive, control-focused, and who overidentify with their occupations. HIMS programs, even at different airlines, are more uniform, whereas PHPs have more variations. Many of these variations are a result of laws, rules, and regulations beyond PHP control. With the support of the FSPHP, PHPs are moving toward increasing consistency among their best practices. Behavioral monitoring occurs monthly with HIMS as opposed to weekly with PHPs. Also, HIMS conducts urine drug screens less frequently than PHPs. Worksite monitoring, on the other hand, is more frequent with monthly visits at HIMS but quite variable with PHPs. Relapse detections differ—for HIMS: 20% UDSs/30% DUIs/50% Misc.; for PHPs: 60% UDSs/20% worksite monitor/20% Misc. Pilots usually receive disability payments while in treatment, but medical professionals do not, and they suffer from total loss of income.
It appears that the HIMS program, in comparison to PHPs, has tighter worksite monitoring, better financial support, access to DUI reports, less adverse publicity, greater program uniformity, and independent fitness-for-duty exams.
In comparison to the HIMS program, PHPs have a confidential track, tighter continuing care, published research, an extensive educational effort, more frequent forensic testing, and a diagnostic-monitoring category.
Do both programs work? Yes! For PHPs, out of 904 PHP-monitored medical professionals over seven-plus years, there was only one case of patient harm—an erroneous prescription. In its 43-year history, HIMS has never had a single case of a commercial passenger-carrying airline alcohol-related incident or accident. That is the “proof of the pudding!” It is reassuring that both the HIMS program and PHPs enhance public safety.
The national CBS TV broadcast highlighted the high success rate of the HIMS program and attributed it mostly to quality treatment, tight monitoring coordinated by an independent medical sponsor, and strict FAA requirements for return to work. It featured two recovering pilots, an FAA Official, and Dr. Lynn Hankes, who has worked with the HIMS program for the last 30 years.
To view the TV segment, click on www.cbsnews.com/news/rehab-that-puts-alcoholic-pilots-back-in-the-cockpit. It’s also on YouTube under “when rehab puts airline pilots back in the cockpit.”
You can learn more about the HIMS program at himsprogram.org.
SERVICE TO ALCOHOLICS ANONYMOUS
Terrance Bedient, FACHE
Alcoholics Anonymous (A.A.) is a fellowship of men and women who share their experience, strength, and hope to solve their common problem and help others to recover from alcoholism. It may seem unusual for a nonalcoholic to be writing about service to the fellowship of A.A.. However, nonalcoholics have been involved with A.A. in some fashion from the very beginning. It was a nonalcoholic woman who introduced Bill W. to Dr. Bob some 82 years ago—and that first conversation of the two founders of A.A. is now considered to be the birth of the fellowship.
Many are familiar with A.A.’s 12 Steps, which suggest a program of personal recovery, and the 12 Traditions, which help groups to preserve unity and singleness of purpose. Less well-known are A.A.’s 12 Concepts. While anything to assist a fellow sufferer can be considered A.A. service, the Concepts recognize the need for general service, which individual members and groups could not manage alone. The Concepts describe the general service structure and the services provided for the fellowship through the General Service Board of Alcoholics Anonymous (Board). It is through general service that nonalcoholics may contribute to the fellowship.
Though the FSPHP has always been supportive of A.A., Narcotics Anonymous (NA), International Doctors in Alcoholics Anonymous (IDAA), and Caduceus, I was initially unaware of general service opportunities for nonalcoholics. After a PHP presentation at a lawyer assistance program in 2008, a trustee inquired of my interest in A.A. general service. Thinking the trustee had mistaken me for someone in the fellowship, I responded, “I’m not alcoholic—I’m just visiting.” The trustee then explained that bylaws require that 7 of the 21 Board trustees be nonalcoholics.
The Traditions recognize the need for leadership to carry the message in ways that are impossible for local groups, such as publication of uniform literature, public information resources, helping new groups get started, publishing an international magazine, and carrying the message in other languages and in other countries. The Board, through its staff and subsidiaries, oversees services that individual members and groups could never manage alone.
The nonalcoholics on the Board are men and women who are recognized professionals in their own fields, have some experience working with A.A. members, and express a profound faith in the recovery program of A.A. As nonalcoholics do not have to worry about anonymity, they can represent A.A. in the media. Over the years, nonalcoholics have represented a variety of professions, including law, business, finance, corrections, medicine, social work, treatment, and public relations.
The Trustees of the General Service Board are concerned with everything happening inside and outside A.A. that may affect the health and growth of the movement. The Board has the spiritual and legal responsibility to protect A.A.’s Steps, Traditions, and Concepts as well as the integrity of the principles of A.A. However, whenever a decision on movement-wide policy is needed, the Board turns to the General Service Conference, some 120 elected members from the United States and Canada who provide broad policy guidance at the annual meeting.
Over the past several years, the Trustees developed their first-ever strategic plan to guide how the Board will continue to serve the fellowship. Key challenges for A.A. include engagement, membership, and communication. Though there are over 60,000 groups in the United States and Canada, only about 42 percent are actively engaged in general service. Lack of growth in the Fellowship in recent years indicates an opportunity to better reach out the hand of A.A. At the same time, data suggests that two-thirds of members come to A.A. through nonmember referrals. One effective way to attract more people to A.A. is to enhance cooperation with professionals and groups such as the FSPHP. Indeed, one of the first special interest activities ever embraced by A.A. was the development of the IDAA.
Even A.A. members may have limited awareness of the services provided under the Board. Thus, improvements are needed in the communications within the fellowship to engage individual members and groups. Through its literature and communications, the Board continues to emphasize a consistent message of hope so that Alcoholics Anonymous will continue to be a unified worldwide movement.
I had the privilege of serving as a Trustee from 2008–2017 with service as Treasurer from 2008–2013 and Chairman of the Board from 2013–2017. Serving as a nonalcoholic Trustee created a steep learning curve, and there were some surprises. For example, it surprised me to learn that anonymity is more about
preserving the integrity of the fellowship and less about protecting the privacy of the A.A. member. I was also surprised that A.A. is not a temperance organization. At Board social events, nonalcoholics were free to drink as they might in similar circumstances. But out of respect for the fellowship, none of us did.
In addition, I was surprised that, despite all of the instructive literature, A.A. is not a *you should* fellowship but rather a *we did* fellowship, capturing that indefinable magic of one alcoholic talking with another alcoholic. I was surprised to discover that A.A. literature does not portray Bill and Dr. Bob as saints—quite the opposite. I was surprised to learn that on the A.A. Board, the process is often more important than the resulting decision. Actively encouraging the minority voice ensures an informed group conscience and consensus.
Finally, I was surprised to learn that the Board has no authority to set policy for any group at any time about any matter. The fellowship has delegated great responsibility to the Board, but the Trustees have never been delegated the authority or responsibility to determine how any groups or members function within the fellowship.
Over the years, the FSPHP has been well represented on the General Service Board. Past FSPHP President John Fromson served as a nonalcoholic A.A. Trustee from 2012–2016. Michele Grinberg, legal counsel for the West Virginia PHP, currently serves as Board Chair.
The General Service Board is continually seeking professionals who may have an interest in service as a nonalcoholic Trustee. For further information, see [www.aa.org](http://www.aa.org) or email [firstname.lastname@example.org](mailto:email@example.com).
**Alabama Physician Health Program Leadership Changes for 2018**
The Alabama Physician Health Program (APHP), the medical association’s confidential resource for physicians and other medical professionals with potentially impairing conditions or illnesses, recently announced a reorganization and new staff to better protect the health, safety, and welfare of those it serves.
The APHP provides confidential consultation and support to physicians, physician’s assistants, residents, and medical students facing concerns related to alcoholism, substance abuse, physical illness, and behavioral or mental health issues. It monitors an average of 280 physicians in Alabama at any given time. These physicians, whether self-referred or mandated, may initially may be hesitant to come forward for help, but they soon learn the APHP is their best advocate. Now, the APHP has even more staff and physicians available to assist when medical professionals need help.
**Meet the Staff**
**Director**
Robert C. Hunt, D Min, ASAM, LPC
**Senior Associate Medical Director**
Sandra L. Frazier, MD
*continued on page 14*
Updates from Around the United States
continued from page 13
Associate Medical Directors
James H. Alford, MD
Daniel M. Avery Jr., MD, FACOG, FACS
Jill Billions, MD
APHP Case Manager
Fay McDonnell
APHP Program Coordinator
Caro Louise Jehle
Idaho
New Program Coordinator for the Idaho Physician Recovery Network
As some of you may know, we lost our friend and colleague John Southworth, CADC, in November of 2017. Since then, Ben Seymour, CADC, CTP1, has taken over as Director at Southworth Associates, including the position of Program Coordinator for the Idaho Physician Recovery Network (PRN). John and Ben worked together closely for many years with the intention that Ben would take over duties as director for the company. Ben has worked in the addiction treatment field for the past 18 years as an interventionist, counselor, consultant, and program administrator. He is pleased to be serving as a member of the Federation of State Physician Health Programs representing the State of Idaho.
Nevada
Change in Ownership at the Nevada Professionals Assistance Program
As of August 1, 2017, following the retirement of Peter Mansky, MD, the Nevada Professionals Assistance Program (NPAP) transferred ownership of the program to Greenberg and Sucher (Arizona Monitored Aftercare Program) and Southworth Associates (Idaho Physician Recovery Network). Greenberg and Sucher has been monitoring healthcare professionals in California and Arizona for more than 30 years, and Southworth Associates has over 25 years’ experience working with healthcare professionals in the State of Idaho. Dr. Michel Sucher, MD, and Mr. Ben Seymour, CADC, lead the program.
Oklahoma
The Oklahoma Health Professional Program (OHPP) celebrates its thirty-fifth year in 2018. Plans for a celebratory event are under way and will include history and awards for members who were instrumental in the 35-year-history of our PHP.
Medical Director Robert Westcott, MD, in collaboration with the Oklahoma State Board of Medical Licensure and Supervision and Physician Recovery Center, provided FSPHP 2017 with education in addressing the “Aging Physician.” Since that time, OHPP experienced a very busy year. We provided a seven-hour CME addressing the opioid epidemic for Oklahoma Health Providers at Oklahoma City and again in Tulsa. Scott Teitelbaum, MD, from the University of Florida, Florida Recovery Center was the keynote speaker for both events.
OHPP initiated its first annual participant satisfaction survey in May and June of 2017. OHPP underwent a Program Procedural Audit performed by Dr. Lynn Hankes. He was very thorough in his comprehensive and informative audit report. We were excited to improve the program in our anticipation of his audit recommendations. However, we were not prepared for the plethora of good ideas that we received. Dr. Hankes presented an extensive list of program tasks that OHPP has been fast at work to implement in the past few months.
OHPP is very appreciative to Corinne Kilbury, OHPP Assistant Director (and Dr. Merlin Kilbury’s wife), for facilitation of the Al-Anon Family Group to support Tulsa Caduceus. Dr. Hankes was complimentary of the OHPP strength in service to participant families.
In 2018, the OHPP intends to continue to put into place recommendations from the procedural audit, expand our program resource list and participant services, and increase frequency of professional community educational outreach. As a result of Dr. Hankes’s recommendations, the OHPP Board of Directors authorized the hire of another full-time compliance staff member. This has been a long-standing and desperate program need. We are excited to welcome new staff to our program team. Our board is tasked with development of a fundraising task force and to create a 5- to 10-year plan with implementation of performance enhancement reviews.
Recent Oregon Health Professionals’ Services Program Exit Interview Findings
Christopher Hamilton, PhD, MPA, Monitoring Programs Director
For the last eight years, Oregon’s Health Professionals’ Services Program (HPSP) has administered an exit interview survey to all successfully completing participants at the time of program discharge.
The HPSP Policy Advisory Committee has long been interested in identifying how the structure and accountability of our physician health program impact the professional, personal, and interpersonal lives of participants. After being exposed to the excellent follow-up survey work performed by the Colorado Physician Health Program (CPHP) at the 2016 Federation of State Physician Health Programs Conference session, HPSP updated our exit interview survey and adapted some of CPHP’s questions. The updated questions were implemented over the last year. Eight surveys were returned in the first six months of 2017. The eight-survey sample represents a 19 percent response rate for the period.
More than 50 percent of respondents reported that they agreed or strongly agreed with the following statements about their professional lives, with 86 percent of participants agreeing or strongly agreeing that they felt less stressed or burned out at work:
| Professional Life | Percent Agree or Strongly Agree |
|-------------------|---------------------------------|
| I am more satisfied with work. | 71% |
| I feel less stressed or burned out at work. | 86% |
| I am better able to understand or empathize with my patients. | 71% |
| The medical care I provide to my patients has improved. | 57% |
| My professional relationships have improved. | 57% |
| My work feels more meaningful. | 57% |
Responses to personal and interpersonal life questions were similar to professional lives with responses of 50 percent or greater “agree” or “strongly agree” to all but one of the statements. Only 29 percent of respondents reported that they agree or strongly agree that they communicate better with their spouse/partner following HPSP participation. One hundred percent of licensees reported that they now spend more meaningful time with their family and friends.
| Personal and Interpersonal Life | Percent Agree or Strongly Agree |
|---------------------------------|---------------------------------|
| I feel better able to cope with life changes. | 86% |
| I feel better equipped to manage my own health. | 71% |
| My self-esteem improved. | 57% |
| My mood improved. | 71% |
| I have a better work–life balance. | 86% |
| I am more engaged in my community. | 57% |
| My personal life is less stressful. | 57% |
| My spouse/partner and I communicate better. | 29% |
| I am more satisfied with my personal relationships. | 57% |
| I am better equipped to manage problems at home. | 71% |
| I spend more meaningful time with family or friends. | 100% |
| I feel better able to cope with life changes. | 86% |
continued on page 16
Although this is a small sample, it is reassuring that the respondents feel their professional, personal, and interpersonal lives have improved in so many areas. HPSP hopes to yield a better response rate over the next six months to assure that these preliminary findings are representative of most participants completing HPSP.
**Pennsylvania**
**Long-Term Monitoring**
*Jon Shapiro, MD, DABAM*
At the Pennsylvania PHP, we are starting to collect some statistics from our electronic record and from exit interviews. We don’t yet have results, but a troubling trend has emerged in recent weeks. Suddenly we have five previous monitorees who have returned to residential care for substance use disorder treatment.
At federation gatherings, we have discussed the correct length of monitoring. Is five years a magic number? Is three years too little? We are now suffering a clear slap-in-the-face reminder of what we all know: Substance use is a chronic, progressive, and fatal illness that requires coordinated long-term care.
Relapses occur more frequently in the first few years of monitoring healthcare professionals, but we have seen a strange phenomenon in Pennsylvania when some of our participants relapse in their last year of monitoring. We know that at least one state PHP increases the frequency of urine toxicology in the last year to match this statistic. As the pain and impact of initial recovery fade, it is natural, yet unfortunate, that our focus begins to fade.
So here we are with a cluster of doctors who relapsed five, six, seven years into recovery. My impression is that they were not undertreated in their first pass through the system. For better understanding, it is time to break out our tried-and-true analogy. No physician would stop checking blood glucose levels or withhold insulin for a diabetic patient simply because they successfully completed five years of monitoring.
When our participants finish a five-year period of monitoring, we congratulate them. But they haven’t graduated from anything—just entered a new phase of recovery. Following this painful reminder of late relapse, we conclude with a pledge to put more effort into recruiting our participants into our long-term agreements. Addiction is, was, and will always be a chronic illness requiring ongoing care.
---
**IN REMEMBRANCE OF JOHN SOUTHWORTH**
Our friend and colleague John Southworth passed away in November of 2017. John was a huge force in the addiction treatment field and a contributing member of the Federation of State Physician Health Programs. John served as Program Coordinator for the Idaho Physician Recovery Network from 1993 until his passing in November. John also served as Program Coordinator for many other health professional programs as well as worked as an interventionist globally. John pushed for enhanced professionalism for interventionists and supported national organizations working on behalf of better substance use disorder treatment. He was one of the best-known professionals in the field.
John loved to travel. As busy as he was traveling the world, he was never too busy to help a friend or anyone suffering from the disease of addiction. John survived several bouts with pneumonia and several major heart operations. As a result, he cherished every minute of life. He was profoundly grateful for his own recovery and used his time and remarkable talents to help others find the same gift. Following sobriety, John was able to live life as he wished. When road bumps arose, he dealt with them with determination and humor. He loved what he did professionally and was proud of his many accomplishments. Anyone who knew him well has many humorous stories to tell. He was a larger-than-life character and will be missed. John would have turned 80 years old in January and would have celebrated receiving his 35-year chip in A.A.
ANOTHER TOOL FOR YOUR TOOL KIT IN YOUR WORK WITH HEALTHCARE PROFESSIONALS
Mike Metcalf, IDAA Executive Director
Greetings Fellow FSPHP Members:
I am the Executive Director for International Doctors in Alcoholics Anonymous (IDAA). I have been fortunate to attend the annual FSPHP meetings for the last two years, where we from IDAA had the opportunity to meet many of you. This note will hopefully offer you one more tool to use in your treatment and support of Health Care Professionals in recovery.
IDAA began in the garage of a physician in 1949 and from there has grown to over 10,000 members in 2018. Our membership is available to Doctorate Level HCPs, and we welcome advanced care practitioners as well (ARNPs, CRNAs, and PAs). In addition, the spouse or family member of a provider may join independently, whether the HCP is or is not yet in the rooms. Our membership database is securely maintained and is kept confidential. We are a 12-Step-based program, but we believe that any trail taken to the top of the mountain is acceptable. Although our name includes “AA,” we have members from many additional recovery programs. IDAA is now a 501(c)(3) nonprofit organization.
Although IDAA is “of A.A., it is not, in the strictest sense, A.A.” (Although supportive of treatment when indicated, IDAA does not make treatment referrals.)
Benefits of IDAA membership include:
• An international recovery-based fellowship
• An annual IDAA meeting with over 800 attendees
• The annual meeting offers a family recovery component, including programs created to address the needs of all family members, from age seven years and up.
• IDAA supports three cyber meetings for those interested (one with a pure recovery focus for those with substance abuse concerns, one that focuses on needs and concerns of family members, and last, one that focuses on “nuts-and-bolts issues” for your clients, such as concerns regarding return to work, etc.).
• Maintenance of an international database of local HCP recovery meetings
Please check out our website at IDAA.org for information. I can provide brochures to hand out to anyone you believe might be interested. We are happy to speak with those curious about membership in IDAA. Membership application is simple and may be completed online at IDAA.org. I can be reached by phone almost any time for questions at (509) 954-4789.
Ginger and I look forward to seeing you in Charlotte.
FSMB Workgroup on Physician Wellness and Burnout
The FSMB Workgroup on Physician Wellness and Burnout will soon have a final report available that expounds on an issue of which we all are well aware: discouraging probing mental health questions on licensure applications that contribute to creating barriers to those in need of getting help. The final report is reflective of FSPHP collaboratives, with expertise provided by our esteemed past president, Doris Gundersen, MD.
The following quote is from Doris Gundersen, who was invited to serve on this workgroup of the FSMB representing the FSPHP and our PHP members:
“I had the opportunity to participate in the FSMB’s Workgroup on Physician Wellness and Burnout, which was initiated in April 2016. It included a number of stakeholders interested in physician health and turned out to be a highly effective collaboration with regard to supporting physician health while ensuring the public’s protection. Eliminating intrusive questions on licensure applications and encouraging nonpunitive approaches to address burnout and other physician health issues were strongly emphasized. As a group, we pushed for the Quadruple Aim to be adopted by all healthcare entities. This experience taught me that great progress can be made when enthusiastic experts come together for a common goal.”
The document will be available in its final form in April 2018. A draft is available at this link for preview: https://www.fsmb.org/globalassets/communications/draft-report-for-2018-hod---wellness-and-burnout.pdf
We look forward to sharing the final document further as soon as it becomes available.
FEDERATION OF STATE PHYSICIAN HEALTH PROGRAMS
2018 ANNUAL EDUCATION CONFERENCE AND BUSINESS MEETING
Wednesday, April 25 to Saturday, April 28, 2018
PHYSICIAN AND PROFESSIONAL HEALTH: ENHANCING AN EFFECTIVE MODEL
Highlights
- Networking opportunities with leaders in the field of professional health and well-being
- Large exhibitor space with all breaks, breakfast and food service with attendees
- General and breakout sessions each day to highlight the essentials of Physician Health Programs
- Poster Session Reception
Embassy Suites by Hilton Charlotte-Concord/Golf Resort & Spa
5400 John Q. Hammons Drive, NW
Concord, North Carolina, 28027
USA TEL: (704) 455-8200 FAX: (704) 455-8201
Will coincide with Federation of State Medical Boards Conference
TUESDAY
4:30 p.m. Early Exhibitor Registration
6:00 p.m. Board Meeting
WEDNESDAY
11:30 a.m. Registration and Exhibit Hall Opens
General and Breakout Sessions
Committee Meetings
Opening Silent Auction Dinner
THURSDAY
Morning Walk
New Member Meeting
General and Breakout Sessions
FSMB Guest Speaker
Poster Session Reception
Board and Committee Chair Dinner
FRIDAY
General and Breakout Sessions
FSPHP Regional Member Meetings
Exhibitor Session
Annual Business Member Meeting
Social Event
SATURDAY
General and Breakout Sessions
FSMB-FSPHP Joint Session
Tentative schedule subject to change.
Meeting and Conference Agenda
Agenda Subject to Change
Sessions marked with an * have AMA PRA Category 1 Credits™ available.
All session and events are open to all registered attendees unless otherwise noted.
Tuesday, April 24, 2018
6:00 p.m.–8:00 p.m. FSPHP Board of Directors (Harrisburg Hollow Square)
4:30 p.m.–6:30 p.m. Exhibitor Check-In (Convention Center Registration South Rotunda)
Wednesday, April 25, 2018
8:00 a.m.–10:00 a.m. Exhibitor Check-In and Setup (Concord Convention Hall ABCDE)
11:30 a.m. Annual Meeting Registration (Convention Center Registration South Rotunda)
Exhibits Open (Concord Convention Hall ABCDE)
12:00 p.m.–1:30 p.m. Silent Auction—Items Open for Bidding (Concord Convention Hall ABCDE)
Luncheon for All—Meet and Greet Exhibitors
Open Seating and Committee Meeting Tables Available
12:30 p.m.–1:30 p.m. FSPHP Committee Meetings Co-occurring with Luncheon
(Concord Convention Hall ABCDE)
Research Committee (Concord I)
ACE Committee (Concord J)
Nominating Committee (Harrisburg)
1:30 p.m. Welcome and Introductions (Concord Convention Hall F)
P. Bradley Hall, MD, DABAM, DFASAM, FSPHP President
1:35 p.m.–2:05 p.m. *FSPHP and Physician Health Update (Concord Convention Hall F)
P. Bradley Hall, MD, DABAM, DFASAM, FSPHP President
2:05 p.m.–3:05 p.m. *General Session I (Concord Convention Hall F)
Management of Complex Cases, Funding, and Relationships with Shareholders:
Experiences of Four Rural PHPs
Scott Hambleton, MD, DASAM, Maureen Sullivan Dinnan, JD, P. Bradley Hall, MD,
DABAM, DFASAM, MRO, and Michael Ramirez, MS
3:05 p.m.–3:30 p.m. Visit Exhibitors and Break (Concord Convention Hall ABCDE)
3:30 p.m.–4:15 p.m. *General Session II (Concord Convention Hall F) The Non-Practice Agreement:
A Cooperative Solution with Your Medical Board to Protect Participants, the
Public, and Your Organizations
Joseph Jordan, PhD, and Brian Blankenship, JD
4:15 p.m.–5:15 p.m. *General Session III (Concord Convention Hall F) Media Training
Jan Fox, Past TV Talk Show Host and Four-time Emmy Award Winner
6:00 p.m.–8:30 p.m. Opening Night Silent Auction Dinner for All (Concord Convention Hall ABCDE)
*Reminder to all committee chairs to turn in your committee reports prior to Thursday evening’s board meeting.
continued on page 20
continued from page 19
6:30 p.m. Welcome Remarks by P. Bradley Hall, MD, FSPHP President, and Martha E. Brown, MD, Program Planning Committee Chair
Welcome and Introductions of Exhibitors
7:45 p.m. Silent Bidding Closes and Winners Announced
Thursday, April 26, 2018
Posters Available for Viewing All Day
6:00 a.m.–9:00 a.m. Breakfast Served at Hotel Lobby for Hotel Guests
6:30 a.m.–7:30 a.m. Morning Walk (Meet at 6:25 a.m. in the hotel lobby.)
7:30 a.m.–8:30 a.m. Open Mutual Support Meeting—All Are Welcome (Harrisburg)
8:00 a.m.–8:30 a.m. Visit Exhibitors (Concord Convention Hall ABCDE)
8:30 a.m.–9:30 a.m. *Breakout Sessions
| Breakout Session A (Concord Convention Hall F) | Breakout Session B (Concord I) |
|-----------------------------------------------|--------------------------------|
| Improved Neurocognitive Functioning Among Healthcare Professionals Initiating Recovery from Addiction Joseph E. Schumacher, PhD, Michael Wilkerson, MD, and Brad H. Sokai, PhD | Use of Controlled Substances as Treatment Modalities for Physicians Being Monitored by PHPs Scott Hambleton, MD, DFASAM, and Laura Moss, MD |
9:30 a.m.–9:45 a.m. Visit Exhibitors and Break (Concord Convention Hall ABCDE)
9:45 a.m.–10:30 a.m. *General Session IV (Concord Convention Hall F)
Five Best Practices for Behavioral Cases for Clients and the Workplaces Joyce Davidson, LCSW, Amanda Brooks, LPC, and Emily Haase, LPC
10:30 a.m.–11:00 a.m. New Member Meeting (Concord I)
P. Bradley Hall, MD, Paul Earley, MD, and FSPHP Officers
Special Thanks to the FSPHP Emerald and Diamond Exhibitors
11:00 a.m.–11:15 a.m. Visit Exhibitors and Break (Concord Convention Hall ABCDE)
11:15 a.m.–12:00 p.m. *General Session V (Concord Convention Hall F)
Ethical and Legal Understanding of Physician Health Programs: The Social Contract Philip Candilis, MD
12:00 p.m.–1:00 p.m. Luncheon and Exhibit Viewing (Concord Convention Hall ABCDE)
1:00 p.m.–2:00 p.m. *Breakout Sessions
| Breakout Session A Open to FSPHP Members (Concord I) | Breakout Session B (Concord Convention Hall F) |
|-----------------------------------------------------|-----------------------------------------------|
| Accountability, Consistency, and Excellence (ACE): A Goal for PHPs in 2018 and Beyond Maureen Dinman, JD, and Doina Lupea, MD | Implementing Tobacco-Free Policies in Residential Addiction Treatment Settings Laura Martin, MD, FASAM, DFAPA, Jonathan C. Lee, MD, FASAM, FAPA, FACP, and Brian Coon, MA, LCAS, CCS, MAC |
2:00 p.m.–3:00 p.m. *General Session VI (Concord Convention Hall F)
Performance Enhancement Reviews and Treatment Center Reviews
J. David M. Rozsa, CAE, ACA, CEO, Metacred, Inc.
3:00 p.m.–3:30 p.m. Visit Exhibitors and Break (Concord Convention Hall ABCDE)
3:30 p.m.–4:30 p.m. *General Session VII (Concord Convention Hall F)
Physician Wellness and Resilience
FSMB Guest Speaker Mark Staz, MA
4:30 p.m.–5:30 p.m. *Breakout Sessions
| Breakout Session A (Concord Convention Hall F) | Breakout Session B (Concord I) | Breakout Session C (Concord J) |
|-----------------------------------------------|--------------------------------|--------------------------------|
| A Review of the Literature About Physician Health Programs: What We Have Learned About Treatment of Addiction in Physicians | Neuropsychological Screening for Physicians in Remediation | A Framework for Assessing, Treating, and Monitoring Recovery from Addiction, Psychiatric Illness, and Trauma |
| Matthew Goldenberg, DO, Karen Miotto, MD, and Greg Skipper, MD | Betsy White Williams MPD, PhD, Dillon Welindt, Michael Williams, PhD, and Philip Flanders, PhD | Julio I. Rojas, PhD |
5:30 p.m.–6:30 p.m. Reception with Poster Session Presentations (Convention Center Corridor)
Hors d’oeuvres
Self-Referred Clients
Wendy Cohen, MD, and Steven Adelman, MD
Prospects for Neuroimaging and Neurofeedback for Addiction Treatment Professionals
Jonathan Harris, PhD
Using a Recovery-Oriented Lens When Evaluating Serious Psychiatric Disorders in Healthcare Professionals
William Heran, PhD, and David Steinman, MD
Treatment Readiness in Physician Assistants in a State Monitoring Program for Substance Use Disorders
Corey Richardson, DHSc(c), MPAS, MBA, MAC, LCAS, CSI
Challenges in Effective Use of Drug Testing in Physicians
Penelope Ziegler, MD, and Karen Miotto, MD
7:00 p.m.–8:30 p.m. FSPHP Board Meeting and Committee Chairs Dinner (Fairway)
(Open to Board of Directors and Committee Chairs)
Posters on display all day Friday, April 27 (Convention Center Corridor)
continued on page 22
Friday, April 27, 2018
Posters Available for Viewing All Day
6:00 a.m.–9:00 a.m. Breakfast Served at Hotel Lobby for Hotel Guests
7:00 a.m.–8:00 a.m. Open Mutual Support Meeting—All Are Welcome (Harrisburg)
8:00 a.m.–8:30 a.m. Visit Exhibitors (Concord Convention Hall ABCDE)
8:30 a.m.–9:30 a.m. *General Sessions VIII (Concord Convention Hall F)
Interpreting Alcohol Biomarker Values—Cautions and Caveats
M. Katherine Jung, PhD, Director, Division of Metabolism and Health Effects, National Institute on Alcohol Abuse and Alcoholism, NIH
9:30 a.m.–10:00 a.m. *Biomarkers of Alcohol Consumption in Participants in Professionals’ Health Programs
Scott A. Teitelbaum, MD, and Gary M. Reisfield, MD
10:00 a.m.–10:30 a.m. *Discussion of Long-Term Alcohol Biomarker Results: Review of the Most Recent Literature and Case Reports
Joseph T. Jones, BS, MS, PhD
10:30 a.m.–11:00 a.m. Visit Exhibitors and Break (Concord Convention Hall ABCDE)
11:00 a.m.–12:00 p.m. *Breakout Sessions
| Breakout Session A (Concord Convention Hall F) | Breakout Session B (Concord I) | Breakout Session C (Concord J) |
|-----------------------------------------------|--------------------------------|--------------------------------|
| Professional Development Utilizing Motivational Interviewing to Improve Outcomes and Reduce Burnout
Alexandria Polles, MD, Chad Brazle, MA, Lisa J. Merlo, PhD, MPE, and Kim Parker, MPPA | Health-Related Quality of Life Among Physicians, Residents/Medical Students, and Physician Assistants Entering a Peer-Assistance Program
Elizabeth Brooks, PhD, and Michael Gendel, MD | The Balancing Act: Confidentiality and Public Safety with Professional Sexual Misconduct
Leah Claire Bennett, PhD, and Scott Hambleton, MD, DFASAM |
12:15 p.m.–1:15 p.m. Luncheon (Concord Convention Hall ABCDE)
Recognition of Emerald and Diamond Exhibitors and Exhibitor Drawing
1:15 p.m.–2:30 p.m. FSPHP Regional Member Meetings
(Open to FSPHP State, Associate, Honorary, International, Individual, and Organizational Members)
Western Region Carolina A/B
Southeast Region Concord I
Central Region Concord J
Northeast Region Caroline C
2:30 p.m.–3:00 p.m. Exhibitor Session Facilitated by P. Bradley Hall, MD (Harrisburg)
All exhibitors are invited to meet with members of the FSPHP Program Planning Committee for discussion and feedback.
3:00 p.m.–3:15 p.m. FSPHP Annual Business Meeting Registration and Photo (Registration South Rotunda)
3:15 p.m.–5:00 p.m. FSPHP Annual Business Meeting (Concord Convention Hall F)
(Open to FSPHP State, Associate, Honorary, and International Members)
5:00 p.m.–5:15 p.m. FSPHP Board of Directors Meeting (Harrisburg)
(Open to FSPHP Board of Directors)
5:15 p.m.–6:00 p.m. A Call for Participation: Research Project with the National Institute on Drug Abuse, Open to everyone! Osama A. Abulseoud, MD, Staff Clinician, Neuroimaging Research Branch, IRP National Institute on Drug Abuse
6:30 p.m.–10:00 p.m. SOCIAL EVENT (Embassy Terrace) A separate fee applies for this event. Guest speaker Brian Parsley, “The Power of Influence.” As professionals, it’s important to never forget how important influence is in our lives. Understand a different perspective around how to create a better culture in your life, both personally and professionally.
Saturday, April 28, 2018
7:30 a.m.–10:30 a.m. Breakfast Served at Hotel Lobby for Hotel Guests
7:30 a.m.–8:30 a.m. Open Mutual Support Meeting—All Are Welcome (Harrisburg)
8:00 a.m.–8:45 a.m. Buses Depart to FSMB (Sheraton-Le Méridien Charlotte Hotel Complex 555 South McDowell Street, Charlotte, NC 28204)
9:45 a.m.–11:00 a.m. FSPHP and FSMB Joint Session: Building Bridges between PHPS and Licensing Boards that Protect the Public and Improve Health and Wellness P. Bradley Hall, MD; Paul Earley, MD; Doris Gundersen, MD; Rene Saunders, MD, and Moderator Gregory Snyder, MD (Sheraton-Le Méridien Charlotte Hotel Complex, 555 South McDowell Street, Charlotte, NC)
11:00 a.m. Travel back to FSPHP (Embassy Suites)
11:45 a.m.–12:45 p.m. *General Session X (Concord Convention Hall F)
Creating a Statewide Consortium to Combat Burnout:
A Cooperative Effort of the NC PHP, Board of Medicine and Medical Society Joseph Jordan, PhD, Thomas Mansfield, JD, Clark Gaither, MD, FAAFP, and Shawn Scott, MBA, CAE
12:45 p.m. Remaining Exhibitor Drawings and Closing Remarks (Concord Convention Hall F)
P. Bradley Hall, MD, and Paul Earley, MD
ACCREDITATION STATEMENT
This activity has been planned and implemented in accordance with the accreditation requirements and policies of the Accreditation Council for Continuing Medical Education through the joint providership of the Florida Medical Association and the Federation of State Physician Health Programs. The Florida Medical Association is accredited by the ACCME to provide continuing medical education for physicians. The Florida Medical Association designates this live activity for a maximum of 13.75 AMA PRA CATEGORY 1 CREDITS™. Physicians should claim only the credit commensurate with the extent of their participation in the activity.
FSPHP Member Portal Launches
We are excited to announce that the FSPHP website now has a member portal available to active members.
Once you have successfully logged in, you will have access to update your membership profile, participate in our new member library of presentations, renew your membership, and view additional buttons on state PHP pages available to members only. This is just the beginning of more opportunities to share resources among our members in the future.
We would also like to ask you to submit a presentation via the portal to grow this library.
You can log in at www.fsphp.org/user/login. Active members automatically have an account on the FSPHP website. The login is your member email address, and the password is from your 123Signup.
In order to access the website, all members must have an email address on their 123Signup profile. Should a member wish to change their password, they should do this at 123Signup (click on “manage your member profile”). Within 30 minutes, the website will also update with the new password.
FSPHP would like to thank the Task Force on Education Materials, which was led by Dr. David Goldberg and included Tiffany Booher, MA, CADE, CIP, CCSM, Amanda Kimmel, Alexis Polles, MD, Jon A. Shapiro, MD, Michael A. Sucher, MD, and Robert Westcott, MD. This committee led the development of the guidelines for the member resource library. The guidelines allow members to submit presentations to the FSPHP for the library and users access to references for their own education and presentation needs for their PHP.
We look forward to hearing your feedback on how this portal is working for you. Please email your feedback or any questions to firstname.lastname@example.org and email@example.com.
NATIONAL RX DRUG ABUSE & HEROIN SUMMIT
FSPHP speakers presented “Improving Addiction Outcomes: Lessons from the Physician Health Program Model” on Tuesday, April 3, 2018, 2:00 p.m.–3:15 p.m. at this conference.
Paul Earley, MD, Georgia Professionals Health Program, Inc., President-Elect, Federation of State Physician Health Programs
P. Bradley Hall, MD, FASAM, DABAM, MROCC, AAMRO, President, Federation of State Physician Health Programs, Executive Medical Director, West Virginia Medical Professionals Health Program
Doris Gundersen, MD, Colorado PHP Medical Director, Federation of State Physician Health Programs
Moderator: Daniel Blaney-Koen, JD, Senior Legislative Attorney, American Medical Association, and Member, National Rx Drug Abuse & Heroin Summit Advisory Board
For more information on the summit, please visit https://vendome.swoogo.com/2018-rx-summit.
Annual Meeting 2017 Group Photo
We are pleased to present our advertising section of *Physician Health News*. We thank all the participating organizations for their support of the FSPHP. We hope this section is a useful resource to state physician health program professionals.
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**BoardPrep Recovery Center**
*Health Professionals Program*
800.520.8475
---
**Drexel Medicine® Physician Refresher/Reentry Program**
A University Based Program in Philadelphia Helping Inactive Physicians Return to Practice
*Education, Guidance, & Assessment:*
knowledge, clinical skills, communication, and professionalism
firstname.lastname@example.org | 215.762.2580
---
**Pine Grove**, one of the nation’s most comprehensive treatment campuses, includes specialized programs that meet the needs of physicians in treatment. We provide thorough evaluations and treatment for:
- Professional Sexual Misconduct
- Disruptive Behavior / Professionalism
- Sexual & Chemical Addictions
- Personality Disorders
Pine Grove
Professional Enhancement Program
Forrest Health™
1-888-574-HOPE ■ www.pinegrovetreatment.com
---
**Center for Professional Recovery**
Confidential Treatment. Clinical Excellence. Compassionate Care.
855-698-2008
www.centerforprofessionalrecovery.com
---
**FSSolutions**
Quality Service Since 1989
Recovery Management Solutions – supporting accountability through best practices in drug and alcohol testing
For further information, contact::
Suzanne Kinkle MSN, RN, CARN, Phone: 800.732.3784
Email: email@example.com firstname.lastname@example.org
VANDERBILT COMPREHENSIVE ASSESSMENT PROGRAM (VCAP)
Multidisciplinary, independent fitness for duty evaluations for professionals with emotional, cognitive, behavioral and other concerns affecting quality of work.
For additional information, please contact us:
Telephone: (615) 322-4567
www.VanderbiltVCAP.com
SOBERLINK
The Leader in Remote Alcohol Monitoring for PHP Programs
• FDA cleared medical device
• 24/7/365 Identity Confirmation
• Robust Tamper Detection
• Integration partners with leading TPA’s
Call 858.735.2459 Today
Speak to Jared Fenlason
SELTZER & ASSOCIATES
DISABILITY INSURANCE LAWYERS
Representing Physicians and Other Professionals in All Aspects of Individual and Long-Term Disability Insurance Claims and Cases
1515 Market Street, Suite 1100
Philadelphia, PA 19102
888-699-4222
www.SeltzerLegal.com
PHYSICIAN FOCUSED FROM THE START
Nearly 30 years ago, Dr. William Farley built an addiction program for medical professionals that remains the standard today.
Farley Center 800-582-6066 | FarleyCenter.com
Positive Sobriety Institute
Expert Addiction Treatment for Medical Professionals
• Recovery Services for Alcohol, Drug Addiction and Dual Disorders
• Confidential Assessments
• Detoxification
• Continuing Care
Daniel H. Angres, MD
Medical Director
Positive Sobriety Institute
(844) 882-4314
Bradford Health Services
Take the first step by calling us any time of day or night. We are here for you.
Visit bradfordhealth.com/services
Birmingham, AL • Call 205-807-3527
LifeGuard® a clinical assessment program of the Foundation of the Pennsylvania Medical Society offers FITNESS FOR DUTY ASSESSMENTS
YOUR RESOURCE FOR LATE-CAREER PHYSICIAN ASSESSMENTS
LifeGuard works seamlessly with Physician Health Programs to accurately and fairly conduct fitness for duty assessments.
Find out more at www.foundationpamedsoc.org/lifeguard or 717-909-2590
ADVERTISING SERVICES!
We offer ad design and proofreading services.
Please see page 31 for more information.
PHYSICIAN HEALTH AND OTHER RELATED ORGANIZATIONS
NATIONAL MEETINGS
FSPHP ANNUAL MEETINGS
2018 FSPHP Education Conference and Business Meeting
April 25–28, 2018
Embassy Suites by Hilton
Concord, NC
2019 FSPHP Education Conference and Business Meeting
April 24–27, 2019
Worthington Renaissance Fort Worth Hotel
Ft. Worth, TX
FSMB ANNUAL MEETINGS
2018—106th Annual Meeting
April 26–28, 2018
Sheraton-Le Méridien Charlotte Complex
Charlotte, North Carolina
2019—107th Annual Meeting
April 25–27, 2019
Omni Fort Worth Hotel
Fort Worth, Texas
2018 INTERNATIONAL CONFERENCE ON PHYSICIAN HEALTH
Hosted by the AMA, BMA, and CMA
October 11–13, 2018
Fairmont Royal York
Toronto, Ontario
2019 AMERICAN CONFERENCE ON PHYSICIAN HEALTH (ACPH)
September 12–14, 2019
Sheraton Charlotte Hotel in Charlotte, NC
Hosted by the American Medical Association in Collaboration with the Stanford University School of Medicine and the Mayo Clinic
AMERICAN ACADEMY OF ADDICTION PSYCHIATRY
29th Annual Meeting and Scientific Symposium 2018
December 6–9, 2018
Hyatt Regency Coconut Point Resort and Spa
Bonita Springs, FL 34134
30TH ANNUAL MEETING AND SCIENTIFIC SYMPOSIUM 2019
December 5–8, 2019
Rancho Bernardo Inn
San Diego, CA 92128
AMA HOUSE OF DELEGATES ANNUAL MEETING
June 9–13, 2018
Hyatt Regency Chicago
Chicago, IL
June 8–12, 2019
Hyatt Regency Chicago
Chicago, IL
June 6–10, 2020
Hyatt Regency Chicago
Chicago, IL
AMA HOUSE OF DELEGATES INTERIM MEETING
November 10–13, 2018
Gaylord National
National Harbor, MD
November 16–19, 2019
Manchester Grand Hyatt
San Diego, CA
November 14–17, 2020
Manchester Grand Hyatt
San Diego, CA
AMERICAN PSYCHIATRIC ASSOCIATION ANNUAL MEETING
May 5–9, 2018
New York, NY
May 18–22, 2019
San Francisco, CA
AMERICAN SOCIETY OF ADDICTION MEDICINE
ASAM 49th Annual Conference
April 12–15, 2018
Hilton San Diego Bayfront
San Diego, CA
ASAM 50th Annual Conference
April 4–7, 2019
Hilton, Orlando
Orlando, FL
ASAM 51st Annual Conference
April 2–5, 2020
Gaylord Rockies Resort and Conference Center
Denver, CO
INTERNATIONAL DOCTORS IN ALCOHOLICS ANONYMOUS (IDAA) ANNUAL MEETING
2018—Reno, Nevada
2019—Knoxville, TN
2020—Spokane, WA
NATIONAL ORGANIZATION OF ALTERNATIVE PROGRAMS
2018 Annual Education Conference
March 26–29, 2018
Omni Royal Orleans Hotel
New Orleans, Louisiana
AMERICAN BOARD OF MEDICAL SPECIALTIES ANNUAL CONFERENCE
ABMS Conference 2018
September 24–26, 2018
Las Vegas, NV
NATIONAL ASSOCIATION OF MEDICAL STAFF SERVICES
NAMSS 42nd Educational Conference and Exhibition
September 29–October 3, 2018
Long Beach Convention Center
Long Beach, CA
NAMSS 43rd Educational Conference and Exhibition
October 19–October 23, 2019
Philadelphia Marriott Downtown
Philadelphia, PA
AMERICAN ACADEMY OF PSYCHIATRY AND THE LAW
49th Annual Meeting
October 25–28, 2018
JW Marriott
Austin, TX
FSPHP E-GROUPS—PLEASE JOIN!
The FSPHP e-groups are an extraordinarily valuable tool for our members. The e-groups provide a user-friendly capability to share information among our members. As you may know, we now have two e-groups. FSPHP e-groups are a forum for discussion of issues, problems, ideas, or concerns relevant to state PHPs. Membership in the e-groups is open only to Federation members. Visit www.fsphp.org/FSPHPEGroupGuidelines11.14.pdf for guidelines on the use of the e-groups. For any questions concerning the two e-groups, please call Julie Robarge or Linda Bresnahan at FSPHP (978) 347-0600, or email email@example.com or firstname.lastname@example.org.
Currently, many FSPHP members are not yet enrolled on the email@example.com. We’d like to change this to ensure all are enrolled. Please watch for an email invitation to join this group, if you are not already in it. The group, firstname.lastname@example.org, is an information exchange venue for all FSPHP membership categories. These include State, Associate, Honorary, and International for both Individual and Organizational memberships of the Federation of State Physician Health Programs, Inc. The second group, email@example.com, is limited to the following membership categories—State, Associate, Honorary, and International. All State, Associate, Honorary, and International members are eligible for both groups. We encourage you to join both groups.
The nature of messages should be consistent with each Yahoo! group ListServe purpose. The firstname.lastname@example.org group is for internal, anonymous, case-specific, administrative, or physician-health-program-specific discussions or questions. The email@example.com group is for the wider physician health field sharing of data, information, programmatic updates, resources, and overarching field topics. Please remember to be cognizant when utilizing both of these groups.
New England FSPHP
ADVERTISING AVAILABLE!
FSPHP Newsletter Advertising
INFORMATION AND SPECIFICATIONS
Dear prospective Physician Health News advertisers:
We would like to invite you and your organization to advertise your services in the future editions of Physician Health News. Physician Health News is mailed to all state programs and state licensing boards. The newsletter is also distributed widely at the FSPHP Annual Meeting. The newsletter includes articles and notices of interest to the physician health community and planning information for the upcoming physician health meetings and conferences, including FSPHP meetings.
We offer ad design and proofreading services for an additional fee. For your convenience, full advertisement specifications and PDF instructions can also be provided upon request. We hope you will consider taking advantage of this opportunity to advertise your facility, services, and contact information.
Become part of a great resource for state PHP professionals. The spring issue each year offers an advertising section.
We look forward to working with you in future editions.
FSPHP Publication Committee
Sarah Early, PsyD (CO)
Amanda Kimmel (CO)
Joyce Davidson, LSW (CO)
Scott Hambleton, MD (MS)
Carole Hoffman, PhD, LCSW, CAADC (IL)
Laura Berg, LCSW-C (IL)
Mary Ellen Caiati, MD (CO)
Linda Bresnahan, MS (MA)
SPECIFICATIONS
Ad Size
3.125" w x 2.25" h
Guidelines for PDF Ads
Black and White Only
Ads should be submitted as grayscale. They will be printed in black ink only. As a convenience, we are able to turn your ad into grayscale if necessary.
Border
You do not need to include a border with your ad. We will frame your advertisement with a .5-point border during newsletter production.
Font
To reduce registration problems, type should be no smaller than 9 point. Fonts must be embedded and TrueType fonts should be avoided.
Screens
150-line screens are preferred for halftones. Halftone minimum screen tone value is 10%.
File Guidelines
All submissions should be Acrobat PDF files and should be sent at the exact size specified herein. Native files or other file formats will not be accepted.
Guidelines for Word Files
Supply Microsoft Word document and high-resolution logos and graphics (if applicable). Maximum two passes for ad approval.
Submission
Remember to label your file with your company name (i.e., CompanyX.pdf or CompanyX.doc). This will assist us in identifying your ad. Please also double-check that your ad contains the most up-to-date information.
PLEASE CONSIDER A SUBMISSION IN FUTURE ISSUES!
QUESTIONS?
Please contact Linda Bresnahan at firstname.lastname@example.org
PHYSICIAN HEALTH NEWS
The FSPHP produces a newsletter twice a year in March/April and again in August/September that is sent to all state programs, medical societies, and licensing boards. The FSPHP requests articles (500 words or fewer) and other related information be submitted for inclusion in the FSPHP Newsletter.
SUBMISSIONS FOR NEWSLETTER
By January 30 for the spring issue
By May 31 for the summer issue—the summer issue is typically reserved for content related to our FSPHP annual meeting.
This newsletter is intended to help members stay abreast of local, state, and national activities in the area of physician health. Please consider a submission to help keep all states informed of your program’s activity and progress in the field of physician health.
Please send submissions by email to email@example.com.
Items that you may want to consider include:
- Important updates regarding your state program
- A description of initiatives or projects that have been successful, such as monitoring program changes, support group offerings, outreach and/or education programs, and so forth
- Notices regarding upcoming program changes, staff changes
- References to new articles in the field
- New research findings
- Letters and opinion pieces
- Physician health conference postings and job postings
Please limit articles to 500 words or fewer and other submissions to 200 words or fewer.
WE WANT YOUR INPUT!
The FSPHP Board of Directors is very interested in your ideas and suggestions, and we welcome agenda items you would like to bring before the board. But it is important to be organized in our approach in order to make sure ideas are fully explored and vetted. The board established a policy that members are required to submit written requests for consideration directly to regional directors. You may also write directly to FSPHP Executive Director Linda Bresnahan at firstname.lastname@example.org. This will ensure an organized chain of communication between you and your representatives. Thank you for your assistance!
|
STANLIB
STEWARDSHIP REPORT 2020
CONTENTS
03 CEO FOREWORD
04 AN UPDATE FROM HEAD OF INVESTMENTS
06 ACTIVE OWNERSHIP
12 GROWING STAKEHOLDER AMBITIONS TO ADDRESS CLIMATE CHALLENGES
15 Case study: BALANCING ENVIRONMENTAL AND SOCIAL IMPACT
20 Case study: GREEN INITIATIVES CONTINUE IN PROPERTY SECTOR AMIDST COVID-19 CHALLENGES
24 THE 17 UN SDGs
25 PUBLIC-PRIVATE PARTNERSHIPS TO BOOST GROWTH
27 STANLIB Infrastructure Fund: MAKING AN IMPACT
30 The Khanyisa Impact Investment Fund: INVESTING FOR GOOD
33 2021 AND BEYOND
At STANLIB, we understand that we are a fiduciary of our clients’ savings and wealth. As such, we have a responsibility to consider both returns and risk when building our clients’ portfolios. Environmental, social and governance (ESG) risk factors are an important part of this consideration, and are well integrated into our investment decision-making processes. The events of 2020 were a reminder to our investment managers of the importance of ESG-related considerations, which have a direct impact on the investments we make and consider. In this stewardship report, we report back to you on our many initiatives as a responsible investor.
The sudden impact of COVID-19 on societal health and economic well-being was devastating across the world, particularly in emerging markets, where financing to achieve the United Nations (UN) Sustainable Development Goals (SDGs) had already fallen short.\(^1\) Impact investing – the idea that returns can be measured not just by profit, but also through the upliftment of people, communities, the environment and greater society – is gaining traction in a post-pandemic world, and STANLIB is proudly active in this space through the activities of our Infrastructure and Credit Alternatives teams.
During this period, we embraced employee well-being and encouraged the STANLIB community to play their role in adopting and following COVID-19 prevention protocols. On a broader level, our contribution to the Solidarity Fund helped support the economic health of our country through the funding of small South African businesses. It has been a challenging year, with a critical focus on the overall well-being of our people and the communities in which we operate, our partners and clients, and the sustainability of businesses.
As the world has moved forward from managing the immediate crisis brought on by the pandemic, the challenge of climate change remains, and has potentially become more urgent. As a society, we are in a unique position to shape the world’s recovery, and must pursue a “Great Reset” to build new foundations for our economic and social systems.\(^2\) Positive developments have occurred at a global level, such as the new United States (US) president’s stronger commitment to environmental sustainability, and the stringent targets set by China to reduce its carbon emissions. However, the pandemic has impeded what countries aimed to achieve via the Paris Agreement, and a commitment to more stringent targets during the Conference of Parties 26 (COP26) in November 2021 is expected. The decisions made, and the revised targets, will set the tone for businesses and investors, and at STANLIB, we are on board to align with these goals.
We intend to progressively improve our efforts as a responsible fund manager in 2021. Overall, we are pleased with our learnings and achievements over the past year; however, we remain committed to further and consistent progress. We understand the tragic implications of this pandemic, and our condolences go out to all those who have lost friends and family during this time. We believe 2020 will be pivotal for driving the change the world needs, and expect that 2021 will see an acceleration of ESG trends, especially as companies begin to understand the link between ESG and value creation. We are ready for the challenge, and will continue to play our part in shaping a better future.
\(^1\)Source: [http://www.oecd.org/coronavirus/policy-responses/the-impact-of-the-coronavirus-covid-19-crisis-on-development-finance-9de00b3b/](http://www.oecd.org/coronavirus/policy-responses/the-impact-of-the-coronavirus-covid-19-crisis-on-development-finance-9de00b3b/)
\(^2\)Source: [https://www.weforum.org/agenda/2020/06/how-is-the-time-for-a-great-reset/](https://www.weforum.org/agenda/2020/06/how-is-the-time-for-a-great-reset/)
As reflected in the introduction from our CEO, we will always remember 2020 as a year of great disruption. The world was reminded of the importance of sustainability and, in the investment world specifically, ESG and impact investing were thrust into the global spotlight. At STANLIB, we have long considered ESG factors and issues as part of our approach to investing, and we continue to support industry initiatives to enhance the adoption of these principles.
Under the all-encompassing umbrella of sustainable investing, the industry witnessed and evolved across the full spectrum of activities, from socially responsible investing (SRI) to ESG integration and impact investing. SRI’s initial focus was niche and premised on exclusion, for example, excluding sin stocks from client portfolios. ESG integration broadened the scope and incorporated these risk factors into investment processes, largely to value assets. Impact investing has taken sustainable investing even further, and deploys investment strategies that have measurable financial, social and economic benefits using independent metrics, such as the 17 SDGs.
In this report, we explain how STANLIB participated in this journey. We have incorporated ESG into our investment philosophies and processes for a number of years now, and have taken the opportunity to expand our responsible investing activities to impact investing – both approaches are outlined in this report. We also profile our active engagements during the year (page 6) and elaborate on topical issues, including the ongoing green initiatives in the property sector, despite the challenges brought on by COVID-19 (page 20).
Given the increased urgency to address climate change, we present a case study on Sasol and what an appropriate glide path to sustainability entails, highlighting the company’s efforts to strike a delicate balance between addressing the climate challenges it faces, while also considering its social responsibility as a significant employer in South Africa. The fight to save our planet has intensified, and we at STANLIB, are both excited and ambitious about helping to drive this needed change. On page 12, we captured some thoughts on the upcoming COP26, which builds on insights we shared on the Paris Agreement in our inaugural stewardship report last year.
We are particularly pleased to present our impact investing section from page 24, where we explain our approach to responsible investing and our commitment to the SDGs. While this space has become relevant against the backdrop of COVID-19 and the South African government’s efforts to boost economic growth through infrastructure, it is an area that we have been active in for a while. To demonstrate this, we detail some of our Infrastructure team’s activities and investments. Another significant highlight for STANLIB was the Credit Alternatives team’s launch of the Khanyisa Impact Investment Fund, which will also target investments with measurable economic and social benefits. For both our Infrastructure and Credit Alternatives teams, we employ the framework of the UN SDGs to demonstrate measurable impact.
We also strengthened our ESG committee during 2020. The committee, chaired by our
deputy head of investments, aims to better align our central overarching principles with underlying ESG activities within our investment teams. Our UN Principles of Responsible Investing (PRI) submission, which benchmarks our activities against our peers, produced a satisfactory result and has given us a solid platform to improve our future reporting and disclosure.
As signatories to the PRI and endorsers of the Code for Responsible Investing in South Africa (CRISA), we seek to follow the principles set out in these codes. This will ensure that we contribute to addressing urgent ESG issues and building a more prosperous and inclusive society. Looking ahead, we will focus on:
- Improved disclosure and reporting, particularly adhering to the Task Force on Climate-related Financial Disclosures (TCFD) framework.
- Reporting measurable impact against UN SDG metrics, where applicable, to demonstrate tangible impact in our investment activities.
- From a governance perspective, we will continue to drive:
- Board independence
- Representation by way of improved gender and racial diversity
- ESG and climate reporting (aligned with the TCFD) by investee companies
We hope you enjoy reading our 2020 Stewardship Report.
Mark Lovett – Head of Investments
Henry Munzara – Deputy Head of Investments
ACTIVE OWNERSHIP
Our approach
STANLIB has a fiduciary duty to protect and grow our clients’ savings and wealth. We are also a significant player in the South African investment landscape. As such, our voice carries weight when we comment and engage on important issues, including the companies that we invest in. Our preferred route to effect change is through active engagement and exercising our ownership rights by voting. Collaborating with industry participants has also proved to be a powerful tool for engagement, given the concentrated nature of the investment industry.
STANLIB’s responsible investing principles
ESG is a material investment consideration
STANLIB believes that the consideration of ESG is essential to value creation and capital protection in driving risk-adjusted returns for clients.
Integration of ESG factors
STANLIB considers ESG factors in its investment processes to ensure an understanding of the risks associated with investment opportunities.
Active engagement
STANLIB’s ESG approach is to actively engage business stakeholders to effect change. STANLIB believes engagement is a powerful tool to drive optimal client outcomes.
Ownership rights
STANLIB exercises voting rights in the best interests of its clients. Voting guidelines appear in the proxy voting policy.
Collaboration
STANLIB is open to collaboration where the collective efforts of all relevant stakeholders are more likely to result in a positive client outcome.
Disclosure
STANLIB communicates its policies and responsible investing activities to its stakeholders.
ESG oversight
STANLIB monitors and challenges investment professionals on ESG issues. Governance structures ensure accountability, tracking and measurement.
Active ownership: 2020 overview
Our preferred approach to addressing identified ESG concerns is to actively engage business stakeholders to effect change. Through voting processes, we can ensure that the rights of our clients as shareholders in a company are well represented, while our engagement with stakeholders is a critical tool to drive positive change.
Over the year, we improved our data-driven approach to active ownership and are pleased to report on voting and engagements by theme, together with their outcomes.
South African assets under management
- **1 320** RESOLUTIONS
- **12%** DISSENTING VOTES ACROSS RESOLUTIONS
- **116** ESG ENGAGEMENTS
- **19** ESG ENGAGEMENT THEMES
Voting in 2020
In 2020, the total number of resolutions and annual general meetings (AGMs) reduced from prior years. This is in line with our portfolio construction, which decreased the number of shares held in our South African equity portfolios.
The composition of the total votes is similar to prior years. Board composition (30%) dominated the number of resolutions, followed by remuneration (28%), committees and reporting (21%), corporate structure (16%), general governance (4%), and other, including social and environmental resolutions (1%).
Dissenting votes increased from 8% to 12% of total votes in 2020
32% of dissenting votes were against remuneration
Dissenting votes mostly related to lack of transparency or unclear key performance indicators (KPIs), sustainability not being included in executive KPIs, or misalignment with shareholder objectives. A case study on Shoprite Holdings’ (Shoprite) remuneration is discussed on page 10 as an example.
22% of dissenting votes were against board appointments
These were mostly on the grounds of tenure exceeding 10 years, independence, and suitability of directors on statutory committees including, for example, the audit committee. A case study on Pepkor Holdings’ (Pepkor) board independence is discussed on page 11 as an example.
Shareholder resolutions
We continue to see a rising trend of South African shareholder resolutions aligning with global trends, especially in areas of climate change and community impact. A case study on the environmental and social issues at Sasol, which is topical, is discussed on page 15.
ESG engagements in 2020
23% of engagements were related to COVID-19’s ESG impact
The effects of COVID-19 extended across health, social and environmental spheres, with the most vulnerable in our societies feeling the worst impacts. The pandemic highlighted how companies interact with employees, customers, shareholders and the broader community. Driven to safeguard their people, management teams and boards stepped up to protect and, sometimes, save businesses in the face of lockdown measures that impeded business as usual. Companies invested significantly to protect their employees, with some sacrificing salaries and bonuses and donating to those in need, including vulnerable communities and people who lost their jobs.
The impacts of the pandemic are, however, still with us and shareholders need to remain vigilant. Poverty and inequality will likely worsen, and it is critical that we consider the impacts of COVID-19 on all stakeholders as we recover.
16% of our engagements last year had a positive outcome, while 36% are ongoing
There were overlapping issues across ESG factors and, as a result, 48% of outcomes were neutral. A neutral engagement outcome is usually when the objective is to gain understanding of a particular ESG topic, and no further action or engagement is required. This reflects engagements designed to gain clarity on a particular issue, or engagements that are ongoing.
Virtual engagements are likely to stay
Similar to prior years, the majority (85%) of engagements were in the form of meetings. However, the pandemic changed the nature of engagements from one-on-one, in-person meetings to virtual engagements. While the difficulties of the year necessitated a change in how we operate and engage with stakeholders, we seek to continue leveraging improvements in virtual communication to improve our environmental footprint by, for example, reducing the need for travel for both ourselves and the companies we invest in.
ESG engagement themes
- Environmental excl. climate risk, 33%
- Climate risk, 30%
- COVID-19, 16%
- ESG approach/policy, 14%
- Sustainability reporting, 7%
ESG engagement outcomes
- Positive, 15%
- Ongoing, 36%
- Neutral, 48%
- Negative, 1%
Case studies:
SPOTLIGHT ON GOVERNANCE
Remuneration: Shoprite
Objective
We encourage transparency in remuneration reporting and rewards that align with shareholder interests.\(^3\) We also closely monitor the balance between fixed pay and pay-at-risk to ensure rewards are consistent with performance.
With this in mind, STANLIB engaged Shoprite’s remuneration committee (Remco) to address executive remuneration. We submitted a list of questions and key focus areas ahead of the meeting, which included:
- The independence and structure of the Remco.
- Concerns around their remuneration policy, including an inappropriate balance between short- and long-term incentives and the need for inclusion of sustainability targets and metrics.
- Proposed disclosure improvements consistent with peer group disclosures.
Outcome: Positive
- The Remco chairman indicated that there is a significant amount of work planned in collaboration with independent service providers over the next 18 to 24 months. Areas that will be addressed include refining and improving the executive remuneration policy and strengthening the Remco. This will potentially include the appointment of new directors.
- There was a commitment to improve disclosures and refine targets or KPIs in line with peer disclosures; with improvements expected in FY21 and to conclude in FY22.
- The lack of sustainability targets was noted, and Shoprite will work to include these going forward.
- The Remco will continue to address the mix between variable (pay-at-risk) and base pay, given historic concerns of an imbalance in favour of base pay.
- STANLIB will monitor the progress and implementation of the above.
Board independence: Pepkor
Objective
We recognise the importance of board independence to ensure objective and unfettered decision-making. An independent board also ensures that appropriate checks and balances are in place for company governance.
As part of our efforts to strengthen Pepkor’s board, we expressed our concerns about the lack of board independence, and our preference for the incumbent chairman not to make himself available for re-election. The incumbent chairman also had a financial interest in Pepkor and there was a related-party transaction, raising potential conflicts of interest.
Outcome: Positive
- On 18 November 2020, a Stock Exchange News Service (SENS) announcement confirmed that the incumbent chairman would not make himself available for re-election as chair. A new chairman was appointed, effective 1 December 2020.
- On 18 December 2020, it was announced that another director would not make themselves available for re-election at the next AGM.
- We view these developments as positive, as they create a great opportunity for Pepkor to appoint new board members and strengthen board independence, skill set and diversity.
- STANLIB will engage with the board further during 2021*.
Board diversity: AVI Limited (AVI)
Objective
We believe in the diversity of boards and representation, especially given the history of our country, which ensures effective and inclusive decision-making. We seek diversity across race, gender, skill set and experience.
The events around the Clicks Group’s racially insensitive marketing campaign highlighted the importance of addressing diversity – particularly with those companies we believe lack adequate diversity at senior management and board levels. As part of our usual semi-annual meeting with management, we discussed the matter with AVI’s management team.
Outcome: Ongoing
- We highlighted our concern around the lack of diversity at board and executive management level, as well as the potential implications of this for the business.
- AVI recognised our concerns. We discussed the complexity of these situations and asked that AVI consider disclosing firm commitment and timelines around this topic.
- Engagement and monitoring of progress is ongoing.
*Source: https://stanlib.com/wp-content/uploads/sites/2020/03/STANLIB-Proxy-Voting-Policy.pdf
**In early 2021, an additional announcement was released indicating that the incumbent chairman will be resigning from the board, effective 1 February 2021.
GROWING STAKEHOLDER AMBITIONS TO ADDRESS CLIMATE CHALLENGES
Introduction
Climate change presents a very real and urgent threat worldwide. While some progress has been made to combat the effects of climate change, action from all stakeholders needs to be accelerated to reduce harmful carbon emissions and bring about transformational change.\(^4\)
The WEF’s 2021 Global Risk Report states that extreme weather, climate action failure and human-led environmental damage are among the highest risks of the next decade.\(^5\) As such, climate change is one of the most critical ESG-related issues facing investors today. It is expected to impact portfolio returns, asset valuations and asset allocation processes.\(^6\) At STANLIB, we understand that responding to the risks posed by climate change, and capturing any new investment opportunities that arise, forms part of our fiduciary duty to consider long-term investment value drivers and protect our investment portfolios.
A universal vision to protect the world climate
Addressing the critical aspect of climate change on a global level, COP represents countries that signed the UN Framework Convention on Climate Change (UNFCCC) in 1994. In 2015, France hosted the most recent meeting, COP21, heralding the signing of the now well-known Paris Agreement. In our 2019 stewardship report, we examined the Paris Agreement to provide insight into the broader environment, and the collaborative commitments being driven by many nations to protect the sustainability of our planet. This report can be accessed on our website HERE.
The next COP, known as COP26, will be hosted by the United Kingdom (UK) in November 2021 – a key event in the climate change timeline. The signatories to the Paris Agreement endeavour to limit the earth’s increase in temperature to below 2°C compared with pre-industrial levels, by reducing the harmful greenhouse gases (GHGs) emissions and increasing the use of renewable energy sources. The signatory countries also pledged to review progress against the agreement every five years.
While COP21 was instrumental in getting countries to agree to address climate change by reducing GHG emissions, COP26 aims to introduce a more stringent temperature rise cap of 1.5°C through a more concerted effort to transition energy use from fossil-based carbon-emitting fuels to alternative renewable sources of energy. The conference will also be key to understanding the effectiveness of the Paris Agreement to date, and will allow parties to refine some of the detailed elements, such as the creation of common timeframes. Furthermore, several reports indicate that smaller countries have been more effective than larger ones in adapting to a greener economy through policy changes and social behaviour. We hope to see other larger nations playing catch-up.
COP26 will be held against a backdrop of positive change from the world’s largest carbon emitters. China has committed to carbon neutrality by 2060 and the US has re-joined the COP under its newly elected president, Joe Biden, with a commitment to be carbon neutral by 2050. The European Union (EU) and the UK have also committed to carbon neutrality by 2050. However, these target dates are potentially too far into the future, and the lack of alignment across countries poses a challenge.
Investment in fossil fuels continues to exceed investment in climate activities, and the progression of finance for climate change will also be on the COP26 agenda. The Paris Agreement saw countries committing to spend US$100 billion annually by 2020 to help poorer countries fight climate change. The impact of the COVID-19 pandemic has likely disrupted this goal, however, the pandemic in itself has driven more urgency in addressing climate challenges. Having learnt that viruses thrive in a radically altered environment, the world has now experienced first-hand the devastating effects of this phenomenon. The impact of the pandemic across the world may have provided harsh lessons to governments, businesses and investors, but it has also provided opportunities to rebuild and sustain our earth.
We anticipate positive outcomes from COP26 that set a clearer, stricter path for countries to achieve carbon neutrality by a common date. This is particularly critical for those nations responsible for the highest emissions, including China and the US. A firm and united commitment, and the delivery of plans at a worldwide level, will set the tone for corporates, asset owners and investors who, through their activities, play a crucial role in supporting change.
South Africa’s ambitions for a just transition
South Africa is a signatory to the Paris Agreement and has committed to carbon neutrality by 2050. The goal is to constrain the country’s emissions to follow a peak-plateau-decline trajectory. Under this approach, emissions peak in 2025 and meaningful decline is meant to occur post 2030. Research from Climate Action Tracker, an independent scientific analysis that tracks governments’ climate action measures against the Paris Agreement, rates South Africa’s efforts to reduce GHG emissions as “highly insufficient”.
South Africa has clearly stated that coal will remain an important component of the country’s energy mix. The needs of the still-developing economy are prioritised as part of the country’s just transition
to a low-carbon economy. A just transition is not only about ensuring a responsible decarbonisation process, but also about credible alternatives for inclusive and sustainable growth.
Today, South Africa is a growth-constrained economy held back by many legacy issues, but looking forward to accelerated growth. In the short term, the growth envisaged cannot be achieved without the use of a legacy coal-based power system.
Addressing the path to carbon neutrality while managing legacy energy sources, as a developing nation, South Africa has the opportunity to build and reform for a sustainable future. Through necessity, South Africa has embraced renewable energy, which continues to grow in the public and private sector. Creating exciting new opportunities for growth, the renewables sector is a standard bearer for innovation in finance and sustainability due to its impact on workers, communities, consumers and citizens. Highlighted on page 27, our Infrastructure Fund is a significant participant in this area.
3. Collaboration
Importantly, joining climate change initiatives under the auspices of the PRI enables collaboration that drives policy advocacy, and supports investing that aligns with the target of net-zero emissions by 2050. We are all in this together, and 2020 has revealed that the climate change challenge cannot be achieved by one nation, or one business, alone.
In 2021, we join the world with heightened ambition to be more effective in driving positive, impactful outcomes.
Conclusion
STANLIB, as an asset manager and PRI signatory, is committed to being a part of the transition to carbon neutrality by 2050. When considering climate risk in investment decision-making processes, one of the most critical factors for us as asset managers, is the ability to measure a company’s climate impact – both now and in the future. Aligned with this, we must understand and endorse management’s strategies to mitigate climate risk, and their measurement metrics and targets to reduce GHG emissions. We can then evaluate climate risk with reference to our premise of a transition that is equitable to communities and workers, but also provides investors with sustainable long-term value. Our engagements with the company’s management provides a powerful opportunity to collaborate and drive change, in alignment with the broader global and national commitments to carbon neutrality. Our case study on Sasol (page 15) is a good example of this.
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9 Source: https://www.weforum.org/projects/climate-ambition-initiatives
10 Source: http://www3.weforum.org/docs/WEF_The_Global_Risks_Report_2021.pdf
11 Source: https://www.unpri.org/en/introduction-to-responsible-investment/an-introduction-to-responsible-investment
12 Source: https://www.unpri.org/en/our-work/our-research/sofa
13 Source: https://sdgs.un.org/goals/goal13
14 Source: https://climateactiontracker.org/countries/south-africa/
The company: Sasol
Sasol, a global integrated chemicals and energy company, delivers energy supply to the developing economies of South Africa and its neighbours. Established over 50 years ago, the company employs more than 31 000 people, paid R2 billion in taxes and substituted approximately R21 billion worth of imports in its 2020 financial year. These figures highlight the significant contribution Sasol generates towards the growth and sustainability of South Africa’s economy, which is particularly critical during a period characterised by fiscal challenges and social vulnerability.
The nature of its business, however, makes Sasol the second-largest GHG emitter in South Africa through its Secunda plant\(^2\) and the largest emitter listed on the JSE Limited (JSE), exceeded only by Eskom, the national power utility. As seen in the charts below, Sasol emits more than 50 000 tonnes of carbon dioxide (CO2) per annum. There has been a marginal decrease over the last three years in the face of the increasing threat of climate change and the global drive to address it.
STANLIB recognises that businesses and investors have an important role to play in supporting the CO2 emission reduction targets for South Africa, as highlighted in this report. We are concerned about Sasol’s environmental impact and, particularly, its significant impact on South Africa’s ability to reach its targets for a cleaner environment. We also support the UN SDGs*, while being aware that Sasol employs many South Africans and plays a critical role in the energy value chain, providing a foundation for socio-economic development.
It is critical that when we invest on behalf of our clients – while also addressing the heightened risk of climate change – that we balance the competing needs of other stakeholders. For the sustainability of the investment case, we need to consider communities, customers, employees and suppliers when engaging companies like Sasol to drive behaviour change and build a sustainable business model.
The challenge: driving an engagement agenda to support the transition to lower GHG emissions and a sustainable business model.
ESG screening, scoring and assessment is fully integrated into our investment decision-making process. Through our proprietary research process, we identify both ESG risks and opportunities when investing in a specific company.
The materiality map below highlights key ESG issues for Sasol. The size of the block in the heat map reflects the importance of the issue. GHG emissions and the lack of sustainability in a business model that uses coal-based energy are the primary challenges for Sasol. Sasol’s stated commitment to GHG reduction is guided by South Africa’s committed range in terms of COP21. In our assessment, we found that the company’s reduction targets are too low.
To address the ESG risks at Sasol, we created a framework to drive engagement for change and ensure that, as an investor, we can make an impact. As shareholders of Sasol, our aim is to engage firmly on the issues of climate change, governance and its business model, which is under threat as a result of its coal-to-synfuel** operational process.
**STANLIB sustainability engagement for positive change**
| Issue | Financial Year 2020 | Financial Year 2021 |
|----------------------------------------------------------------------|---------------------|---------------------|
| Reduction of scope 1, 2 and 3 emissions to combat GHG emissions and other pollutants | CEO | CEO |
| Transitioning Sasol from coal to hydrogen | CEO | Board |
| Separation of chemicals and fossil fuels businesses | | CEO |
| Board and management alignment with shareholders and accountability | | Board |
| Appropriate management given cost overruns at Lake Charles Chemicals Project | Chair | |
During 2020, our engagement process aimed to address Sasol’s poor carbon emission reduction goals, and ensure that the business was working towards a sustainable business model. We engaged with the CEO, chief financial officer (CFO) and the transformation executive vice president on Sasol’s climate change strategy on multiple occasions.
Reducing Sasol’s environmental impact
STANLIB recognises that the introduction of carbon tax, and the regulatory changes to be implemented by the Department of Mineral Resources and Energy (DMRE) and Department of Environment, Forestry and Fisheries (DEFF), will expedite lower GHG emissions at Sasol. However, as shareholders, we can also influence the emissions glide path.
Chart: Sasol scope 1 emissions glide path
Source: Sasol’s annual financial statements for the year ended 30 June 2020, STANLIB multi-asset and equity research
The chart above illustrates Sasol’s gradual decline in GHG emissions. The company has committed to a 10% reduction by 2030 from its 2010 baseline (as indicated in its 2020 sustainability report), but is yet to disclose its targets post 2030, which will only be disclosed in 2021.
STANLIB concluded that Sasol’s reductions of scope 1, 2 and 3 GHG emissions are not meaningful enough, and we have further engaged with its management on this. We have urged management to be bold and do more to reduce its GHG emissions sooner than its initial 2019 goal of a 10% reduction by 2030, from a 2010 baseline.
The 2021 Capital Markets Day (CMD) will deal with Sasol’s shareholders’ requests for more urgent and near-dated interventions for Sasol to reduce its emissions and provide clarity on the viability of longer-dated options, such as transitioning to a hydrogen economy.
Outlook: continued engagement and firmer targets
Sasol requires a number of changes to improve the speed and extent of its reduction in CO2 emissions. We believe that ongoing engagement to explore options to address the problem will initiate faster improvements. It is key that Sasol continues to drive initiatives to reduce its carbon emissions, and provides full disclosure on its targets. It is also critical that the company measures and reports its environmental impact data, allowing all stakeholders to measure and assess impact.
In 2021, we will continue to engage on how to rapidly adapt Sasol’s business model. We will also engage the board and hold it accountable for its oversight role, ensuring that the business applies the relevant skills and experience to navigate this transition.
The following environmental issues at Sasol will be prioritised in 2021:
- The need to establish a climate change committee, which will be responsible for the revision to more aggressive emission reduction targets.
- The longer-term climate change impact on the sustainability of the business, and the roadmap to a hydrogen economy mooted in the company’s 2020 climate change report.
While we continue to engage with Sasol, we expect the following targets at the company’s August 2021 CMD:
1. Clear evidence of a commitment to accelerate the reduction of GHG emissions beyond the 10% reduction by 2030 from the 2010 baseline, as indicated in the 2020 sustainability report. These targets must specifically include timelines on the roll-out of the 900 MW renewable power installations.
2. Additional detail on the transition from coal to natural gas as feedstock. Gas availability, economic viability and time horizon will be critical to assess the success of the proposed interim transition.
3. Greater clarity on how Sasol will unlock the potential of hydrogen as an energy carrier. Scenarios need to be presented around likely success and alternatives to sustain the business in the event that hydrogen is not economically viable.
These are critical milestones for Sasol’s management. Unsatisfactory guidance and targets at the 2021 CMD will force firm re-engagement with the board, and require STANLIB to vote against the key resolutions at Sasol’s AGM in November 2021, including the remuneration report and the re-appointment of directors to the sustainability committee.
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**Source:** https://www.tsd.org/articles/south-africans-are-paying-pollution-pump
**Source:** www.carbontrust.com/resources
**Aligns with the UN SDGs 7 and 1**
**Synthet – the petroleum product made by Sasol from coal instead of using crude oil.**
CASE STUDY:
GREEN INITIATIVES CONTINUE
IN PROPERTY SECTOR AMIDST COVID-19 CHALLENGES
Property has been, and continues to be, severely impacted by lockdown restrictions imposed globally due to the COVID-19 pandemic. This is especially the case for the retail and office segments, necessitating property companies to focus on financial health in the short term. Despite this, there remains strong commitment from listed property companies to minimise their environmental impact and continue with their green building initiatives.
In a post-COVID-19 environment, we expect the growing focus on environmental factors to gain further traction as it is evident that tenants and investors are increasingly demanding more efficient and sustainable buildings. Most listed property companies are entrenched on this journey, and many are members of the Green Building Council of South Africa (GBCSA).
The environmental case for green buildings
Green buildings offer several social, environmental and economic benefits, and effectively contribute to the achievement of the UN SDGs. Green buildings reduce or eliminate adverse environmental effects through the efficient use of water, energy and other natural resources, and contribute to the overall health and well-being of the tenants that occupy them. The motivation to pursue green buildings is also economic, due to the financial savings in lower utility bills, lower construction costs and increased property values.
STANLIB has encouraged property companies to obtain green building certifications and ensure that buildings ultimately become certified as net zero for carbon, waste, water and ecology. The commitment to increase the pipeline of green building development has been followed through by a number of companies. Our engagements with, for example, Growthpoint, Redefine, Hyprop, Fortress and Vukile, have yielded positive results, as highlighted in the following assessment of their plans. These companies are core investments in the STANLIB Property Fund.
Table: Summary of key initiatives by major listed property companies in SA
| | Commitment to increasing pipeline of green buildings | Improving consumption efficiency | Driving renewable energy mix | Utilities management |
|----------------|------------------------------------------------------|---------------------------------|------------------------------|---------------------|
| Growthpoint | ✓ | ✓ | ✓ | ✓ |
| Redefine | ✓ | ✓ | ✓ | ✓ |
| Hyprop | ✓ | ✓ | ✓ | ✓ |
| Fortress | ✓ | ✓ | ✓ | |
| Vukile | ✓ | ✓ | | ✓ |
Source: STANLIB Property
Our engagements with Growthpoint
Growthpoint has made substantial progress on their green building initiatives. The company has been innovative when it comes to green building alternatives, as is evidenced by their small-scale urban farming project in Brooklyn Mall. Growthpoint’s green building focus areas include the following:
Table: STANLIB’s assessment of Growthpoint’s green initiatives
| Growthpoint green building focus areas | Description | Assessment of progress during the year |
|----------------------------------------|-----------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------|
| Smart meters | Smart meter electricity installation results in more efficient management of electrical costs, allowing savings. Water meters also produce significant savings. | A total of R919 000 was invested in smart electricity meters, and R4 million in smart water meters. Most have been installed in Growthpoint retail and office buildings. |
| Heating, ventilation and air conditioning (HVAC) | Reduce the use of harmful refrigerants with the installation of efficient equipment and systems, such as variable speed drive or ice plants. | Growthpoint aims to improve efficiency of HVAC systems by increasing the effectiveness of the heating and cooling systems in 30 buildings. |
| Electric vehicle (EV) charging station | When electric cars become mainstream, Growthpoint will need to future-proof buildings in this regard. | New buildings in the Growthpoint portfolio are making provisions for EV charging stations. Good progress is being made. |
Green building certification continues to be a primary objective for Growthpoint. For the year ahead, Growthpoint has identified 20 buildings to be certified net zero for carbon, waste, water and ecology. To date, Growthpoint has achieved 112 green building certifications, including its Waterfront property.
### Our engagements with Redefine
Redefine has a holistic approach to green buildings, targeting a few key areas – such as renewable energy sources in their new buildings, green spaces, indoor air quality and waste-to-value opportunities. We highlight the progress they are making on some of these initiatives:
#### Table: STANLIB’s assessment of Redefine’s green initiatives
| Redefine green building focus areas | Description | Assessment of progress during the year |
|-------------------------------------|-----------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------|
| Heating, ventilation and air conditioning (HVAC) | Reduce the use of harmful refrigerants with the installation of efficient equipment and systems, such as variable speed drive or ice plants. | Meaningful progress during the year has been made by Redefine. Increased data availability and measurements to improve management and ongoing implementation of policy, dictating gradual replacement of harmful refrigerants. |
| Renewable energy source | Alternative energy sources reduce the carbon footprint. | Redefine did well to install 25 913 kWp (2019: 23 662 kWp) solar capacity to date. Redefine also reduced 33 607 tCO2e emissions in 2020. |
| Indoor air quality and thermal | Measurement of volatile organic compounds (VOC) such as carbon dioxide, to improve air quality and thermal comfort for buildings. | Redefine achieved pre-certified GBCSA-approved internal air quality management plan, implemented in 82 buildings to date. A big improvement of 58 buildings from the previous year. |
| Biodiversity | Review and manage impacts on ecological systems and biodiversity. | Redefine met all internal compliance biodiversity processes for their new developments. |
Continues on next page
Our recent ESG disclosure engagements with Redefine have been very positive, with the company willing to target Green Star Certification on certain new building developments. Buildings in the Rosebank and Sandton precincts will incorporate most of the features of HVAC and renewable energy sources and will recycle a large amount of waste generated. Redefine set a target of 100 certified buildings by FY2020, and have, to date, achieved 101. Impressively, 57% of Redefine office gross leasable area (GLA) is already Green Star certified.
**Our engagements with Hyprop**
Hyprop has focused on monitoring their impact on the communities and environment in which they operate. The company has committed to reducing consumption of natural resources at all their retail centres, with their green building focus being on solar and waste recycling.
**Table: STANLIB’s assessment of Hyprop’s green initiatives**
| Hyprop green building focus areas | Description | Assessment of progress during the year |
|----------------------------------|-------------|---------------------------------------|
| Solar installations | Alternative energy sources reduce high electrical costs and allow cost savings. | Hyprop managed to achieve 12 232 GJ direct renewable energy consumption for solar photovoltaic (PV). Hyprop also installed solar PV plants at their Hyprop Gauteng malls. |
| Green design | Retrofitting green design principles to existing buildings. | Managed to achieve 5-star green rating for Canal Walk. |
| Waste-to-value opportunities | Recycling and reusing waste to generate sources of heating, cooling or energy for the building. | 77% of waste in SA portfolio recycled. One of the highest in the property sector to date. |
Hyprop is also a part of the SA Biodiversity Project (BDP), a platform that provides companies with a practical avenue to report on their annual biodiversity performance.
**Conclusion**
Value creation through sustainability has become more significant in recent years. Companies in the property sector are already setting science-based targets for emissions, reducing organic waste, investing in renewable solar, and obtaining green building certifications. These are captured in well-communicated sustainable change governance frameworks – which we support and request more property companies to publish. STANLIB has received a commitment from certain companies that they will provide improved disclosure on their ESG value creation initiatives and will benchmark their progress in 2021. To date, investments in green buildings have been significant from the property companies, with all of them well-established to deliver future value in this segment.
THE 17 UNITED NATIONS SUSTAINABLE DEVELOPMENT GOALS
1. NO POVERTY
2. ZERO HUNGER
3. GOOD HEALTH AND WELL-BEING
4. QUALITY EDUCATION
5. GENDER EQUALITY
6. CLEAN WATER AND SANITATION
7. AFFORDABLE AND CLEAN ENERGY
8. DECENT WORK AND ECONOMIC GROWTH
9. INDUSTRY, INNOVATION AND INFRASTRUCTURE
10. REDUCED INEQUALITIES
11. SUSTAINABLE CITIES AND COMMUNITIES
12. RESPONSIBLE CONSUMPTION AND PRODUCTION
13. CLIMATE ACTION
14. LIFE BELOW WATER
15. LIFE ON LAND
16. PEACE, JUSTICE AND STRONG INSTITUTIONS
17. PARTNERSHIPS FOR THE GOALS
SUSTAINABLE DEVELOPMENT GOALS
During the past five years, the South African economy has not grown at the pace needed to meaningfully increase employment opportunities (especially within the private sector), reduce inequality and eliminate poverty. At the same time, public finances have become more constrained, limiting the ability of government to enhance its investment in economic and social development.
Recently, there has been an attempt to restore fiscal discipline, but the split between consumption and capital expenditure remains problematic. Over the past 10 years, government has tended to shift spending away from capital products, such as infrastructural renewal, in favour of consumption, such as government salaries. This has clearly undermined economic growth over the longer term, resulting in a deterioration in many vital areas of service delivery.
Infrastructure advancing positive socio-economic outcomes
Infrastructure is a critical factor in the health and wealth of a country; it improves the living standards of the population while, at the same time, enabling private businesses and individuals to produce goods and services more efficiently. Increased
infrastructure spending by the government results in higher economic output in the short term by stimulating demand directly, and also over the long term by increasing overall productivity, as well as the well-being of the population.
Investments in business infrastructure, defined as roads, railways, airports, and utilities (such as water and energy), produce large economic multiplier benefits which are approximately two times the value of the initial project within a year of completion. For instance, according to the World Bank, if sub-Saharan Africa closed the infrastructure quantity and quality gap relative to the best performers in the world, the region could increase growth in gross domestic product (GDP) per capita by 2.6% per year.
In terms of road infrastructure, research conducted by the World Bank finds that a one-day decrease in overland travel time leads to a 7% increase in Africa’s exports. Furthermore, upgrading primary road networks connecting major cities would increase trade within sub-Saharan Africa by US$250 billion over five years.
In addition to the economic benefits, road infrastructure has been shown to have social benefits. Another study by the World Bank found that rural road development in Brazil’s Jalapão and north-east regions decreased the distance to the nearest populated area by 25 kilometres. The educational impact of improved roads was also found to be positive, with the number of girls attending school in the south-east region increasing by an average of 0.59 per household. In general, the number of households with children who cannot attend school due to poor road conditions experienced a statistically significant decline.
Critically, investment in social infrastructure such as hospitals, schools and housing also provides a very tangible positive impact to people’s quality of life, while increasing social mobility within the country. In terms of education, additional research by the World Bank showed that introducing solar power to schools in Sudan and Tanzania increased the completion rates at primary and secondary schools from less than 50% to almost 100%.
From schools and hospitals to roads, power and water networks, sustainable infrastructure enables governments and the private sector to provide services that contribute to sustainable livelihoods and broader economic growth, while improving quality of life, enhancing human dignity and stimulating social development.
How infrastructure contributed to South Korea’s development
On a broader scale, South Korea’s developmental success is an important case study for the positive impact of infrastructure investment. South Korea achieved rapid economic growth, reduced its poverty rates and made significant strides towards achieving the Millennium Development Goals. The key drivers behind these successes include investment in human and infrastructure capital, strong macro-economic policies, a capable government with a long-term development vision, effective economic planning, strong business-government links, investment in research and development, adaptable economic policies, and an emphasis on tertiary education.
According to the Asian Development Bank, South Korea’s infrastructure investment plan included building expressways to connect cities, ports and industrial complexes to reduce logistics costs. In addition, there was a rapid application of information and communication technology (ICT) that not only advanced internet access for citizens, but also improved competitiveness in many sectors by reducing costs and enhancing efficiency. Finally, investments in the energy sector contributed to competitiveness by providing the electricity needed for production, service provision to households, and transport.
Such initiatives have helped South Korea become one of the fastest growing economies in the world, with real GDP per capita increasing from US$3 679 in 1980 to US$28 675 in 2019. In addition, the South Korean government also used a combination of intensive investment in infrastructure, ICT and human capabilities to alleviate poverty, reduce inequality and increase household income levels, reducing the unemployment rate to only 3.8% in 2019.
Conclusion
For South Africa, government’s plans to revitalise the economy and improve people’s lives include infrastructural development. The government has set up an Infrastructure Fund, inviting the private sector to enter into meaningful partnerships with government and PPPs to start alleviating key infrastructural backlogs. STANLIB’s Infrastructure team is well-placed to partner on these initiatives.
STANLIB Infrastructure Fund: Making an Impact
Introduction
STANLIB Infrastructure offers investors a compelling opportunity to invest across a range of infrastructure projects through various private equity funds. At the end of January 2021, funds under management totalled R8.3 billion, while over the past year R4.2 billion of capital was deployed. Investments focus on broad-based infrastructure and encompass a number of sectors, namely power, renewable energy, rail, roads, airports, water, storage, and logistics and telecommunication.
This year, we enhanced and updated our approach to responsible investment to ensure that we clearly articulate our commitment to those UN SDGs we can most effectively impact.
Our approach to responsible investing
STANLIB Infrastructure believes investment in the infrastructure asset class in South Africa not only offers investors diversified, risk-appropriate, stable and long-term returns, but is a powerful means of making a tangible and sustainable difference to South African communities. We support ethical governance as well as socially responsible and environmentally sustainable business practices, and invest in projects that deliver appropriate risk-adjusted returns to our investors. We believe that by including ESG into the lifecycle of our investments, we can better understand and manage inherent project risks.
Our commitment to the SDGs
An important tenet of our responsible investment policy is our commitment to the UN SDGs. The 17 SDGs are designed to help organisations and people across the world create a better and more sustainable future for everyone. Each SDG focuses on addressing global challenges, including poverty, inequality, climate change, environmental degradation, peace and justice.
We support the objectives of the UN SDGs and use these to assess our contribution towards addressing ESG challenges. While all 17 SDGs are critical to achieving global goals, we have identified four SDGs that we believe we can support and positively influence through our investments:
- Quality Education (SDG 4)
- Affordable and Clean Energy (SDG 7)
- Decent Work and Economic Growth (SDG 8)
- Industry, Innovation and Infrastructure (SDG 9)
SDG 4: Quality education
SDG 4 aims to ensure inclusive and equitable quality education, and promote lifelong learning opportunities for all. We believe it is important for organisations to help achieve this, as education feeds into many other SDGs. Quality education leads to social upliftment and alleviates poverty – ultimately reducing inequalities, promotes healthier and more sustainable living, creates better job opportunities, encourages tolerance between people, and contributes to more peaceful societies.
With mandates that predominantly focus on South Africa, we are committed to addressing the country’s economic challenges. We aim to do so by investing in education initiatives through investee companies’ CSI and socio-economic development (SED) projects. These projects improve early childhood development (ECD), provide equal access for all women and men to affordable, good-quality technical and vocational education and training (TVET), including tertiary education at universities, and increase the number of people with relevant qualifications for decent employment and entrepreneurship.
The collective impact of our funds through investee companies has seen an average of R3.1 million invested annually in CSI and SED, and over R164 million total, since 2018.
An example is a bursary programme started by Kouga Wind Farm (RF) (Pty) Ltd (KWF), an investee company, in 2018. It currently has 25 beneficiary students studying various disciplines across 10 tertiary institutions, including universities, private academies and public TVET colleges. During the 2020 COVID-19 lockdown, together with Musinysane Development Organisation, KWF delivered laptops to students to ensure continued online learning. Visit http://kougawindfarm.co.za/category/education/ for more information about KWF’s contribution to quality education in South Africa.
Elsewhere, another investee company, N3 Toll Concession (RF) (Pty) Ltd (N3TC), has been supporting PROTEC Pietermaritzburg Academy (PROTEC) by offering additional support in Mathematics, Physical Science, English and Career Guidance to secondary school children from disadvantaged communities in the KwaZulu-Natal Midlands. PROTEC’s grade 12 success rates stabilised at 100% for the matric pass rate and close to 100% for the bachelor admission rate. The number of key subject distinctions in Mathematics, Physical Science, Life Sciences and English opened the door for many PROTEC matriculants to access university courses such as engineering, medicine, actuarial science, accounting, forestry, IT and teaching. PROTEC works with learners to develop the life skills they need to ensure tertiary education acceptance and instil support and collaboration between learners, parents and teachers. Refer to http://n3tcjournals.co.za/wp-content/uploads/2020/03/n3tc-tl-education-2019.pdf for more information about the N3TC’s Touching Lives initiatives.
SDG 7: Affordable and clean energy
SDG 7 aims to ensure access to affordable, reliable, sustainable and modern energy for all. Reliable and affordable energy is necessary to support many sectors, from business, medicine and education to agriculture, infrastructure, communications and technology. If South Africa does not have access to energy supplies and infrastructure, our human and economic development will be impacted.
Energy is the main contributor to climate change, producing approximately 60% of the GHGs. STANLIB Infrastructure invests in renewable energy projects not only because they provide good returns for our investors, but also because of the added benefit of reducing GHG emissions in the South African energy mix. In addition, we promote investments in surrounding communities through investee companies’ CSI or SED spend, which encourages the use of affordable and clean energy.
Our renewable energy portfolio comprises over 21% of all renewable energy projects in South Africa. At 31 December 2020, STANLIB Infrastructure’s energy portfolio included 17 power plants, generating an average of 3 200 000 MWh of renewable energy per annum, mitigating over 3 100 000 tonnes of GHGs annually.
SDG 8: Decent work and economic growth
SDG 8 promotes inclusive and sustainable economic growth, employment and decent work for all, which is only possible through the generation of stable and well-paying jobs. Globally, nearly 2.2 billion people live below the poverty line (US$1.90 per day).
Through investee companies’ CSI projects or SED spend, we promote initiatives that reduce the proportion of unemployed people without access to education or training. In addition, we protect labour rights and promote safe and secure working environments for all workers in our investments.
The collective impact of our funds created a total of 3 293 employment opportunities in 2020, comprising 1 928 permanent employees and 1 365 contractors.
SDG 9: Industry, innovation and infrastructure
SDG 9 aims to build resilient infrastructure, promotes inclusive and sustainable industrialisation and fosters innovation. Economic growth, social development and climate action rely on investments in infrastructure, sustainable industrial development and technological progress.
In line with our mandate, we will invest in quality, reliable, sustainable and resilient infrastructure to support economic development and human wellbeing, upgrade infrastructure with greater resource-use efficiency, adopt clean and environmentally-sound technologies and increase access to ICT.
An example is our investment in Trans African Concessions (Pty) Ltd (TRAC), which has several construction and rehabilitation contracts that contribute to infrastructure development. These include: rehabilitating the carriageway on the N4 Montrose to Schagen, Mpumalanga, through milling and replacement from January 2019 to May 2020, to the value of R115 million; upgrading the intersection to a split-level interchange on the N4 Karino interchange near Nelspruit, Mpumalanga from February 2019 to February 2021, to the value of R350 million; ongoing rehabilitation of the carriageway on the N4 from Bronkhorstspruit to Bossemanskraal, Gauteng, through milling and replacement, with a contract value of R137 million; and the ongoing upgrade of the N4 from Belfast to Machadodorp, Mpumalanga, through lane additions, with a contract value of R650 million.
Conclusion
STANLIB Infrastructure’s well-established investment processes mean we have long considered ESG factors when identifying both investment opportunities and risks. This allows us to understand the impact of our investing decisions above and beyond financial returns. We are excited and well-positioned to capture the opportunities presented by government’s infrastructure plans, as well as the current regulation 28 discussions that seek to direct increased pension fund capital into this area and asset class. In pursuing these opportunities, we continue to drive a positive and long-term impact on society, as measured by the UN SDGs.
THE KHANYISA IMPACT INVESTMENT FUND:
INVESTING FOR GOOD
Introduction
We take this opportunity to introduce the Khanyisa Fund, a seven-year, R3 billion private debt fund that will be managed by our Credit Alternatives team. Khanyisa means to spark, illuminate or make brighter, and our objective is that the fund will spark economic and social benefits by investing in the country’s infrastructure, inclusive financial services and agricultural sectors.
The idea that returns can be measured not only by profit, but by the upliftment of people, communities, the environment and greater society was a compelling motivation for the launch of this fund.
The Khanyisa Impact Investment Fund
The fund aligns its impact objectives with the UN SDGs. Our aim of investing in the fund includes the reduction of poverty and inequality, increasing access to basic services and goods, increasing financial inclusion (especially of traditionally marginalised groups) and reducing the barriers to entrepreneurship. All of these aims and objectives link thematically to a stated SDG.
The fund tracks 11 of the 17 SDGs. The fund has been established in a way that allows the investment strategy to seamlessly integrate with the relevant
SDGs, representing a wide range of impact benefits for investors in the following areas:
- Economic inclusion
- Good health and well-being
- Reduced inequality
- Sustained cities and communities
- No poverty
- Climate change
- Decent work and economic growth
While targeting a return of consumer price index (CPI) plus 4.5%, the fund will focus on investments that achieve the twin aims of attaining a sustainable financial return for investors, while adhering to its stated impact outcomes. There is no tension between the stated fund financial objectives and the desired impact outcomes. Part of the investment outlook is underpinned by the thesis that investment strategies with a high ESG and impact adherence tend to perform better over the long term. Within a South African context, we have seen the importance of strong governance within corporate South Africa and state-owned enterprises (SOEs) in determining overall financial health.
The COVID-19 crisis has revealed the need to place more emphasis on social sustainability as a key part of the investment outlook. To help in the fulfilment of the various SDGs outlined above, Khanyisa, by definition, helps catalyse impact through social impact.
**Thematic investing**
To achieve these goals, objectives and allocations have been divided into three key themes that speak to maximising both impact and financial outcomes.
The first theme is infrastructure, which we dissect into social and economic sub-categories. Social infrastructure activities will focus on building and developing sustainable communities by investing in areas like affordable housing, education and healthcare. Economic infrastructure projects will focus on creating jobs, new business growth opportunities and economies of scale in telecommunications, utilities, transportation, and SOEs and municipalities. In line with the UN SDGs and South Africa’s efforts, the pursuit of sustainable and clean energy solutions will be prioritised. As part of our focus on renewable energy opportunities, for example, we consider the objectives of SDG 7 (affordable and clean energy) and SDG 13 (climate action). In considering healthcare investments, the fund helps fulfil SDG 3 (good health and well-being) and SDG 11 (sustainable cities and communities) objectives.
The second theme is financial inclusion, where the key objective is to increase the penetration rate of financial services usage. The aim is to lower economic barriers to entrepreneurship and increase financial literacy and access to financial services, which will collectively lead to greater economic activity. The focus will be on wholesale financing into the micro-loan, small and medium-sized enterprises, black employment equity (BEE), and payment and remittances sectors. Within this sub-theme, the fund covers a wide range of SDGs, from SDG 1 (no poverty), to SDG 8 (decent work and economic growth) and SDG 10 (reduced inequalities).
The final theme is agriculture, which is critical to food security in the country. We aim to support local agriculture, ensuring access to land through informed redress and encouraging sustainable practices, leading to greater food security and access to wholesome nutrition. Agriculture within an African and South African context is a key impact theme informing various SDG outcomes, including SDG 2 (zero hunger), SDG 12 (responsible consumption and production) and SDG 13 (climate action).
**Measuring outcomes**
To give effect to the twin objectives of financial return and impact outcomes, we formulated an overall portfolio measurement framework that encompasses the following features:
- Measuring financial returns
- Measuring impact outcomes
- Tracking outcomes on a rolling basis against agreed impact benchmarks
The outputs from this framework will provide us and our investors with an integrated set of metrics that describe the economic and impact characteristics
of the fund’s overall portfolio, all of which are validated by an independent third party.
Measuring impact outcomes in line with the SDGs is both a qualitative and quantitative exercise. This involves the use of quantitative frameworks such as social return on investment (SROI), and various theory of change methodologies. The framework applied has the ability to measure and describe impact by tracking the following:
- **Impact outputs**, e.g. invest in a hospital and increase the number of available beds in a specified geographic area.
- **Short-term impact outcomes**, e.g. increase the number of people receiving HIV treatment, increasing public health initiatives in area-specified geographic area.
- **Long-term impact outcomes**, e.g. reduced HIV prevalence, and changes in life expectancy and morbidity.
In all instances, we track impact metrics at both a single transaction level and a portfolio level.
Some of the initial investments that the fund is considering include a highly-attractive proprietary pipeline of assets that is well-diversified across sectors. The underlying funding strategies vary across industries, and include growth finance, traditional project finance, balance sheet and wholesale lending. Thematically, there is an initial bias towards infrastructure, followed by financial inclusion and agriculture. As we reach full deployment of the fund, we expect the portfolio will re-balance to reflect a weighting of between 55% and 60% infrastructure; 30% and 35% financial inclusion; and 10% agriculture. We anticipate the total number of investments to be between 15 and 20 at full fund deployment.
**Conclusion**
As we journey into 2021 and start reshaping our struggling economy, we are excited to offer our clients an opportunity to partner with us, investing in key South African themes that will deliberately drive a positive and measurable impact on social well-being and the longevity of our environment.
Last year, we noted that the concept of investing for a sustainable future was rapidly evolving. What was once an add-on to investment practices in asset management now forms part of the way we work and think every day. Policies and processes to embed the consideration of ESG factors into investment decision-making form the bedrock of the way we operate. In 2020, a year characterised by the devastating impact of the COVID-19 pandemic, these factors have become even more important. As asset managers, we are tasked with generating returns for our clients, while being mindful of the impact our investment decisions will have on the longevity of our planet and the well-being of our communities. Pandemic-led changes have threatened economic survival and significantly changed business models and routes-to-market, policy decision-making, and the way communities live and work together. Some changes are temporary in nature while others are lasting.
As we head into 2021 and beyond with hard learnings from a profound year, we recognise that we must adapt to a new normal. We will need to refine our investment processes and deepen our understanding of ESG risks and opportunities to inform our investment decisions. Our decisions will impact the transformation of businesses and society in a post-pandemic world and strengthen the global pursuit to address climate change.
We support ongoing key developments in the responsible investment arena, including the measurement of social and environmental impact through accurate data collection and reporting. This will create greater transparency for investors and allows a more meaningful and focused approach towards investing for impact. We support the TCFD, which aims to provide transparency on climate change and allows improved assessment of environmental risk, and better decision-making for capital allocation. Climate change remains a trending topic. We are mindful of ongoing changes at a universal level and realise that, as asset owners, we play a critical role in supporting national commitments.
During the year, the need for collaboration has become paramount. If managed correctly, the Infrastructure Fund along with PPPs, could be a catalyst for additional private sector investment. Investing in infrastructure will undoubtedly create income opportunities and increase employment.
Most importantly, there is a vital link between infrastructure development and the quality of life experienced by most people in the country. This is especially true if infrastructural development also focuses on the provision of clean sources of water, accessible health, education facilities and affordable housing.
While government has a vital role to play in initiating, scoping and driving the various infrastructural projects, the successful implementation of the current infrastructure initiative will be highly dependent on the establishment of a close working relationship between private sector investors, contractors and the government.
We will continue to strive to work with and alongside all stakeholders to drive change for good, while adhering to our commitment to our clients to deliver satisfactory financial outcomes. We are able to make a meaningful impact across the spectrum by integrating ESG into our investment decision-making and through our investment offerings, supporting sustainable economic development while deliberately targeting social and environmental outcomes. We look forward to embracing the significant changes brought on by 2020 and continuing to make a relevant and meaningful impact across all our investment activities. As indicated earlier in this report, we have a number of focus areas for 2021:
- Our investment process: refining and enhancing investment processes to identify ESG risks and opportunities to incorporate the learnings of 2020.
- Climate change: refining metrics and providing more detailed disclosure on climate-related risks in line with the TCFD.
- Measuring our impact through the UN SDG framework, where applicable.
- Governance: continuing to drive various changes through active ownership.
We are mindful that the challenges are large. Collaboration with, and consideration of all stakeholders is paramount as we continue our journey to support a sustainable future.
The information and content (collectively ‘information’) provided herein is provided by STANLIB as general information. STANLIB does not guarantee the suitability or potential value of any information or particular investment source. Any information herein is not intended nor does it constitute financial, tax, legal, investment, or other form of advice. Before making any decision or taking any action regarding your finances, you should consult a qualified Financial Adviser. STANLIB shall not be liable for any loss or damage, including without limitation, direct, indirect, special, incidental, consequential or punitive damages, whether arising out of contract, statute, and delict or otherwise and regardless of whether we were expressly advised of the possibility of such loss or damage. This report is for informational purposes and should not be taken as a recommendation to purchase any individual company stock mentioned in this report. The opinions expressed herein are based on current market conditions and are subject to change without notice. STANLIB does not make any representations that the current market conditions repeat, the above mentioned companies will perform in the same way in the future. There is no guarantee that the opinions expressed herein will be valid beyond the date of this report. Collective Investment Schemes in Securities (CIS) are generally medium to long-term investments. The value of participatory interests may go down as well as up and past performance is not necessarily a guide to future performance. CIS are traded at ruling prices and can engage in borrowing and scrip lending. STANLIB Collective Investments (RF) (Pty) Limited authorised in terms CIPC. STANLIB Asset Management (Pty) Ltd (FSP 719) is authorized financial services providers. Liberty is a full member of the Association for Savings and Investments of South Africa (ASISA). STANLIB is a member of the Liberty Group of Companies.
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Effects of an accidental dry-season fire on the reproductive phenology of two Neotropical savanna shrubs
P. Dodonov\textsuperscript{a,b}*, C. B. Zanelli\textsuperscript{c} and D. M. Silva-Matos\textsuperscript{b}
\textsuperscript{a}Laboratório de Ecologia Aplicada à Conservação, Programa de Pós-Graduação em Ecologia e Conservação da Biodiversidade, Universidade Estadual de Santa Cruz, Rodovia Jorge Amado, Km 16, Salobrinho, CEP 45662-900, Ilhéus, BA, Brazil
\textsuperscript{b}Departamento de Hidrobiologia, Centro de Ciências Biológicas e da Saúde, Universidade Federal de São Carlos, Rodovia Washington Luis, Km 235, Monjolinho, CP 676, CEP 13565-905, São Carlos, SP, Brazil
\textsuperscript{c}Independent researcher
*e-mail: email@example.com
Received: January 19, 2016 – Accepted: March 31, 2017 – Distributed: October 31, 2018
(With 2 figures)
Abstract
Fire is a recurrent disturbance in savanna vegetation and savanna species are adapted to it. Even so, fire may affect various aspects of plant ecology, including phenology. We studied the effects of a spatially heterogeneous fire on the reproductive phenology of two dominant woody plant species, \textit{Miconia albicans} (Melastomataceae) and \textit{Schefflera vinosa} (Araliaceae), in a savanna area in South-eastern Brazil. The study site was partially burnt by a dry-season accidental fire in August 2006, and we monitored the phenology of 30 burnt and 30 unburnt individuals of each species between September 2007 and September 2008. We used restricted randomizations to assess phenological differences between the burnt and unburnt individuals. Fire had negative effects on the phenology of \textit{M. albicans}, with a smaller production of reproductive structures in general and of floral buds, total fruits, and ripe fruits in burnt plants. All unburnt but only 16% of the burnt \textit{M. albicans} plants produced ripe fruits during the study. Fire effects on \textit{S. vinosa} were smaller, but there was a greater production of floral buds and fruits (but not ripe fruits) by burnt plants; approximately 90% of the individuals of \textit{S. vinosa} produced ripe fruits during the study, regardless of having been burnt or not. The differences between the two species may be related to \textit{S. vinosa}'s faster growth and absence from the seed bank at the study site, whereas \textit{M. albicans} grows more slowly and is dominant in the seed bank.
Keywords: Cerrado, flowering, fruiting, \textit{Miconia albicans}, \textit{Schefflera vinosa}, woody plants.
Efeitos de um incêndio acidental de estação seca sobre a fenologia reprodutiva de dois arbustos savânicos neotropicais
Resumo
O fogo é uma perturbação recorrente em vegetação savânica e as espécies do cerrado são adaptadas a ele. Mesmo assim, o fogo pode afetar aspectos da ecologia vegetal, incluindo a fenologia. Nós estudamos os efeitos de um incêndio espacialmente heterogêneo sobre a fenologia reprodutiva de duas espécies lenhosas dominantes, \textit{Miconia albicans} (Melastomataceae) e \textit{Schefflera vinosa} (Araliaceae), em uma área de cerrado no Sudeste do Brasil. A área de estudo foi parcialmente queimada por um incêndio acidental na estação seca (agosto) de 2006. Nós acompanhamos a fenologia reprodutiva de 30 indivíduos queimados e 30 não-queimados de cada espécie, de setembro de 2007 a setembro de 2008, usando aleatorizações restritas para comparar os dois grupos. Em \textit{M. albicans}, a produção de estruturas reprodutivas como um todo e de botões florais, frutos e frutos maduros foi maior em indivíduos queimados do que nos não-queimados. Todos os indivíduos não-queimados, mas apenas 16% dos queimados, produziram frutos maduros durante o estudo. Já em \textit{S. vinosa}, a produção de botões florais e de frutos (mas não de frutos maduros) foi maior em indivíduos queimados; aproximadamente 90% dos indivíduos de \textit{S. vinosa} produziram frutos maduros durante o estudo, independentemente de terem sido queimados ou não. As diferenças entre as duas espécies podem estar relacionadas com o fato de \textit{S. vinosa} crescer mais rápido e estar ausente do banco de sementes, ao contrário de \textit{M. albicans}, de crescimento mais lento e dominante no banco de sementes.
Palavras-chave: Cerrado, floração, frutificação, \textit{Miconia albicans}, \textit{Schefflera vinosa}, plantas lenhosas.
1. Introduction
Fire is a recurrent disturbance in savannas worldwide (Dantas et al., 2016), and the plant species occurring in these environments have developed a number of adaptations to it (Hoffmann et al., 2003). However, although after-fire plant mortality in savanna vegetation such as the Brazilian *cerrado* tends to be low (Hoffmann and Solbrig, 2003), fires may decrease plant biomass (Hoffmann and Solbrig, 2003) and reproductive output (Hoffmann, 1998) as well as alter plant population dynamics (Hoffmann, 1999). Fires may be spatially heterogeneous, resulting in a mosaic of burnt and unburnt patches within an area (Wrobleksi and Kauffman, 2003; Werner, 2010; Dodonov et al., 2014). Spatial variation in fire incidence may lead to spatial variation in plant characteristics such as plant allometry (Dodonov et al., 2011), size structure and distribution of resprouts (Silva et al., 2009; Dodonov et al., 2014), seedbank (Xavier, 2011), and plant phenology (Lucena et al., 2015).
Fire effects on plant phenology are of special importance, as phenology is a key determinant of the structure and diversity of mutualistic networks (Encinas-Viso et al., 2012). Therefore, a fire that alters the intensity and timing of flowering and fruiting will also affect the spatial and temporal distribution of resources available for different organisms. For example, a dry-season fire may destroy flowers and fruits and thus both prevent plant reproduction in the year it occurs and reduce the amount of resources available for nectarivorous and frugivorous animals. Depending on the species, this decrease in reproduction and resource availability may extend for several years after the fire (Hoffmann, 1998).
Fire effects on plant phenology and reproduction, however, may vary greatly among species. The reproduction of some species, especially in the grass and shrub layer, has been shown to be stimulated by fire in different biomes (Ward and Lamont, 2000; Lamont and Downes, 2011; Fidelis and Blanco, 2014). In the Brazilian *cerrado*, fire appears to stimulate flowering of the grass and subshrub layers (Munhoz and Felfili, 2005; 2007) but to inhibit the reproduction of woody plants (Hoffmann, 1998; Felfili et al., 1999). Fire effects may be expected to vary among species with different ecological and physiological characteristics, e.g. evergreen versus deciduous (Lucena et al., 2015), but it is also possible that they vary among similar plants growing in the same area (Hoffmann, 1998).
We assessed whether the reproductive phenology of two Neotropical savanna (Brazilian *cerrado*) shrub species, *Miconia albicans* (SW) Steud (Melastomataceae) and *Schefflera vinosa* (Cham & Schltdl.) Frodin & Fiaschi (Araliaceae), was affected by a dry-season fire that occurred one year before the beginning of study. We expected that, according to previous studies on *M. albicans* (Hoffmann, 1998; 1999), the time after the fire would not have been sufficient for the two species to recover, with smaller reproductive output by burnt plants. The two species are physiologically similar in a number of aspects: they are evergreen (Damascos et al., 2005; Lucena et al., 2015), respond to fire by intense resprouting which results in little difference in plant density between burnt and unburnt sites (Lucena 2009, Dodonov et al., 2014), produce small flowers (Goldenberg and Shepherd, 1998; Durigan et al., 2004), and produce small fleshy fruits which are likely to be dispersed mainly by birds (Durigan, et al. 2004; Allenspach and Dias, 2012). In addition, they are among the three most common woody plant species at the study site (Dodonov, 2015), indicating that they are highly adapted to the local environment. Therefore, differences in the phenological responses to fire of these two species may indicate different, but equally successful, ecological strategies.
2. Methods
2.1. Study site
We performed this study between September 2007 and September 2008 in a Brazilian *cerrado* fragment within the São Carlos *campus* of the Federal University of São Carlos, municipality of São Carlos, São Paulo State, Brazil (21°58'34"S, 47°52'31"W). The soil is acidic, with low nitrogen and high aluminium contents (Dantas and Batalha, 2011). The climate is subtropical with dry winters and wet summers, an annual rainfall of 1,339 mm and a mean annual temperature of 22.1°C (Oliveira and Batalha, 2005). The vegetation consists of typical *cerrado*, characterized by a discontinuous canopy layer up to 5 m high and a more or less continuous ground cover of herbaceous plants and subshrubs (Ribeiro and Walter, 2008). Part of the study site was occupied by an eucalypt plantation until approximately two decades prior to this study and is currently in an advanced stage of regeneration. On 26 August 2006, in late dry season, the study site was heterogeneously burned by an accidental fire which left a mosaic of burnt and unburnt patches of vegetation (Dodonov et al., 2014). Before the fire of 2006, the study site has been burnt at least once every four years (pers. comm. of University staff).
2.2. Study species
*Miconia albicans* (Melastomataceae) is a shrub or small tree with multiple stems that grows up to approximately 3.5 m tall at the study site (Dodonov et al., 2011). It is common in savanna and dry forest (*cerradão*) vegetation in Brazil (Oliveira and Batalha, 2005; Assunção and Felfili, 2004). It is an evergreen species (Damascos et al., 2005) that usually suffers nearly complete above-ground mortality in fires, which is followed by intense resprouting (Hoffmann and Solbrig, 2003; Dodonov et al., 2014). Fires also negatively impact seed production in the first year after a fire (Hoffmann, 1998). This species is apomictic, producing sterile pollen and receiving few visits by pollinators (Goldenberg and Shepherd, 1998). Its flowers are small and white and stay open for only a short period of time (Allenspach and Dias, 2012). It produces numerous small fruits which contain high levels of water and carbohydrates (Maruyama et al., 2007) and are consumed by at least 19 bird species (Allenspach
Its reproduction was observed to be inhibited in the first year after a fire but stimulated in the second and third years (Hoffmann, 1998).
*Scheflera vinosa* (Araliaceae) may be either a shrub or a tree (Durigan et al., 2004), with thin bark, that reaches a maximum height of 4 m at the study site (Dodonov et al., 2011). This species is also evergreen (Lucena et al., 2015) and occurs in different *cerrado* physiognomes (Soares et al., 2006). Its flowers are small, have a pale yellow color, are mostly odourless (Durigan et al., 2004), and are pollinated by numerous small insects (Martins and Batalha, 2006). It produces small, dark-brown fruits (Durigan et al., 2004). Its flowering and fruiting may be stimulated by fire (Lucena et al., 2015).
### 2.3. Data collection
We arbitrarily selected a total of 60 individuals of *M. albicans* and 60 individuals of *S. vinosa* in an approximately 70 x 200 m patchily burnt area at the study site (Dodonov et al. 2014). For this, we placed 6 transects on each side of a firebreak between a typical *cerrado* area and a *cerrado* area that regenerated after an eucalypt plantation. In each transect we selected up to five individuals, including both burnt and unburnt individuals when possible, with at least 5 m between adjacent individuals, to a total of 30 burnt and 30 unburnt individuals of each species. Burning was determined by noticing charcoal or signs of burning at the base of each individual. Most of the burnt individuals were probably resprouts, having been topkilled in the fire.
Approximately every two weeks (27 visits between 28 September 2007 and 22 September 2008), we recorded, for each individual, the presence or absence of reproductive structures in general (structures containing floral meristem, floral buds, flower and/or fruits), floral buds, flowers, total fruits, and ripe fruits. We also used five classes (0%, 1-25%, 26-50%, 51-75%, 76-100%; Fournier, 1974) to estimate the proportion of branches with reproductive structures; the proportion of reproductive structures with floral buds, flowers, and total fruits (green and ripe fruits combined); and the proportion of fruits that were ripe. We calculated the proportion of branches with floral buds, flowers, and fruits by multiplying the proportion of reproductive structures presenting these phenophases by the proportion of branches with reproductive structures, using the upper limit of each class. Further in the text, the values refer to the proportion of branches presenting each phenophase. Our method is thus an adaptation of Fournier’s method (Fournier, 1974), as, for each phenophase, we combined the proportion of branches with reproductive structures and the proportion of reproductive structures containing the phenophase in question.
### 2.4. Data analysis
We compared the phenology of burnt and unburnt plants for the proportion of branches presenting the following phenophases: fully developed inflorescences (excluding those that failed to develop and those composed only of floral meristem), floral buds, flowers, total fruits, and ripe fruits. For each sampling date, separately for burnt and unburnt plants, we calculated two indices: 1. the activity index, which is the proportion of individuals presenting a given phenophase; and 2. Fournier’s intensity index (Fournier, 1974; Bencke and Morellato, 2002), calculated as the mean intensity of a given phenophase among the individuals. Both the activity index and the intensity index may assume values from 0 to 1. We calculated four summary statistics for the activity and intensity indices: mean value throughout the year; mean value without zeroes, considering only the time period when a given phenophase was present in at least one individual of the species and the group (burnt or unburnt); mean date of each phenophase, calculated as the mean angle after transforming the dates into radians; and temporal synchrony, calculated as the length of the mean vector of the transformed dates (Zar, 2010). High mean vector length values indicate low variation among individuals, i.e. high synchrony. We then compared these parameters between burnt and unburnt individuals by means of a randomization test (Manly, 2007) according to the following algorithm:
1) Calculate the activity and intensity indices for the burnt and unburnt plants for each date and calculate the corresponding summary statistics;
2) Calculate the observed difference between the burnt and unburnt plants for each of the summary statistics. We used circular range for the mean angles and simple differences for the other statistics;
3) Randomly classify each individual as either burnt or unburnt, keeping the total number of individuals within each group;
4) Repeat steps 1-3 on the randomized data sets a large number of times.
We used 4999 randomizations and calculated one-tailed significances from the distribution of the randomized values and the observed one, and calculated two-tailed significance ($P$) as two times the smallest of the one-tailed significances (Manly, 2007). For the difference between the mean angles, which is calculated in absolute values, we calculated significance as the proportion of all differences (the observed and the randomized ones) that were greater than or equal to the observed difference. Small significance values (e.g. $P \leq 0.05$) are interpreted as evidence for the difference between the two groups; the smaller the $P$ value, the stronger the evidence (Manly, 2007).
We also used a randomization test to assess whether the activity and intensity indices were uniformly distributed throughout the year, for burnt and unburnt plants separately. For this, we compared the mean vector length of each phenophase with the distribution of vector lengths obtained by randomly reordering the indices. Vector lengths significantly larger than would be expected under the null hypothesis indicate a non-uniform distribution (Zar, 2010). As above, we used 4999 randomizations.
We performed these analyses with the software R 2.14.2 (R Core Team, 2015), using the package CircStats (Lund and Agostinelli, 2012) to calculate the circular statistics. The codes or the randomization analyses are available online at (Dodonov, 2017).
3. Results
For *M. albicans*, all unburnt individuals presented all phenophases except for flowers, which were not observed in 8 of the 30 individuals. Conversely, of the burnt individuals of this species, 10 did not produce ripe fruits, 10 did not produce either total or ripe fruits, 2 did not produce either flowers, total fruits or ripe fruits, and 3 did not produce any reproductive structures. For *S. vinosa*, all phenophases were observed in all unburnt individuals at some point except for ripe fruits, which were not observed in two individuals. For the burnt plants, three individuals did not produce ripe fruits and in one individual we did not observe flowers (but observed both green and ripe fruits), whereas reproductive structures in general and total fruits were observed in all individuals.
In *M. albicans*, unburnt individuals were more likely to produce reproductive structures in general, floral buds, total fruits, and ripe fruits (Figure 1), as shown.
**Figure 1.** Reproductive phenology of unburnt (empty circles: ○) and burnt (filled circles: ●) individuals of *Miconia albicans* in a Neotropical savanna (Brazilian *cerrado*) area between September 2007 and September 2008, showing the proportion of individuals with each phenophase (activity index) and the mean intensity of each phenophase across all individuals (intensity index).
by the significant differences in the mean values of the activity indices for these phenophases between the burnt and unburnt plants (Table 1). The average intensity of reproductive structures in general, total fruits, and ripe fruits was also greater in the unburnt plants (Figure 1), with significant differences in the intensity indices (Table 1). Average flowering intensity was also greater in unburnt individuals (Table 1, Figure 1e). All phenophases, with the exception of ripe fruits, tended to be observed earlier in burnt plants (Table 1). The exception for ripe fruits was probably because the burnt individuals concentrated their fruit reproduction in 2008, whereas the unburnt individuals produced fruits both in 2007 and 2008 (Figure 1). Synchrony (as measured by the mean vector length) of reproductive structures in general and of ripe fruits was greater in burnt than in unburnt plants, with no significant differences observed for total fruits (Table 1). The intensity and activity indices of all phenophases deviated significantly from a random uniform distribution \((P < 0.03)\), except for the intensity index of ripe fruits in burnt plants \((P = 0.06)\) (Table 1).
Fewer differences between burnt and unburnt plants were observed for *S. vinososa* (Figure 2, Table 2). On average, there were more burnt *S. vinososa* individuals with floral buds and total fruits during its reproductive period and more unburnt individuals with flowers (Table 2). Conversely, the mean intensities of flowering (excluding zeroes) and of ripe fruit production (including zeroes) were slightly greater on unburnt individuals (Table 2). There were no significant differences in the mean date between burnt and unburnt plants except for the intensity index of ripe fruits, which peaked at an earlier date for the burnt plants (Table 2). Synchrony in the production of floral buds was greater in the unburnt plants (Table 2). The intensity and activity indices of all phenophases deviated significantly from a random uniform distribution \((P < 0.005)\), except for the activity index of floral buds on burnt plants \((P = 0.10)\).
**Table 1.** Summary statistics for the different phenophases of burnt and unburnt *Miconia albicans* individuals in a Neotropical savanna (Brazilian *cerrado*) area and the significance of the difference between the burnt and unburnt plants according to a randomization test. The activity index shows the proportion of individuals presenting a given phenophase and the intensity index shows the mean intensity of each phenophase among the individuals at a given time. The significance of the individual vector lengths are also shown, compared to a null model of random distribution of the phenophases throughout the year.
| | Activity index | Intensity index |
|--------------------------|----------------|-----------------|
| | Unburnt | Burnt | Significance | Unburnt | Burnt | Significance |
| **Reproductive structures in general** | | | | | | |
| Mean | 0.67 | 0.31 | 0.0004 | 0.42 | 0.20 | 0.0004 |
| Mean without zeroes | 0.75 | 0.31 | 0.0004 | 0.47 | 0.20 | 0.0004 |
| Mean date | Sep 25 | Aug 04| 0.0002 | Oct 06 | Aug 07| 0.0002 |
| Vector length | 0.34*** | 0.54***| 0.0004 | 0.50*** | 0.65***| 0.0004 |
| **Floral buds** | | | | | | |
| Mean | 0.41 | 0.28 | 0.0016 | 0.20 | 0.16 | 0.22 |
| Mean without zeroes | 0.65 | 0.29 | 0.0008 | 0.31 | 0.17 | 0.08 |
| Mean date | Aug 05 | Jul 29| 0.10 | Aug 14 | Jul 27| 0.0014 |
| Vector length | 0.63*** | 0.64***| 0.95 | 0.71*** | 0.74***| 0.49 |
| **Flowers** | | | | | | |
| Mean | 0.05 | 0.05 | 0.81 | 0.01 | 0.02 | 0.58 |
| Mean without zeroes | 0.19 | 0.23 | 0.46 | 0.05 | 0.07 | 0.37 |
| Mean date | Sep 20 | Sep 08| 0.017 | Sep 24 | Sep 10| 0.004 |
| Vector length | 0.88** | 0.90* | 0.59 | 0.93*** | 0.97* | 0.016 |
| **Total fruits** | | | | | | |
| Mean | 0.33 | 0.08 | 0.0004 | 0.20 | 0.03 | 0.0004 |
| Mean without zeroes | 0.56 | 0.14 | 0.0004 | 0.34 | 0.05 | 0.0004 |
| Mean date | Nov 17 | Oct 17| 0.0002 | Nov 20 | Oct 17| 0.0002 |
| Vector length | 0.74*** | 0.56**| 0.0004 | 0.81*** | 0.70** | 0.0004 |
| **Ripe fruits** | | | | | | |
| Mean | 0.17 | 0.01 | 0.0004 | 0.04 | 0.00 | 0.0004 |
| Mean without zeroes | 0.47 | 0.08 | 0.0004 | 0.11 | 0.01 | 0.0004 |
| Mean date | Dec 06 | Dec 14| 0.15 | Dec 09 | Dec 15| 0.30 |
| Vector length | 0.81*** | 0.96***| 0.0004 | 0.83*** | 0.99ns | 0.0004 |
\(^{n}\text{p} > 0.05.\ ^{*}\text{p} \geq 0.05 \geq \text{p} > 0.01.\ ^{**}\text{p} \geq 0.01 \geq \text{p} > 0.001.\ ^{***}\text{p} \leq 0.001.\)
Figure 2. Reproductive phenology of unburnt (empty circles: ○) and burnt (filled circles: ●) individuals of *Schefflera vinosa* in a Neotropical savanna (Brazilian *cerrado*) area between September 2007 and September 2008, showing the proportion of individuals with each phenophase (activity index) and the mean intensity of each phenophase across all individuals (intensity index).
Table 2. Summary statistics for the different phenophases of burnt and unburnt *Schefflera vinosa* individuals in a Neotropical savanna (Brazilian *cerrado*) area and the significance of the difference between the burnt and unburnt plants according to a randomization test. The activity index shows the proportion of individuals presenting a given phenophase and the intensity index shows the mean intensity of each phenophase among the individuals at a given time.
| | Activity index | Intensity index |
|--------------------------------|----------------|-----------------|
| | Unburnt | Burnt | Significance | Unburnt | Burnt | Significance |
| **Reproductive structures in general** | | | | | | |
| Mean | 0.55 | 0.63 | 0.071 | 0.53 | 0.53 | 0.87 |
| Mean without zeroes | 0.55 | 0.63 | 0.060 | 0.53 | 0.53 | 0.88 |
| Mean date | Jul 25 | Jul 29 | 0.60 | Jul 27 | Jul 23 | 0.67 |
| Vector length | 0.39*** | 0.28*** | 0.078 | 0.41*** | 0.40*** | 0.88 |
*p > 0.05. *p ≥ 0.05 ≥ p > 0.01. **p ≥ 0.01 ≥ p > 0.001. ***p ≤ 0.001.*
Table 2. Continued...
| | Activity index | Intensity index |
|----------------------|----------------|-----------------|
| | Unburnt | Burnt | Significance | Unburnt | Burnt | Significance |
| **Floral buds** | | | | | | |
| Mean | 0.26 | 0.35 | 0.022 | 0.22 | 0.23 | 0.72 |
| Mean without zeroes | 0.30 | 0.42 | 0.001 | 0.25 | 0.27 | 0.58 |
| Mean date | May 21 | May 13| 0.37 | May 30 | May 24| 0.30 |
| Vector length | 0.50** | 0.25ns| 0.045 | 0.54** | 0.48**| 0.58 |
| **Flowers** | | | | | | |
| Mean | 0.10 | 0.12 | 0.22 | 0.06 | 0.05 | 0.59 |
| Mean without zeroes | 0.21 | 0.14 | 0.028 | 0.12 | 0.06 | 0.005 |
| Mean date | Jul 02 | Jul 08| 0.42 | Jul 05 | Jul 09| 0.56 |
| Vector length | 0.74*** | 0.60***| 0.21 | 0.80*** | 0.75***| 0.52 |
| **Total fruits** | | | | | | |
| Mean | 0.30 | 0.39 | 0.076 | 0.25 | 0.25 | 0.91 |
| Mean without zeroes | 0.30 | 0.39 | 0.046 | 0.25 | 0.25 | 0.91 |
| Mean date | Aug 29 | Aug 28| 0.93 | Sep 06 | Aug 27| 0.15 |
| Vector length | 0.57*** | 0.42***| 0.13 | 0.64*** | 0.64***| 0.96 |
| **Ripe fruits** | | | | | | |
| Mean | 0.15 | 0.12 | 0.27 | 0.13 | 0.09 | 0.051 |
| Mean without zeroes | 0.17 | 0.14 | 0.42 | 0.14 | 0.10 | 0.18 |
| Mean date | Sep 17 | Sep 09| 0.35 | Sep 19 | Sep 03| 0.042 |
| Vector length | 0.64*** | 0.60**| 0.84 | 0.67*** | 0.83***| 0.19 |
*p > 0.05. *0.05 ≥ p > 0.01. **0.01 ≥ p > 0.001. ***p ≤ 0.001.
4. Discussion
Our results show that the reproductive phenology of cerrado woody plants may be affected by a previous fire event, but these effects are species-dependent. We demonstrated that although our two study species were ecologically similar in many aspects, the phenology of M. albicans was much more severely affected by the fire than that of S. vinosa: whereas the fire had overall negative effects on the phenology of M. albicans, its effects on S. vinosa could be null, positive, or negative depending on the phenophase being examined. All phenophases were non-uniformly distributed throughout the year in the burnt and unburnt individuals of both species; in the two cases when one of the indices (activity or intensity) complied with the random uniform distribution, the other did not.
Fire-stimulated flowering and reproduction have often been observed for subshrubs and herbaceous species in the cerrado (Munhoz and Felfili, 2005; 2007; Neves and Damasceno-Junior, 2011), but fire effects on woody plants vary from inhibition to stimulation of reproduction (Hoffmann, 1998; Felfili, et al. 1999; Franceschinelli and Bawa, 2005; Lucena et al., 2015). Our results corroborate this variation in the fire responses for woody species, which cannot be explained by factors such as growth form (Lamont and Downes, 2011), leaf deciduousness (Lucena et al., 2015), or seed dispersal syndromes (Lamont and Downes, 2011). However, some other ecological differences between our two species may aid in explaining the observed patterns.
Although both M. albicans and S. vinosa have the same general growth form and attain approximately the same maximum size (Durigan et al., 2004), they size may be differently affected by the fire. Thus, at the time of the study, burnt stems of M. albicans were in general smaller than burnt stems of S. vinosa at the study site (Dodonov et al., 2011), probably due to a slower resprout growth. The smaller resprout size of M. albicans may explain the smaller intensity of the reproductive phenophases of the burnt individuals as well as the failure of most of the burnt individuals to produce ripe fruits during the study period. In turn, S. vinosa is likely able to reattain reproductive size faster, with the burnt individuals reproducing more or less as successfully as the unburnt ones.
Post-fire reproduction may also be related to the possibility of storing seeds in the soil seed bank (Lamont and Downes, 2011). In a four-year study of the soil seed bank at the study site, M. albicans was one of the two dominant species whereas S. vinosa was not detected (Xavier, 2011). M. albicans seeds were found in the soil seed bank of both burnt and unburnt patches, although the fire apparently reduced their abundance (Dodonov et al., 2014). Thus, it is possible that, as M. albicans may colonize burnt patches from the seed bank, this species does not depend so heavily on the production of new seeds after a fire event. On the other hand, S. vinosa does not occur on the seed bank and new individuals can only originate from the production and dispersal of new seeds and fruits, leading to a necessity of more intense post-fire flowering and fruiting. In addition, as previously mentioned, both
species are able to resprout after fire (Hoffmann and Solbrig, 2003; Lucena, 2009), indicating that they do not rely solely on sexual reproduction or soil seed banks for after-fire recovery.
In our study, the production of floral buds and of total fruits by *S. vinosa* was stimulated by the fire, whereas the production of flowers and ripe fruits was slightly inhibited. A different study in the same study site, however, observed more intense reproduction in the burnt individuals of this species (Lucena et al., 2015). Different explanations have been proposed for fire-stimulated flowering, including smoke, foliage loss, and an increase in the amount of resources in the soil (Lamont and Downes, 2011). Considering that the increase in reproduction was observed two years after the fire, the action of cues such as smoke and foliage loss is unlikely. We had a greater sampling size than Lucena et al. (2015) and our study was performed six months earlier, which may explain the differences between the two results. The combination of both studies indicates that a fire event does not have conspicuous effects, whether positive or negative, on the phenology of *S. vinosa* in a time span of two years. It is possible, for example, an increase in nutrient amount in the soil compensates for the fire impact.
Fire affected not only the number of individuals with a given phenophase at a time and the intensity of the different phenophases, but also the average date of the reproductive phenophases in *M. albicans* and, to a smaller extent, in *S. vinosa*. The burnt individuals of *M. albicans* reproduced mostly towards the end of the study, whereas the unburnt ones reproduced earlier in the study. The failure of most burnt individuals to produce ripe fruits corroborates this, as we interrupted our study before fruit ripening in 2008. Thus, at least two years may be needed for this species to recover from a fire event, similar to what was observed by Hoffmann (1998). This similarity occurred in spite of geographical differences between the two studies, as our study was performed in a more southern *cerrado* region.
In addition to affecting plant reproduction, fire may also putatively affect the pollinator and disperser communities of the study species. The small effect of fire on the flowering of *M. albicans* is probably due to its short flowering time as observed in this study, possibly related to this species’ producing sterile pollen (Goldenberg and Shepherd, 1998). In turn, *S. vinosa* flowers are often visited by various insect species at the study site (pers. obs.), and the smaller activity and intensity indices of flowering in the burnt plants may putatively impact the pollinator community as well as decrease outcrossing (Franceschinelli and Bawa, 2005). Similarly, the lower fruit production by burnt individuals of *M. albicans*, especially considering that only five of the 30 burnt *M. albicans* plants produced ripe fruits during the study period, may have impacts on the frugivorous community, as the fruits of this species are consumed by at least 19 bird species at the study site (Allenspach and Dias, 2012).
In conclusion, we have observed that a spatially heterogeneous fire may result in spatial variation in the phenology of woody plants, and that these effects may vary between ecologically similar species. We propose that this variation in the fire effect between *S. vinosa* and *M. albicans* may be related to the differences in growth rate and presence in the soil seed bank between these two species (Xavier, 2011; Dodonov et al., 2011, 2014). Our results show that a dry-season canopy fire may result in spatial variation in the phenological patterns of some *cerrado* species but not others, creating a mosaic with flowering and non-flowering individuals which also depends on the species composition at the site.
**Acknowledgements**
We thank Stephen Heard for a having written a blog post that shed an important light on our analyses and two anonymous referees for insightful comments. This study was funded by the São Paulo Research Foundation via scholarships granted to PD (grant 2007/04933-0) and CBZ (grant 2007/00942–5). PD also received funding from the Coordination for the Improvement of Higher Education Personnel (CAPES – PNPD program).
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LUND, U. and AGOSTINELLI, C., 2012 [viewed 19 January 2016]. *CircStats: circular statistics, from “Topics in circular Statistics” (2001)* [online]. Available from: https://CRAN.R-project.org/package=CircStats
MANLY, B.F.J., 2007. *Randomization, bootstrap and Monte Carlo methods in biology*. 3rd ed. Boca Raton: Chapman & Hall, CRC Press. 455 p.
MARTINS, F.Q. and BATALHA, M.A., 2006. Pollination systems and floral traits in cerrado woody species of the Upper Taquari region (Central Brazil). *Brazilian Journal of Biology = Revista Brasileira de Biologia*, vol. 66, no. 2A, pp. 543-552. PMid:16862310. http://dx.doi.org/10.1590/S1519-69842006000300021.
MARUYAMA, P.K., ALVES-SILVA, E. and MELO, C., 2007. Oferta qualitativa e quantitativa de frutos em espécies ornitócoricas do gênero *Miconia* (Melastomataceae). *Revista Brasileira de Bociências*, vol. 5, suppl. 1, pp. 672-674.
MUNHOZ, C.B.R. and FELFILI, J.M., 2005. Fenologia do estrato herbáceo-subarbustivo de uma comunidade de campo sujo na Fazenda Água Limpa no Distrito Federal, Brasil. *Acta Botanica Brasílica*, vol. 19, no. 4, pp. 979-988. http://dx.doi.org/10.1590/S0102-33062005000400031.
MUNHOZ, C.B.R. and FELFILI, J.M., 2007. Reproductive phenology of an herbaceous-subshrub layer of a Savannah (Campo Sujo) in the Cerrado Biosphere Reserve 1, Brazil. *Brazilian Journal of Biology = Revista Brasileira de Biologia*, vol. 67, no. 2, pp. 299-307. PMid:17876440. http://dx.doi.org/10.1590/S1519-69842007000200015.
NEVES, D.R.M. and DAMASCENO-JUNIOR, G.A., 2011. Post-fire phenology in a campo sujo vegetation in the Urucup plateau, Mato Grosso do Sul, Brazil. *Brazilian Journal of Biology = Revista Brasileira de Biologia*, vol. 71, no. 4, pp. 881-888. http://dx.doi.org/10.1590/S1519-69842011000500009.
OLIVEIRA, F.F. and BATALHA, M.A., 2005. Lognormal abundance distribution of woody species in a cerrado fragment (São Carlos, southeastern Brazil). *Brazilian Journal of Botany*, vol. 28, no. 1, pp. 39-45. http://dx.doi.org/10.1590/S0100-84042005000100004.
RCORE TEAM, 2015. *R: A language and environment for statistical computing*. Vienna: R Foundation for Statistical Computing.
RIBEIRO, J.F. and WALTER, B.M.T., 2008. As principais fisionomias do bioma Cerrado. In: S.M. SANO, S.P. ALMEIDA and J.F. RIBEIRO, eds. *Cerrado: ecologia e flora*. Brasília: Embrapa Informação Tecnológica, pp. 151-199.
SILVA, I.A., VALENTI, M.W. and SILVA-MATOS, D.M., 2009. Fire effects on the population structure of *Zanthoxylum rhoifolium* Lam (Rutaceae) in a Brazilian savanna. *Brazilian Journal of Biology = Revista Brasileira de Biologia*, vol. 69, no. 3, pp. 813-818. PMid:19802440. http://dx.doi.org/10.1590/S1519-69842009000400008.
SOARES, J.J., SOUZA, M.H.A.O. and LIMA, M.I.S., 2006. Twenty years of post-fire plant succession in a “cerrado”, São
Carlos, SP, Brazil. *Brazilian Journal of Biology*, vol. 66, no. 2b, pp. 587-602.
WARD, D.J. and LAMONT, B.B., 2000. Probability of grasstrees (*Xanthorrhoea preissii*) flowering after fire. *Journal of the Royal Society of Western Australia*, vol. 83, no. 1, pp. 13-16.
WERNER, P.A., 2010. Fine-scale patchiness of burns in a mesic eucalypt savanna differs with fire season and Sorghum abundance. *Northern Territory Naturalist*, vol. 22, pp. 31-44.
WROBLESKI, D.W. and KAUFFMAN, J.B., 2003. Initial effects of prescribed fire on morphology, abundance, and phenology of forbs in big sagebrush communities in southeastern Oregon. *Restoration Ecology*, vol. 11, no. 1, pp. 82-90. http://dx.doi.org/10.1046/j.1526-100X.2003.00084.x.
XAVIER, R.O., 2011. *Influência do fogo no banco de sementes de áreas de cerrado com diferentes históricos de incêndio*. São Carlos: Universidade Federal de São Carlos, 111 p. Dissertação de Mestrado em Ecologia e Recursos Naturais.
ZAR, J.H., 2010. *Biostatistical analysis*. 5th ed. New Jersey: Prentice Hall. 944 p.
|
The New Zealand Deerstalkers Assoc. Inc.
October Issue 2014:
OCTOBER SOCIAL: Wednesday 22nd October, 7:30pm at the Neil Hunt Park Clubrooms.
"The Tines"
Rotorua Branch Newsletter October 2014
POSITIVELY IDENTIFY YOUR TARGET
Calendar of the Club’s regular monthly events:
Committee Meeting Last Monday of each month
Range Shoots* 3rd Sunday of each month
Socials 4th Wednesday of each month
Party Hunts** 4th Weekend of each month
* Regular Club Hunting & Trophy Shoots. For extra range shoots and 300 metre shoots please refer to Yearly Range Calendar.
**Some Party Hunts may be on different dates, see programme.
Our programme for this month:
Party Hunts
Socials Every 4th Wednesday at the Neil Hunt Park Clubrooms.
Range Shoot Range itinerary for 2014 in this issue:
Contact Malcolm Perry.
Cover Photo: Photo from Richard Hermans. Dr Cameron and a dead stoat, removed from the Stoat traps that NZDA Rotorua are clearing in the Whirinaki. See story in this issue.
If you have a photograph that would be suitable for the cover please contact the Newsletter editor, Elvis Bowring on 021 066 7868 or email@example.com.
Thanks to: Advocate Printing (248 Fenton Street, Rotorua (07 347 8822)) for printing our newsletter. The best address for quality and affordable copying and document solutions!
Advertising prices: If you would like to advertise in this publication, costs are as follows:
Full page $150 (for 11 issues)
Half page $75 (for 11 issues)
Single issue adverts can be arranged if required.
DISCLAIMER: As the contents of this magazine come from various sources, the opinions or ideas expressed are not necessarily endorsed by this committee or by National Executive, nor may they conform to branch or national policy. The official publication of the NZDA is the ‘NZ Hunting and Wildlife’
Hunts Course 2014 Course Programme
NZ DeerStalkers Association and Mountain Safety Hunter Training Course
October 2014 cost $220.00 (limited numbers)
Contact: Murray Robson Ph:3455160 Cliff Graham ph 3459333
Mobile 021573734 0274211489
Wednesday 8 October 7:30pm/9.30 pm at Rotorua NZDA Clubrooms
Introduction, Ethics and Ecology, Game Species
• Introductions and Trainees welcomed to the course
• An overview of the hunts course
• Trainees given their training manual & workbook
• Instruction given on the NZDA Ethics
• Given a knowledge of big game species hunted in NZ
Wednesday 15 October 7.30/9.30 pm at Rotorua NZDA Clubrooms
Mountain Radio & Epirb/Fish & Game power point presentation
By the End of this evening the participants will have an understanding on
• Mountain Radio & EPIRB use (Ted Bretherton)
• Fish & Game power point presentation on bird shooting (John Meikle)
• River Crossing DVD
Saturday 18 or Sunday 19 October 9.00am / 4.00pm
at Rotorua NZDA Clubrooms
Bush Craft Weekend
By the end to the Weekend the participants will have understanding on
• Forecasting and how to interpret weather
• Navigate, using map, compass and GPS
• Know when and where to cross rivers
• Know how to cross a river (Murray Robson)
Wednesday 22 October 7.30 pm /9.30pm
Skin & cutting up of deer
• Target identification & bullet placement on animal
• Video On Target (Murray Robson)
Wednesday 29 October 7.30pm/9.30 pm at Rotorua NZDA Clubrooms
Search & Rescue, Hunting & camping gear & Bush First Aid
By the end of the evening the participants will have an understanding on
• Search & rescue
• How to deal with an emergency, what to do if lost (Survival)
• Hunting & camping gear (Cliff Graham)
• First Aid (Rob Andrew)
Sunday 2 November
Range Day
By the end of the range day the participants will have an understanding on
• Safety and Requirements for setting up on a Range
• Fire arms for a specific purpose
• Principles of the bullet trajectory
• Sighting in a rifle for hunting
• The factors affecting rifle accuracy
• Field shooting techniques
• Target identification and to demonstration of bullet placement
• Maintaining a firearm in the field and at home
• Factors relating to bullet performance (Malcolm Perry)
Thursday 6 November
Prepare for hunting weekend
Understand and apply outdoor safety / Risk management processes
By the end of the evening the trainees will have an understanding on
• Establishing aims and objectives for the Hunting weekend
• Prepare a trip plan, including travel food and equipment list
• Receive a map of hunting area
• Complete a ‘HELP’ form
• Prepare a safety management and emergency plan
Weekend: Saturday 8 / 9 November or 15 / 16 November
Hunting Weekend:
By the end of the Weekend the participants will:
• Complete an overnight camping Trip
• Have a one on one hunt with an experienced hunter
• Learn how to apply safe hunting practices
• Demonstrate basic stalking techniques
And hopefully see and shoot a game animal
Wednesday 19 November 7.30/9.30 pm at Rotorua NZDA Clubrooms
Course completion
By the end of the evening the participants will
- Have a debrief of the course
- Complete evaluation forms
Wednesday 26th November Hunts Prize Giving
Handing out of Hunts certificates and Stoney Creek sponsorship packs
IMPORTANT INFO RE HUNTING AT TE UREWERA
As of the last week the following applies:
- The Department will no longer be issuing hunting permits for Te Urewera.
- At a recent meeting the Tuhoe Board didn’t sanction/appoint anyone to issue hunting permits hence at present none are being issued.
- Understanding is that present permits are valid until they expire.
- For any enquiries, contact is firstname.lastname@example.org
- The Department’s website will retain the Te Urewera information at present with a notice under the permit section of where to go for information etc.
Apologies for not getting this information out sooner but as you can gather I have only just found out myself.
All the best,
Ian Cooksley
National Hunting Advisor
Department of Conservation - Te Papa Atawhai
If you currently receive a postal copy of this newsletter and would like to receive an electronic (pdf) version instead, please drop me a line with your email address.
Electronic copies are delivered faster, are cheaper to produce and are better for the environment.
NZDA ROTORUA WEBSITE IS ONLINE:
CHECK OUT WWW.NZDAROTORUA.ORG.NZ
Wanted
Stories for newsletter.
Any interesting articles.
Any photo’s of your hunting trips.
Anything to buy or sell?
Send to editor – email@example.com
Or phone 021 066 7868
Hon Todd McClay
MP FOR ROTORUA
Putting Rotorua First
To make an appointment please contact me at:
1241 Amohau Street, PO Box 1099, Rotorua
p 07 348 5871 | f 07 349 6732
e firstname.lastname@example.org
www.toddmcclay.co.nz
Funded by Parliamentary Services and authorised by
Todd McClay, 1241 Amohau St, Rotorua
National
www.national.org.nz
Hannah HomeKill
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You can now enjoy your hunting trip knowing your meat processing will be taken care of
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For all of your Homekill and Butchery needs.
Sausages, Paddies, Salami …
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Phone Jason Riedinger – 027 617 8237 or (07) 332 5949
49a Depot Street, Rotorua email – firstname.lastname@example.org
Rotorua
New Spring catalogue out now!!!
Plano’s All Weather cases provide the highest level of protection for your firearms. With rugged, industrial-strength construction and a continuous Dri-loc Seal. These cases create a watertight and airtight shield that protects your guns even in the most extreme conditions.
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Each with pluckable foam to personalise them to suit your individual requirements.
Rotorua Hunting and Fishing,
Trade Central, 1530 Amohau Street, Rotorua 3010, Ph 07 349 6303.
Report on Stoat Trap Clearing by Richard Hermans
A colleague from work and I did the lines on 23/24th August. Weather was good, if a little chilly, with a steady southerly blowing through until mid Sunday. We left the Plateau Road end at 8.30 and got into the Upper Whirinaki a bit after 10.30, had a meal, got organised and set off down at 11.30. We did this line and the upper half of U1 down to the Taumutu stream junction which we reached at 3pm. We opted to head back to the hut via the Taumutu track. A couple en route to the Upper Te Hoe had reported a stag just off the track so we thought it was worth a look. He had been feeding on some fallen broadleaf on the saddle below 820 by the look of things but had made himself scarce by the time we passed through. A long day and glad to hit the pit but rewarded with 3 stoats and 23 rats. Best result was at 1/22 with a rat and a female stoat.
Sunday saw us out of the hut by 8. Back down U3 - picked up another two rats, but still could not find trap 7 on that line. Had a good look but perhaps it has been moved further from the markers than we were looking? We left our packs at the caves bridge and began U2. This line is no joke. The Pres mentioned the climb was a bit of a pinch which it certainly was. Took us 3 hours with a short break at the summit. Got a girlie stoat and seven rats. Also ran into a sow but, to be honest, with a good hour to go and the certainty of more ridges to climb, I wished her and her babies well and we went our separate ways. Made Central for lunch at 1pm. Cleared the rest of U1 with the top half getting a second look - bridge by 3 and truck by 5. Both very pleased to see it too.
Grand total 4 stoats, 38 rats and a mouse. We had a great time though it was more 'work' than play.
Will be keen to go again once I have recovered a bit and my companion thoroughly enjoyed a close look at the Whirinaki and the local bird life - notably Kaka, Whoio and Rifleman. Next time I go I shall make a point of taking gardening gloves. Scroggin flavoured with eau-de-rat loses its appeal (and is no small health hazard - take care there) occasioning much hand washing.
Regards
Richard Hermans
Volunteers/NZDA Rotorua Projects Updates
Stoat trap clearing
DOC has asked for assistance with clearing stoat traps in the Whirinaki Forest.
If you are interested in helping out by volunteering some time, please contact a committee member.
Madam Stoat by Richard Hermans
Rat race by Richard Hermans
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POSITIVELY IDENTIFY YOUR TARGET
Range Report – September 2014
Saturday 6th we held a working bee which went very well with the assistance of 8 keen members. Most of the physical work required for certification has been completed, with just a bit of painting to be finished then I will take some photo’s to send to Bill O’Leary in advance of an onsite inspection. For the sake of economy I will try to have Tokoroa range ready for inspection at the same time, which should not be a problem.
Sunday 7th we held a 300M target shoot which was attended by 4 members and I was R/O.
Sunday 21st Was a Deer silhouette shoot again we had 4 members, not all the same as previous shoot, and again I was R/O
Coming events:
October;
Sunday 5th 300M target shoot.
Saturday/Sunday 18/19th Central Regional Championships. The program for this event Sat 3x40 shot 3P Rimfire match. Sun 3x20 shot 3P centre fire match. Prior advice of attendance required by Sunday 12th.
November;
Sunday 2nd Hunts Course range day (300M target shoot not likely)
Sunday 16th Rimfire Silhouette shoot.
Sunday 30th Combined Christmas & Junior Swazi shoot on Woodstock Farm, in the form of a Rimfire field shoot. For further info contact Dennis Ph 3484343.
And that’s it for 2014, hard to believe, especially as I have had rather a lost year.
Time to reload,
Malcolm.
Induction courses:
Note: that you will need to have attended one of these courses in order to get the new range key. All Induction Courses have to happen at the range. These are being undertaken to ensure members are aware of the safety requirements of using the NZDA range and are a step towards the committee getting the range certified. These courses should only take around 30 minutes. You only need to attend once this year.
For further information, please call Dennis on 027 200 6489.
Hamills Rotorua
1271 Fenton Street, Rotorua
P: 07 348 3147
F: 07 348 3146
10% discount for NZDA Rotorua Members (conditions apply)
Come in-store for awesome deals on your hunting and fishing goods!
www.hamillsonline.co.nz Freephone 0800 270 222
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6 Tarawera Road, Rotorua. Phone 07 345 9333
http://www.outdoorsman.co.nz
The pesticide 1080 is likely to be dumped from helicopters next winter on the Hunua Ranges, source of Auckland's water supply.
Auckland Council is today expected to change the way it conducts pest control in the 17,000 ha park, switching from bait stations for possum and rodent control to the aerial dropping of 1080 pellets.
The method is used by the Department of Conservation in its $21 million campaign in native forests to knock back mice, rats and stoats in what the agency calls the "Battle for our Birds." The department says its poison project is in response to an increase in predator numbers brought on by ideal growing conditions for seed production.
Auckland council says a similar cycle is occurring in the Hunua Ranges Regional Park, which it manages. The park contains four reservoirs which supply 65 per cent of Auckland's water supplies. It is also home to Auckland's only mainland kokako population, supports the long-tailed bat, hochstetter's frog, kaka, kereru, bellbird and tomtit communities.
Councillor George Wood said last evening that the council was confident it could carry out 1080 operations "without putting any injurious substance in the water supply."
Mr Wood, who chairs the regional strategy and policy committee, said helicopters would not be permitted to carry 1080 loads over lakes and target areas would be off-limits to park users until 1080 pellets had degraded. Buffer zones around reservoirs would protect the lakes from 1080 dumps in nearby bush.
"We have to weigh up the benefits of using 1080 against the opposition it stirs up. Unless we take some positive action bird life in the park will suffer in a bad way. I'm confident we can do it safely."
A report by council staff says a three-year pest control programme with its current toxins - cyanide and brodifocaum - would cost $1.4 million, and only cover 6.5 per cent of the park. By switching to 1080, the budget would be cut to $529,000 and the entire ranges would be treated.
Mr Wood said stringent water quality tests would be part of the programme, along with any other monitoring required by the Auckland Regional Public Health Service. Ministry of Health approval is also required for aerial operations.
The change to 1080, which the strategy and policy committee will vote on this morning, would not start until next winter when pests are short of food and bait drops most efficient.
Mr Wood said iwi, community and environmental groups would be consulted.
- APNZ
Anglers are being warned to avoid eating fish caught in back country waters as they could be tainted by 1080 poison.
The Department of Conservation plans to aerially drop 1080 poison across 700,000 hectares of conservation land, mostly in the South Island, to reduce rodent numbers.
Fishing groups expressed concerns that mice - which were often eaten by trout - could carry sub-lethal amounts of 1080, posing a food safety risk for humans.
DOC commissioned independent research into the risk, finding 1080 levels in trout flesh were significantly higher than recognised food safety guidelines.
Fish & Game New Zealand chief executive Bryce Johnson said the results were "not a good look" for New Zealand's so-called 100 per cent pure environmental brand.
"Anglers fishing back country waters, including overseas anglers who come here because of the trout fishery's international reputation, have always been able to assume that it is totally safe to catch a trout and eat it. Sadly, this turns that over," he said.
DOC's massive 1080 operation had been planned in response to an anticipated "mouse plague" after beech forests produced large crops of seed this year, giving the rodents extra food.
"While we understand why DOC is doing this, the findings from this recent research has added a very significant and concerning new dimension to the 1080 debate", Johnson said.
He believed the ramifications of the operation would extend "well beyond" the poison sites, but said Fish & Game had "been left with no choice" but to support DOC's warning to anglers.
He called for further research to provide a more accurate picture of the possible risks.
"Fish and Game is not saying don't go fishing in the back country, just don't eat the fish," Johnson said.
Department of Conservation boss Lou Sanso played down claims that trout pose a health risk.
"You would have to eat tonnes of trout to be affected," he said.
"Overall the risks are very low."
The department undertook research at the request of the New Zealand Federation of Freshwater Anglers, Sanson said.
The research involved feeding trout high levels of 1080 in the lab and the preliminary results showed that trout take up small amounts of 1080 into their flesh which breaks down over a number of days.
The results were only laboratory tests, they were not peer reviewed and would need to be replicated in the field to establish their credibility, he said.
The research was done at the Cawthron Institute laboratories, Swanson said.
- The Press
**POACHING: SHOTS IN THE DARK – STUFF.CO.NZ (04 OCTOBER 2014)**
Poaching has been riling Gowan Valley farmers for years ... but now it's getting worse. Jonathan Carson reports.
It's about 3am on a Tuesday when Dennis Long sees headlights hovering through the darkness near his cattle and sheep farm. He doesn't know who it is, but he knows why they're here. A short distance along Braeburn Track, near Lake Rotoroa, the vehicle stops and a spotlight beams into a paddock. Long dials 111. Then a gunshot rings out down the valley.
Poaching is not a new problem in these parts. But farmers in the Gowan Valley, east of Murchison, reckon it's getting worse and it's only a matter of time before someone is hurt or killed. Long and his mates, Michael Reedy and Tony Tapper, aged in their late 60s, are vigilantes. They're banding together to confront poachers and rustlers on their land and, in the past two weeks, have caught four parties in the act, resulting in police charging up to six people with unlawful hunting and theft.
In the case last Tuesday, the three men found a Nelson woman sitting in a ute, headlights off. They asked what she was doing and she said she was getting a deer. They told her it was private land and she became abusive. They saw a sheep in the back and she said she had run it over and shot it to put it out of its misery. It was Long's sheep. A pool of blood found in the paddock later that morning showed it had been killed while grazing. Her two friends, a woman wearing a balaclava and a man, appeared out of the darkness. They had shot a deer on Long's land. The men, tired and angry, blocked them in until police arrived.
It was just another night in the valley.
Reedy flicks through a notebook of incidents they've dealt with in the past fortnight. There are five that they know of, but there are bound to be more. September 23, 10.30pm. September 24, 2.45am. September 30, 3.30am. It goes on. Poaching typically involves shooting wild animals on private land at night using spotlights, but Reedy said there had been many cases of stock being shot and stolen, or left to die in a field. "It's been going on for years but it's getting worse," Reedy said. "Where's it going to end? What's going to happen? Is someone going to get shot? That's the worry. And farmers in New Zealand are stressed out at the moment."
Reedy said poachers are highly organised. They travel from Nelson, Picton, Golden Bay and the West Coast to remote backroads after dark. Drivers drop the shooters in an area and they stay in contact on walkie talkies or cellphones until they've made a kill. The drivers then return to pick up the animal. The number plates are often concealed or stolen. But the real concern is that the shooters are often drinking alcohol or smoking cannabis and firing high-powered rifles in the direction
of houses, or across conservation land where people might be camping. Their other concern is the volatility of the people they are confronting. Poachers were known to be abusive, throw punches and carry weapons. Some were known criminals.
"You go up there without a weapon to confront these guys and it's just trouble. You can't fight them, you can't threaten them in any way, but they can do whatever they like to you," Reedy said. "We should be arming ourselves when we confront these people. The police don't want it. But it's going to come to that."
The Gowan Valley is one of many areas across the district where poaching is a growing problem. Federated Farmers Nelson president Martin O'Connor said it seemed to be getting worse and he'd heard stories about farmers losing hundreds of sheep. Farmers were compelled to defend their land, but clashing with poachers created a "very dangerous friction," he said. "Quite often you're dealing with armed people and it can turn into an ugly situation quite quickly. I know the police don't want confrontation and that but . . . they can't supply the coverage really required."
Murchison police Constable Mike McDougall, who regularly responds to reports of poaching in the Gowan Valley, said farmers confronting armed men was risky.
"Something bad could happen one day, and heaven forbid that it does. But some of the farmers are at the end of their tether. They've just had a guts full of it. And I can't blame them."
A law change in November last year saw the maximum penalty for unlawful hunting increase from a maximum $500 "wet bus ticket" to a maximum $100,000 fine and one year imprisonment. In Gowan Valley alone, six people have been charged under the new law in the past fortnight.
"There's going to be no leniency because they've been doing it for so long and the penalties are there now to match the crime," McDougall said. "Sooner or later they're going to get caught and if they get caught they get the book thrown at them."
Reedy, Long and Tapper should be easing into their golden years, but they intend to keep watch over the valley where, collectively, they have lived more than 50 years. They're losing sleep and taking chances, driven by the fear of what could happen if they do nothing.
"These people, they're bad news," Reedy said. "Sooner or later they're going to pop someone off, that's what will happen. You wait."
- The Nelson Mail
Two Reefton women who were caught in the bush as 1080 poison rained from the sky last summer are now both reporting ill health.
An official investigation into the incident has been reopened.
Sisters Gwen Gardner and Kathleen Bartlett were on Maori Gully Road, near Kokiri, having a picnic after checking out a property for sale, when a helicopter with a monsoon bucket flew overhead and dropped poisoned pellets around their vehicle. They were close by at the time.
The sisters say they felt ill within 40 minutes of the drop, but did not associate it with 1080 poisoning.
They remained in the area for several hours as they did not think it could have been 1080, partly because they say a sign was outdated, and the helicopter was following the line of a creek.
However, medical tests by the Reefton GP now show Mrs Bartlett's liver is not functioning as it should, she suffers from nausea and tiredness, and coughs every night.
A trained singer, she says she knows her breathing is not right.
Mrs Gardner, who spent 15 years with St John, suffers B12 deficiency, nausea and fatigue.
After going public about the poison drop, Tb Free said the pair were on private land and should not have been there anyway.
However, the sisters said they later discovered that the photos they took of pellets lying around the vehicle actually recorded their GPS location -- and proves they were on a public road at the time.
They say they were ridiculed after going public for allegedly being in the wrong place.
Mrs Bartlett, who describes herself as a "private, non-confrontational person", has not been named until now.
However, she said this week she wanted to tell her story.
"We were two innocent people picnicking up a creek, and it was covered in 1080. For that, we are really unwell," her sister said.
The women say some warning signs out further have been updated, but not the one on Maori Gully Road.
Their GP, a locum new to the country, knew nothing of 1080 poison until they turned up for their regular tests. They say the doctor Googled the poison and demanded an investigation.
The sisters say they want to see more information made available for medical professionals.
They were "shocked" the case had been closed at the time as they were still waiting to hear back from medical and council staff. They are pleased the investigation has been reopened.
"We thought there was an investigation going on [all along]," Mrs Bartlett said.
West Coast medical officer of health Dr Cheryl Brunton said she had received some "more updated information" this week and as a result they were going to "revisit some things".
"It's still in process of investigation."
Tb Free northern South Island programme manager Matt Hickson said they were awaiting the outcome of Dr Brunton's report.
By Laura Mills of the Greymouth Star
Application for Membership of the Rotorua Branch of the New Zealand Deerstalkers Association Inc 2014/2015
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Sender: Rotorua Branch NZDA
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|
Battalogy: Empowering Battery Data Management through Ontology-driven Knowledge Graph
Muhamamd Ismail\textsuperscript{1,*,\dagger}, Abid Ali Fareedi\textsuperscript{2,*,\dagger} and Hammad Nazir\textsuperscript{3,\dagger}
\textsuperscript{1}Faculty of Computing Engineering and Sciences, University of South Wales, Treforest, Pontypridd CF37 1DL, UKT
\textsuperscript{2}The Academy for Information Technology (ITE), Halmstad University, Halmstad, Sweden
\textsuperscript{3} Faculty of Computing Engineering and Sciences, University of South Wales, Treforest, Pontypridd CF37 1DL, UK
Abstract
Developing a battery ontology to represent battery management knowledge is crucial in the new sustainable and green energy era. As battery production revenue is projected to exceed 300 billion US dollars annually by 2030, researchers are exploring new battery materials, models, standards, and manufacturing processes. AI and ML methods are being employed to manage battery manufacturing and enhance performance. Data representation techniques and formats are important for enhancing the expressiveness of battery data and improving battery quality. This paper presents an ontology for creating a battery knowledge graph to address data interoperability challenges and share battery data among different actors. The battery ontology includes various types of knowledge, such as domain knowledge, battery applications, and core battery-specific knowledge. The ontology was evaluated through competency questions and usability tests. It aims to enhance battery production and design by facilitating efficient communication and data exchange between battery management systems and applications. This research has significant societal, economic, and environmental impacts as it contributes to developing more efficient and sustainable batteries.
Keywords
Ontology, Semantic model, Battery ontology, Battery data management
1. Introduction
Batteries are essential resources in the new era of sustainable and green energy. Designers, engineers & industries need cheaper, safer and more energy-efficient batteries [1]. According to the World Economic Forum battery production revenue will grow to more than 300 billion US dollars annually by 2030 [2]. In the past few years, a lot of research has been conducted in battery cell failures of materials including electrodes [3, 4, 5, 6, 7, 8, 9, 10, 11]. Some of the methods for live delamination detection in battery cell material include the electrical resistance methods [12, 13], electrical potential methods [14, 15], electromagnetic damage detection method [16, 17], hybrid electromagnetic method [18, 19], self-sensing electrical resistance-based damage detection method [20, 21, 22]. Today, more research topics are being pursued to develop and...
produce large, high-performance, sustainable batteries. Battery data can play a key role in developing new battery materials, models, battery standards, manufacturing processes and battery ecosystem [23]. Lithium-ion batteries are the most advanced technology in the battery ecosystem [24].
Advances in AI and ML methods are used to manage battery manufacturing and improve insights into anatomy to improve performance and to target measures of errors and safety parameters in the production and designing of green batteries [25]. With the help of AI and ML methods, we can manage battery production, improve performance, and minimize errors and safety concerns. The utilization of these technologies in the production and designing of green batteries has enabled us to create batteries that are not only environment-friendly but also efficient in their performance [26].
Data representation techniques and formats play a crucial role in enhancing the expressiveness of data. With the help of various data representation techniques, we can transform the raw data into a more structured and meaningful format that can be easily processed and analyzed [27]. These techniques include but are not limited to data modelling, data visualization, and data compression. By implementing these techniques, we can gain valuable insights into battery production and performance, which can help us in improving the overall quality of batteries [28]. One of the challenges in battery manufacturing is the integration of data from different sources. Various laboratories and factories are producing batteries online and locally, generating large amounts of battery data. As diverse sources generate and handle data in distinct ways, datasets may differ in terms of their formats, metadata, or terminologies and be handled differently [1]. Therefore, integrating data from various sources becomes a significant challenge. This is where the concept of data interoperability comes into play.
Data interoperability refers to the ability of different systems, devices, and applications to communicate, exchange data, and use information effectively. This can be achieved by using common data-sharing standards and paradigms [29]. A variety of data representation techniques and formats can be entertained to enhance the expressiveness of the data. This characteristic helps to improve the data interoperability challenges from various data sources with common data-sharing standards and paradigms in different contexts of Battery ecosystems. This knowledge-sharing phenomenon helps to build common vocabulary or taxonomies that help to facilitate the end users, knowledge workers, domain users and potential customers to retrieve relevant information according to their needs and demands in a specific context. Collaborative knowledge-sharing plays a crucial role in addressing data interoperability challenges. We can facilitate information retrieval for end users, knowledge workers, domain users, and potential customers by sharing knowledge and building a shared vocabulary or taxonomy.
The utilization of AI and ML methods, data representation techniques, and collaborative knowledge-sharing approaches can significantly improve battery production and design. By addressing the challenges of data interoperability, we can enable effective communication and exchange of data between different systems, devices, and applications. The standardization of terminologies and the use of common data-sharing standards can improve the efficiency of battery manufacturing and design [29]. The battery research generates more data which needs to be managed and utilised in a better way for sustainable batteries and large-scale production. Data interoperability refers to integrating different source data to ensure that different systems and applications create and exchange a clear meaning of data. Implementing reliable approaches
for the interoperability of battery data is essential to fully exploit advanced techniques in battery research and development [1].
Ontologies can play an important role in semantic interoperability between enterprise applications to exchange information. An ontology is an explicit specification of a conceptualization and can be used to build conceptual models to represent the specific domains semantically [30]. Semantic interoperability is the ability to exchange data with unambiguous and shared meaning. Ontologies ensure that exchanged information between different systems and applications is understandable [31]. Ontologies can be used to address data interoperability problems by providing a common vocabulary or a set of agreed-upon terms and concepts for different data sources to use. This facilitates the exchange of information between different systems and enables data to be shared more easily and effectively. Ontologies can be used to define relationships between concepts, establish taxonomies and classifications, and provide semantic annotations for data.
In this paper, we present an ontology which has been developed to represent battery data. This ontology has been developed to incorporate battery knowledge to use in practical applications and create a knowledge graph for the battery management system. This ontology is a first step towards developing an ontology-based framework to utilize battery data and share knowledge between battery actors to solve the data interoperability issue. The primary data was given in textual format and knowledge extraction was done manually and validated by battery domain experts.
The rest of the paper is organised as follows. Section 2 discusses the previous work about the field. Section 3 presents the ontology development method. Section 4 describes the battology developed to represent the battery knowledge. Section 5 presents the results and evaluation of the ontology. The discussion is concluded with future work in section 6.
2. Related Work
This section presents principles and methods for data integration, data integration techniques, and data representation and integration with ontologies in battery space and its landscape. This section presents principles and methods for data integration, data integration techniques, and data representation and integration with ontologies in battery space and its landscape.
2.1. Principles and Methods of Data Integration
Designing a data integration system is a trivial task combining data residing at different sources and providing the user with a unified view of these data [32]. From a data integration perspective, the sources contain real data, while the global schema provides a reconciled, integrated, and virtual view of the underlying sources. Two basic approaches have been proposed. The first approach, called global-as-view, requires that the global schema is expressed in terms of the data sources. The second approach, called local-as-view, requires the global schema to be specified independently from the sources and the relationship between the global schema [32]. The phenomenon of data integration can be achieved by deploying various methods such as manual integration, middleware integration, application-based integration, uniform access user interface, and creating a common database at different levels of abstraction. Manual
data integration is the extensive process of integrating all different data sources without any automation. Middleware data integration is an abstraction layer used to integrate different applications and transfer data through this layer to different data sources. Application-based integration is a method where software applications are responsible for locating, retrieving and integrating data from different sources and interlinked systems [33, 34]. A uniform access user interface relates to the ability to integrate data from multiple dispersed sources and present it uniformly. Creation of the common database approach requires all data of interest to be manually migrated to the new data repository [35]. Developing uniform data access does not require manual data integration, migration of data, or additional storage space. Semantic heterogeneity of the source data repository itself is a trivial task and a difficult job to develop uniform data access. So in this study, we present an ontological framework as a solution to address data heterogeneity solution for battery data management using semantic web techniques such as ontologies and knowledge graph techniques [36, 37].
2.2. Data Integration Techniques for Battery Data Management
The phenomenon of data integration can be achieved using different semantic techniques, programming languages and standards with common exchange protocols and different data formats to support data across several data sources [38]. These techniques provide a semantic layer that serves to facilitate and allow machines to read, understand and interpret data which comes from different data repositories [39]. This layer is responsible for sharing and reuse across diverse applications and systems, converting structured and semi-structured web documents and unstructured data in the form of tacit knowledge, especially competence models, into a unified form of data that allows the expression of basic semantics in a way machines can process and understand [39, 40]. The machine-readable data can be produced through the creation of a schema comprising marked and interlinked characteristics such as defined terms, properties and formal relationships of various sources [41]. Semantic techniques, especially ontologies, provide definitions for the rules of representation and the establishment of relationship hierarchies, and this allows for the contextualization of data points by linked data through the supply of additional information on data [42]. A wide of semantic technologies and standards are used to develop the integration layer using different data integration techniques such as Unicode and URI Layer [43], RDF (Resource Description Framework) model [41], RDFS (Resource Description Framework Schema) [40], Ontology Layer [44] and developed conceptual model using ontology-driven language RDF, OWL [45], Cryptography layer and Unifying Logic Layer [43]. In this study, we utilize some of the above-mentioned techniques to address the wicked challenge of data integration and interoperability issues in battery management and its landscape.
2.3. Data Representation and Integration with Ontologies in Battery Management
In data, the ecosystem comprises a wide array of complex heterogeneous data sources and their semantic interoperability issues, such as Meaning, Granularity, Temporal, and Structural, can be achieved by using ontologies and ontology standards, including RDF, OWL and SPARQL [46], especially in battery management landscape [1]. Modern battery management targets
affordable, high-performance, and sustainable battery design; these endeavours are held back by the lack of common battery and vocabulary standards, as well as machine-readable tools to support interoperability. A battery ontology offers an effective means to unify battery-related activities across different fields, accelerate the flow of knowledge in both human- and machine-readable formats, and support the integration of artificial intelligence (AI) in battery development [1]. However, ontologies have been applied with great success in life science but have already developed some ontologies in battery management which are real contributions in battery and material science. These ontologies, such as EMMO (Elementary Multiperspective Material Ontology) is, supported by European Materials Modelling Council (EMMC) [1] and use RoMM vocabulary that is used as a basis for the model data (MODA) template and Li-Ion battery Ontology [47] in battery management [48]. In developing domain-oriented ontologies in the battery management space, a number of methods have been put forward for building ontologies or models. Ontology 101 proposes a very simple but practical guide for building an ontology using an ontology editing environment, such as Protege [49]. METHONTOLOGY contributes with a general framework for ontology development, which defines the main activities that people need to carry out when building an ontology, and outlines three different processes: management, technical, and supporting [50]. Similarly, the OTK Methodology is focused on application-driven ontology development [51, 52]. In this study, we utilize collaborative methodology for the development of domain-oriented ontology and models using ontology design patterns (ODPs) for battery management and resolving data integration and interoperability issues [53].
3. The Battery Ontology and Development Method
In this section, we describe how our ontology was developed along with basic battery concepts and battery domain knowledge.
3.1. Ontology Development
The field of Ontology Engineering (OE) develops ontologies that can be further refined, updated, and extended by adding new knowledge [54]. The development of an ontology is a complex process that includes different activities to define, develop, and maintain the ontology. Different methods have been suggested to develop an ontology. However, we do not have one specific or standard ontology development methodology in the field of OE. The ontology development process depends on the purpose, domain, and application of ontologies to determine what activities are to be involved in it.
Methontology [50] suggested the ontology lifecycle based on the experiences of the authors of ontology development. The suggested framework consists of six phases: specification, conceptualization, formalization, integration, implementation, and maintenance. These phases are supported by the lifecycle suggested by planning, acquiring knowledge, documenting, and evaluating.
Ontology Development 101 [49] provides guidelines and proposes the different steps to develop an ontology: determining the domain and scope, reusing existing ontologies, enumerating important terms, defining classes and class hierarchy, defining the properties, defining the facets,
and *creating instances*. [55] proposed a methodology for ontology development to support the Semantic Web application which contains four phases: *Requirements analysis, Development of ontology, implementation and evaluation and maintenance* of the ontology. An agile methodology has also been proposed to develop ontology by adopting the specific agile principles and practices from software engineering [56]. The agile methodology proposes four phases: *pre-game, development, post-game, and support activities*.
A variety of different ontology development methods and approaches such as Methontology [50] and Ontology Development 101 [49] can be found in the literature related to Ontology Engineering. Almost all methodologies focus on manual ontology development where Ontology Engineers alone or along with domain experts are involved in creating ontology from scratch or reusing existing ontologies in the ontology development process [57]. The ontology development process can be categorized into four main phases: Pre-development, Development and Implementation, Evaluation, Maintenance and Enrichment of an ontology. Each phase can have different activities depending on requirements, domain, and application of the ontology.
- The pre-development phase specifies the requirement, purpose and scope of the ontology. Generally, Ontology Engineers and Domain Experts are involved in the Pre-development process for specification and acquisition of knowledge.
- The development and implementation phase identifies and defines ontology elements such as concepts, properties, instances and axioms. This phase performs different activities, including building the conceptual model of an ontology, and defining concepts, instances and their relations in an ontology. Ontology Learning research mainly focuses on this phase to automate the ontology development process.
- The Evaluation phase analyses and checks if the developed ontology fulfils the needs and represents the required knowledge to achieve the defined purpose of the ontology. Competency Questions (CQs) are mainly used to evaluate an ontology by finding answers to predefined questions. Ontology Experts along with Domain Experts define CQs for evaluating an ontology. Reasoners, such as Pellets and Fact++, are used to check the consistency of an ontology in the evaluation.
- The Maintenance and Enrichment phase updates the developed ontology according to the evaluation’s results and adds new knowledge to the ontology if it is necessary.
The general ontology development process has been applied to develop the battery ontology. The ontology developers develop the initial draft of the ontology in the pre-development phase. In this phase domain resources about the battery are explored for acquisition and specification of the ontology. In the Development and implementation phase, ontology developers conceptualize and implement the ontology. The development tool used was the Protégé. Pellet reasoner [58] was used to check the consistency of the ontology. Ontology developers along with domain engineers worked in pairs for the evaluation phase to improve and enhance the ontology. The development and evaluation phases have been repeated several times. Figure 1 shows the general process applied during the battery ontology development.
3.2. Batteries and their characteristics
There are different types of batteries such as Primary and secondary. Each battery has different characteristics and can be used in many other applications. Each battery is made of material. Different batteries have different characteristics. The most common characteristics of a battery can be as follows:
- **Voltage** - The voltage of a battery is a measure of the potential difference between its terminals and is expressed in volts (V). Different types of batteries have different nominal voltages, and the voltage of a battery can vary during charge and discharge cycles.
- **Cycle Life** - The number of times a battery can be charged and discharged before its performance deteriorates. Cycle life measures a battery’s durability and is an important factor for applications where a battery will be used repeatedly over its lifetime, such as in electric vehicles.
- **Specific Energy** - Specific energy is the amount of energy a battery can store per unit of mass or volume. High specific energy allows for a longer driving range on a single charge in applications where energy density is important, such as electric vehicles. A higher specific energy indicates a more energy-dense battery in a smaller and lighter package.
- **Specific Power** - Specific power is a measure of a battery’s power output per unit mass or volume. It is a key metric for applications where size and weight are important considerations, such as in portable electronics and electric vehicles. A higher specific power indicates a more powerful battery in a smaller and lighter package.
- **Safety** - How safe the battery is to handle, use, store and transport. Batteries can pose a safety risk if they overheat, catch fire, leak, or explode and therefore are designed with safety features such as overcharge and short-circuit protection.
- **Performance** - As a measure of battery performance, we refer to the voltage, capacity, and energy output of the battery over its lifetime. Several factors can negatively impact the performance of a device over time, such as ageing, repeated charging and discharging, and exposure to extreme temperatures. A battery’s performance can vary according to its operating conditions and usage pattern. Higher-performing batteries will provide a more reliable and consistent output of power over time.
- **Life Span** - The lifespan of a battery refers to the number of cycles it can undergo before it no longer functions effectively or reaches the end of its usable life. A battery’s lifespan is
determined by various factors, including its type, design, manufacturing quality, operating conditions, and usage patterns.
- **Charge Limit** - The charge limit of a battery refers to the maximum amount of energy that can be stored in the battery without causing damage. Overcharging a battery beyond its charge limit can cause permanent damage to the battery, shorten its lifespan, and reduce its performance.
- **Self Charge or Discharge Rate** - The rate at which a battery can be charged and discharged safely without affecting its performance or lifespan.
4. Overview of Battery Ontology
Figure 2 shows a holistic view of the battery management ontology that contains different entities involved in the process and the relations between them for making real-time synergy and realization. The main objective of ontology is to represent the core knowledge about the battery domain and its characteristics in terms of use in different applications. This ontology includes three types of knowledge: 1) a meta-model of the battery domain and 2) the domain knowledge of the battery applications, and 3) core battery-specific knowledge.
It describes different small taxonomies, including primary batteries, secondary batteries, primary battery properties, secondary battery properties, and applications. Taxonomy is a classification system used in knowledge management (KM) to organize and categorize information. It involves creating a hierarchical structure that groups related concepts based on their characteristics, attributes, or relationships. In KM, taxonomy can be used to maintain a hierarchical information structure that is easy to navigate and understand, making it easier to find the information needed.
It explains the working mechanism between different taxonomies and follows a triplet pattern (e.g., subject, predicate, object). For instance, Battery is used in various applications such as military combat, healthcare, automotive, transmitter and general applications. Similarly, the
Battery entity is made of the Material entity (e.g., Lithium Nickel Manganese Cobalt Oxide (LiNiMnCoO2)). It also creates some association links with primary and secondary battery properties such as primary-related load, primary voltage cut-off, primary-related capacity, nominal-voltage, discharge-CRate, and battery type. It can also be applied to secondary battery properties such as secondary battery toxicity, peak load current, safety requirements, overcharge tolerance, operating temperature, maintenance requirements, in-use since (time), internal resistance, fast-charge time, specific energy, cycle-life, cell-voltage, battery-cost, self-discharge.
The following success scenario in figure 3 explains the true demonstration of these properties, which describes primary batteries’ properties’ associations with battery instance and their instance values for better understanding and realization.
**Success Scenario:** In the context of battery management, the primary battery is a subclass of battery and its instance, such as Alkaline-Manganese, which linked up with different entities instances to make the personalized KGs. The instance Alkaline-Manganese and its association with other entities. For example, the primary battery is assigned to Alkaline-Manganese and creates an association with battery properties. Here, the semantic relational expression follows a triplet structure (e.g., subject, predicate, object: Node → Node)
For instance, there is a relationship between the concept of “Primary-Battery” and the concept of “Battery-Properties”, referring to “hasPrimary_NominalVoltage”. Thus the “Primary Battery” is known as the domain, and the “Battery-Properties” is known as a range with the model which reflects the value of this triplet, such as “Nominal Voltage-9Volts”.
*Figure 3: Knowledge graph (KGs) (Ontological Model) of Primary Battery*
5. Evaluation of the Ontology
This section describes different evaluation and testing strategies in this research work. The ontology evaluation aims to develop a battery ontology model (Battology) that depicts the contextual knowledge of various batteries with different materials involved. It is used to manage the diverse nature of the data representation and its manageability in battery management, which is a challenging task, especially in the automotive industry. This Battology is served as a basis for developing personalized KGs for specific focal group and their usages.
This section targets to evaluate the Battology on different levels; structural, semantic-relational and lexical evaluation.
- **Structure Evaluation** In this phase, the hierarchical structure of the Battology has been assessed concerning the correctness of the *is_a* relationship as to whether the given concept A is a particular type of the given concept B. For instance, *Alkaline-Manganese* is an instance of *Primary Battery* which is a subclass of *Battery*, and this classification of the battery can be seen in Battology (see figure-3).
- **Semantic Relational Evaluation** In this phase, the Battology is evaluated for holding semantically correct relations between these concepts and these relations are associated with *Object Properties* and *Data Properties* in the ontology-based editors (e.g., Protege, Topbraid Composer, etc.). Here, the semantic relational expression follows a triplet structure (subject, predicate, object: Node->Node). For instance, there is a relationship between the concept of *Battery* and the concept of "Application", referring to *hasApplication*. Thus, the Battery is known as the domain, and the Application is known as a range within the Battology.
- **Lexical Evaluation** The purpose of this section is to examine some attributes of the Battology regarding its expressiveness, completeness, and clarity of the annotation of a given Battology related to the battery and its manageability. Participants and domain experts were asked whether the relationship is confirmed in the Battology in the second information session using several competence questions (CQs).
5.1. Evaluation by CQs
We have used a DL Query Tab in Protege 5.0 to verify CQs. They help to confirm that the knowledge repository is in the form of Battology or KGs and has enough information to answer these questions, which are related to battery-related information. The following table-1 shows an example of CQs with a DL query and presents the results of executing the DL query in the Protege editor.
5.2. Modelling workshop/Information Session
During the modelling workshop, we presented a holistic view of the domain model design artefact (Battology) that explains how domain experts with different assigned roles and competencies initiate different processes and perform different activities to achieve the Battology goals. The session also shows how the CQs can be used to retrieve information. We have also
| Competence Questions | DL Query | Result |
|-----------------------------------------------------------|--------------------------------------------------------------------------|------------------------------------------------------------------------|
| Which specific batteries are used in what applications? | Battery and usedIn Value pacemakers_for_heart_patients | • Alkaline-Manganese |
| What basic properties are associated with in batteries manufacturing? | Battery-Property and propertyOf value Alkaline-Manganese | • Primary-Battery-Type-9V |
| | | • Primary-Battery-Type-AA |
| | | • Primary-Nominal-Voltage-1.5Volts |
| | | • Primary-Voltage-cut-off-4.8Volts |
| | | • ... |
| What batteries are made of what material? | query:Battery and madeOf value LiCoO2 | • Lithium-Cobalt-Oxide |
| What type of batteries and their nature? | Battery and hasBattery_Nature value Non_rechargeable | • Alkaline-Manganese |
| What batteries are used in what applications or made of material? | (Battery and usedIn value Military_Combat) or (Battery and madeOf value LiCoO2) | • Alkaline-Manganese |
| | | • Lithium-Cobalt-Oxide |
Table 1
Evaluation of Ontology through CQ and DL query. The result column shows the instances of the classes used in the queries. A few of the results are shown in the second row where return results are a long list of properties related to Alkaline-Manganese Primary Battery
exemplified Battology related to battery management and its data portability and its dissemination among different components of batteries with standard formats to resolve the data interoperability challenges to some extent. The data interoperability factor can be addressed by using the data rendering options and its versatility of data representation in the form of RDF/XML, OWL/XML and JASON-LD.
5.3. Evaluation of Usability
The evaluation of the usability of an ontology is important when the ontology is going to be used by application and domain experts who are normally not ontology experts. The evaluation of the usability of a product or system is something that goes back in time. In 1986, Brooke developed a questionnaire, the System Usability Scale (SUS) [59]. During the years since then, it has been demonstrated that the SUS applies to a wide range of systems and types of technology and that it produces similar results as more extensive attitude scales that are intended to provide deeper insights into a user’s attitudes to the usability of a system. SUS also has a good ability to discriminate and identify systems with good and poor usability [60]. In this work we make use
of the version of SUS introduced in [61].
| Statement of evaluate of the ontology | AE | DE | OE |
|------------------------------------------------------------------------------------------------------|----|----|----|
| 1 In my opinion, I could make a valuable contribution to this ontology | 4 | 5 | 3 |
| 2 I found the ontology unnecessarily complex | 1 | 2 | 2 |
| 3 It is easy for me to understand the ontology model | 5 | 4 | 5 |
| 4 I would need more theoretical support to understand this ontology | 1 | 4 | 3 |
| 5 In the ontology, I found that a variety of concepts were well incorporated | 4 | 4 | 4 |
| 6 There were too many inconsistencies in this ontology | 1 | 1 | 3 |
| 7 I would imagine that most domain experts would understand this ontology very quickly | 5 | 4 | 5 |
| 8 I find the ontology very cumbersome to understand | 1 | 2 | 2 |
| 9 It is my confidence that I understand the ontology conceptualization | 5 | 4 | 5 |
| 10 I needed to ask a lot of questions before I could understand the conceptualisation of the ontology| 1 | 1 | 2 |
Table 2
Ontology usability evaluation (AE: Application Engineer, DE: Domain Engineer, OE: Ontology Engineer, score: 1=strongly disagree, 2=disagree, 3=no preference, 4=agree, 5=strongly agree)
The ontology usability is important before its use in an application by domain experts and application engineers. The developed ontology was evaluated by a domain expert in the battery domain, and an application engineer who was involved in developing and using ontologies and Knowledge graphs in different applications. An ontology expert who is actively involved in ontology development and research in the semantic web. It is possible to get reliable results with a sample of 8-12 users [62]. A more extensive evaluation is planned with the development of an application using Battalogy.
In the table 2, questions are positioned as defined in SUS which are a combination of positive and negative forms. The questions at odd positions are all in positive form and the even positions are all in negative form to avoid biases. The goal is to have respondents read each statement and try to reflect on whether they agree or disagree with it by alternating positive and negative statements.
The SUS scores indicate that the usability results for the application Engineer were 95, the Domain expert was 77.5 and the ontology engineer had a result of 75. The sus score is calculated as described in [59]. This implies that the usability of the ontology from the application experts’ point of view was very positive while the usability of ontology from domain and ontology experts’ point of view needs to be improved. Figure 4 shows the sus score with a percentile rank based on interpretation given by [63].
The SUS score of 95 suggests that the ontology model is highly usable, with users finding it easy to learn, efficient to use, and overall providing a good user experience. This is particularly important for an ontology model, which is designed to help users navigate complex knowledge structures and make sense of large amounts of information. The high percentile score of 99.8%
indicates that the ontology model performs exceptionally well compared, which is a positive finding.
However, the SUS scores of 77.5 and 75 suggest that there are areas of the ontology model that could be improved to better meet the needs and expectations of users. For example, users may have encountered difficulties in navigating the ontology or in finding specific information. These results indicate that usability issues need to be addressed to provide a better user experience.
Overall, these results suggest that the ontology model has some strong points in terms of usability, but also some areas for improvement. By addressing the usability issues identified in the study, the ontology model could be made even more user-friendly and effective in supporting knowledge representation in the domain. The overall feedback was given that the ontology model well integrated most concepts and no inconsistencies were found and the ontology model can be improved by adding more knowledge about the domain by adding more instances and relations between them. The ontology was the first version and authors have planned to add more knowledge about the domain and linked with existing ontologies within the battery domain.
6. Conclusion and Future Work
This research focuses on developing a battery ontology for representing battery data and addressing data interoperability challenges in the battery domain. The ontology development process follows different methodologies such as Methontology and Ontology Development 101. The battery ontology includes various concepts and properties related to batteries, their characteristics, applications, and materials. The ontology is evaluated using structural, semantic relational, and lexical evaluations, as well as through competence questions and usability evaluation using the System Usability Scale (SUS). The ontology expects to facilitate better data representation, knowledge sharing, and interoperability in the battery domain.
Future work in this area could involve further refinement of the battery ontology and expanding it to include more specific concepts and properties related to different types of batteries and their applications. Additionally, the ontology could be integrated into existing battery management systems to improve data exchange and interoperability. Further evaluation and testing of the ontology’s usability with domain experts and application users could also be conducted to ensure its effectiveness in real-world scenarios. Overall, the development of the battery ontology has the potential to contribute to advancements in battery research, development, and manufacturing for sustainable and green energy.
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The immortality of the soul
THE FREETHINKING COLLECTION:
SPIRITISM FOR THE 21ST CENTURY
1st SERIES
David Santamaría
The immortality of the soul
THE FREETHINKING COLLECTION:
SPIRITISM FOR THE 21ST CENTURY
1st Series - Book 2
2021
The immortality of the soul [electronic resource] / David Santamaria; [translation Rosa Margarita Hernández... et al. – [S I.]: CPDoc, 2021: CEPA, 2021.
88 p.; 16cm. – (The freethinking collection: spiritism for the XXI\textsuperscript{st} century; series 1; n.2 / organizers Ademar Arthur Chioro dos Reis, Mauro de Mesquita Spínola, Ricardo de Morais Nunes).
ISBN: 978-65-89240-06-8
1. Spiritism 2. Immortality of the soul 3. Spirit 4. Perispirit
I. Title II. Rosa Margarita III. Spínola, Mauro de Mesquita IV. Nunes, Ricardo de Morais V. Chioro dos Reis, Ademar Arthur VI. Serie.
CDU 133.7
CDD 133.9
PRESENTATION
“(…) freethinking elevates the dignity of man; through it he becomes an active, intelligent being, rather than a machine of beliefs.”
Allan Kardec (Spiritist Magazine, February 1867)
The CEPA – International Spiritist Association* and the Centre for Spiritist Research and Documentation (CPDoc) have the honor of presenting to both spiritist and non spiritist readers The Freethinking Collection: spiritism for the 21st century.
The first series of The Freethinking Collection aims to present, in a summarized way, but without prejudice to conceptual precision, the theoretical positions of the
*CEPA is the acronym, both in Spanish and Portuguese, for the previous name of the International Spiritist Association. CEPA used to stand for Confederación Espírita Panamericana. Its initials also created a word that reminded us of the symbolism suggested by the Spirits and used in the Prolegomena within The Spirit’s Book.
so-called secular and freethinking spiritism, which has been developing in several countries in the Americas and in Europe, during recent years.
Edited in four languages – Portuguese, Spanish, English, and French – it aims to disseminate lay and free thinking spiritism as comprehensively as possible.
This perspective has been characterized by being an alternative look at spiritism, which was founded by Allan Kardec in 1857, as published in his masterful work *The Spirit’s Book*, and its institutionalization and popularization in various regions of the planet.
As it spread, spiritism was subjected to processes of absorption and syncretism with the set of religious beliefs and practices specific to the historical and cultural context of each country and of each era.
In some countries, such as Brazil for example, the historical and cultural process of a catholic nature faced by spiritism resulted in the formation of another Christian religion, to the detriment of the principles of rationality and freethinking proposed by Allan Kardec for spiritism.
This phenomenon of syncretism has occurred with spiritism in several countries making it a minor religion, shifting it from its natural epistemological positioning, and causing it to lose its potential
to open perspectives in the fields of knowledge, especially in the areas of science and philosophy.
Hence the need for spiritists gathered around the CEPA and CPDoc, for a rereading of spiritist thought in an attempt to rescue the generous proposal of Allan Kardec, who sought to build a spiritualist, lay, freethinking, humanistic and progressive philosophy. These are fundamental characteristics so that spiritism could walk along the progress of knowledge, ethics, and spirituality in the contemporary world.
*The Freethinking Collection: spiritism for the 21st century* intends to present to the reader some fundamental topics of spiritism from the perspective of this rereading, with the aim, therefore, of clarifying spiritist readers in general and those who are interested in these subjects.
The collection presents and elaborates, in this 1st series, a set of fundamental themes, which will allow a comprehensive and full-fledged understanding vis-à-vis the hegemonic thought prevailing in the spiritist movements of Brazil and the world. This gaze is proposed within the greatest spirit of otherness possible.
All topics were elaborated with a method that seeks clarity, conciseness, and precision with the aim
of providing fundamental introductory information on spiritism and the spiritist movement, from a lay and freethinking perspective.
*The Freethinking Collection: spiritism for the 21st Century* also aims to offer scholars and communicators of spiritism, as well as those engaged in the organization of courses, conferences and coordination of study groups, references, and support material to be used in didactic activities carried out by spiritist associations in general.
We believe that this initiative will contribute to a healthy debate on important issues of spiritism, as reflected in the transcendental spiritualist philosophy founded by Allan Kardec.
The authors of this 1st Series - Fundamental Themes - from *The Freethinking Collection: spiritism for the 21st Century* are intellectuals originally from the spiritualist movements of Argentina, Brazil, Spain, Puerto Rico, and Venezuela who developed the following topics:
- **Spiritism in the lay and free thinker perspective**
Milton Rubens Medran Moreira (Brazil) and Salomão Jacob Benchaya (Brazil)
- **The immortality of the soul**
David Santamaría (Spain)
• Mediumship: exchange between two worlds
Ademar Arthur Chioro dos Reis (Brazil) and Yolanda Clavijo (Venezuela)
• Reflections on the idea of God
Ricardo de Morais Nunes (Brazil) and Dante López (Argentina)
• Reincarnation: a revolutionary existential paradigm
Mauro de Mesquita Spínola (Brazil)
• The evolution of spirits, matter, and worlds
Gustavo Molfino (Argentina) and Reinaldo Di Lucia (Brazil)
• Spiritism, ethics, and morals
Jacira Jacinto da Silva (Brazil) and Milton Rubens Medran Moreira (Brazil)
• Allan Kardec: the founder of spiritism
José Arroyo (Puerto Rico) and Matheus Laureano (Brazil)
Spiritism, in the words of the important Brazilian writer and spiritist philosopher José Herculano Pires, remains as the “great unknown”. The shadows of misunderstanding fall upon it, preventing its original
brilliance from being appreciated as a philosophical proposal which reveals the horizons of the Spirit over modern thought, emphasizing the importance of reason and facts.
*The Freethinking Collection: Spiritism for the 21st century* aims, therefore, to shed some light on the spiritist philosophical proposal, with the purpose of illuminating its understanding by spiritists and non-spiritists as well as rescuing its revolutionary potential contribution to a new vision of the human being and the world.
This is a bold but necessary task.
Ademar Arthur Chioro de Reis
Mauro de Mesquita Spínola
Ricardo de Morais Nunes
*Organizers*
CEPA - INTERNATIONAL SPIRIT ASSOCIATION
In *The Freethinking Collection: spiritism for the 21st century*, CEPA unfolds, in the various volumes that make up the 1st Series, the fundamental themes of spiritism. In the series that will follow, current issues of equal importance for societal living will be addressed.
CEPA - International Spiritist Association, was founded in Argentina in 1946. It was strongly influenced by the freethinking tradition that arose in the Spanish spiritist movement, shortly after the mid-19th century advent of the Spiritist Philosophy in France, under the direction of Allan Kardec.
Argentine spiritists, whose main characteristic was the defense of the progressive, secular, and freethinking character of spiritism, played a leading
role in the basis of thought that always guided CEPA members.
Since its founding, CEPA, initially called the Pan American Spiritist Confederation, has been working for the construction and consolidation of the philosophical and scientific nature of spiritism, as proclaimed by its founder Allan Kardec.
As an interpreter of spiritism in its original form, CEPA defines it as “a science dealing with the nature, origin and destiny of spirits, as well as their relationships with the bodily world” and as “a spiritualist philosophy of moral consequences”.
Its nature today is that of an International Spiritist Association, comprised by individuals and spiritist institutions from different continents. It is characterized by being an alliance of people and institutions sharing the same freethinking ideal, not compatible with vertical and authoritarian organizations within the spiritist movement.
Its main objectives are:
(a) promote and disseminate the knowledge provided by spiritism, based on the thinking of Allan Kardec, under a lay, freethinking, humanist, progressive and pluralistic vision.
(b) promote and support efforts for the permanent updating of spiritism.
(c) promote integration between spiritists and spiritist institutions of all continents, sharing these same objectives.
Valuable scholars and thinkers gathered around CEPA have been expanding the scope of the Spiritist Philosophy, adding their efforts to restore its original progressive sense, unfortunately minimized when it is mistakenly read as a religious doctrine.
Spiritism free of adjectives is a universalist philosophy with liberating potential, and thus the reason for CEPA’s commitment to its earliest postulates, upholding the historical context in force at the time of its birth.
The association of people around the study of spiritism, in its purest expression, has served for the aggrandizement of the spiritist philosophy, which can serve everyone, regardless of their beliefs and visions of the world.
In honor of the work and dedication of the authors, I leave an affectionate invitation for the reader to study and critically analyze their contributions, as a true freethinker.
Jacira Jacinto da Silva,
President of CEPA
CPDoc is one of the oldest working spiritist research centers in Brazil. Its main objective is the development and dissemination of studies and research of spiritist themes, using the appropriate methodology for each topic as well as the contributions of the various areas of knowledge. It seeks to contribute to the improvement of knowledge, as a whole and of spiritism specifically.
CPDoc was born in Santos (Sao Paolo, Brazil) in 1988, the result of the dream of young people interested in reinforcing their spiritist studies. It has participants from several Brazilian states and other countries. The works are published through its website, in books, in the press, and they are discussed in various events, especially at the Brazilian
Symposium of Spiritist Thought as well as at the Congresses and Conferences of CEPA, which it joined in 1995.
To date, CPDoc has in its collection the following books published or to be published:
- *Magnetismo e vitalismo e o pensamento de Kardec*, by Ademar Arthur Chioro dos Reis
- *Um Blues no meio do caminho*, by Paulo Cesar Fernandes
- *Centro espírita: uma revisão estrutural*, by Mauro de Mesquita Spinola
- *Teleco*, by Geraldo Pires de Oliveira
- *Igualdade de direitos e diferença de funções entre o homem e a mulher*, by Marissol Castello Branco
- *Mecanismos da mediunidade: Processo de comunicação mediúnica*, by Ademar Arthur Chioro dos Reis
- *Criminalidade: educar ou punir?*, by Jacira Jacinto da Silva
- *Ensaio sobre o Humanismo Espírita*, by Eugênio Lara
- *Os espíritos falam: Você ouve?*, by Wilson Garcia
• *Doca e o menino – O laço e o silêncio*, by Wilson Garcia
• *Perspectivas contemporâneas da reencarnação* (several authors), organized by Ademar Arthur Chioro dos Reis and Ricardo de Morais Nunes
• *Os livros dos espíritos*, by Luís Jorge Lira Neto
• *Freethinking Collection: spiritism for the 21st century* (several authors), organized by Ademar Arthur Chioro dos Reis, Ricardo de Morais Nunes and Mauro de Mesquita Spinola
The CPDoc also offers online courses presenting spiritism within a secular and freethinking vision, using modern distance learning techniques.
All those interested in research can participate in the CPDoc if they know the fundamentals of spiritism and are hosted by a member of the group.
Information, published articles, CPDoc-promoted events, and online courses are available on the group’s website:
http://www.cpdocespirita.com.br.
Wilson Garcia
Presidente of CPDoc
PREFACE
Welcome!
Would you like to know more about the immortality of the soul and spiritism, but have not yet been able to dedicate time to these studies? Then the time has come. This book gathers fundamental clarifications, in an objective and didactic presentation, preserving the quality of the concepts.
Where do these amazing ideas, doubts, and concerns come from when we did not even think about them? We seek answers in our memories and often we do not find them. We get thoughtful... we talk to our friends, but their comments and explanations do not convince us, although many of them have experienced similar situations. This leads us to assume that our spiritual experiences are unique. We often ascribe to the manifestations of
the soul these strange, difficult, and complex doubts that concern us. We speak of the soul as if it were constituted by tangible matter, which could be seen, measured and weighted.
What are your thoughts about it?
It is curious to sense that we have a soul, yet spiritism goes further, stating that we are souls. It is our essence, it preserves our memories, a dense collection of experiences, dating from a long history. If we were to have records of our spiritual evolution, is it possible to investigate and know facts from the past that help us understand the present and plan for the future, or are we subject to absolute determinism?
What does your reason think about it?
In the end, what is the soul?
The poet Mario Quintana (1906-1994) wrote that: “The soul is this thing that asks us if the soul exists.” The answer to what is the soul allows a kind of peace within a man in search of himself, when he asks, “Who am I?”
David Santamaria, Spanish psychologist, writer, leader and spiritist lecturer, begins the book citing the primary meanings of the word soul. Understanding the soul means understanding the complexity of the intelligent principle that animates and constitutes the
human being, according to the spiritist philosophy. This effort is so important that St Augustine (354-430) stated: “I want to know God and the soul. And that is all? Nothing at all.” (Solilóquies, II, 2010, p. 21)\(^1\). It seems a banal pretense, a simple one, but it is not, because God and the soul are the essence of everything: “the creation and purpose of creation; the world order and in it the divine presence, our perception of the universe, ... the force of reason and faith, the place of man in the cosmos, and the nature of time.” (Kolakowski, L., vol. I, p. 91)\(^2\).
Admitting the existence of the soul is fundamental to the development of spiritism, but in addition, the book seeks evidence of the immortality of the soul. The author references Allan Kardec and considers that the existence and immortality of the soul or spirit, together with reincarnation, are the basis of all spiritist ethical-moral philosophy. But are we sure of the immortality of the soul? What resources can we use in this research?
The author will approach the topic by commenting on the mediumistic activities of the American Leonora Piper (Mrs. Piper) and the Brazilian Francisco
---
\(^1\) AGOSTINHO, Santo (354-430) – Solilóquios, ed. Paulus, São Paulo, 1998, pág. 21.
\(^2\) KOLAKOWSKI, Leszek (1927-2009) – Sobre o que nos perguntam os grandes filósofos, ed. Civilização Brasileira, RJ, 2009, pag 91.
Candido Xavier (Chico Xavier), both rigorously tested mediums, recognized for their seriousness and for endorsing the veracity of the mediumnistic exchange between the living and the “dead”. In addition to medium communications, there are other modified states of consciousness, natural or induced, that reinforce the conviction that the soul is not a simple theological or philosophical abstraction, but a reality.
The book is organized into five chapters. It begins with a historical narration about the soul and its manifestations. It then deals with the perispirit and the scientific contributions in the study of the intriguing and surprising manifestations of the spirit, through such intermediate and semi-material vehicle. Lastly, the author then addresses the main question: the immortality of the soul and concludes the book by commenting on the philosophical and moral consequences of the existence and immortality of the soul.
As an appendix, it provides a useful bibliographic indication on the topics covered and indications of websites and addresses for web searches, in addition to the reference works used by the author. Soon after you will find David Santamaria’s full résumé.
Good reading!
Homero Ward da Rosa
Sociedade Espírita Casa da Prece (Pelotas-Brasil) and CEPABrasil
ACKNOWLEDGEMENTS
To the Executive Board of CEPA - International Spirit Association for their unconditional support to The Freethinking Collection: spiritism for the 21st century.
To the members of the Centre for Spiritist Research and Documentation (CPDoc) for the critical reading and suggestions that allowed us to evaluate our work.
To Milton Rubens Medran Moreira for the final review.
To translators Eliana Pantoja (Portuguese), Rosa Margarita Hernández, Zoraida Díaz, Jorge Torres Santos, Rafael E. Luquis and José Arroyo (English).
To Néventon Vargas for the spelling review of the Portuguese edition.
# Summary
**CHAPTER 1. THE STARTING POINT**
1.1 Definitions
1.2 The soul and its manifestations throughout history
**CHAPTER 2. THE PERISPIRIT**
2.1 Scientific contributions
2.2 In spiritism
**CHAPTER 3. IMMORTALITY OF THE SOUL**
3.1 According to spiritism
3.2 In other contexts
**CHAPTER 4. DEMONSTRATION ATTEMPTS**
4.1 Through mediumship
4.2 Through Extrasensory Perception (ESP) and Near-Death Experiences (NDE)
CHAPTER 5. PHILOSOPHICAL AND MORAL CONSEQUENCES
5.1 Philosophical consequences
5.2 Moral consequences
READINGS REFERENCES
INTERESTING WEBSITES
BIBLIOGRAPHY
ABOUT THE AUTHOR
1 THE STARTING POINT
It is always convenient, in any study, to have a clear starting point, regardless of how short or summarized that could be. To this regard, definitions seem to be a good point of departure, even though in this case we will see that this brings a certain complexity.
Allan Kardec himself (founder of the Spiritist doctrine) warned about this complexity in his book *The Spirits’ Book*, Introduction II:
There is another word that we must also agree on since it is one of the keys to every moral doctrine, and to that end it has provoked innumerable controversies due to the lack of a generally accepted meaning: it is the word soul. The differences of viewpoints regarding the nature of the soul come from the individual definition that each person attaches to this word.\(^1\)
Likewise, a contemporary author, psychologist, journalist, and Brazilian writer Jaci Régis (1932-2010), tells us, in his work *Introduction to the Kardecist Doctrine*, Chapter 5, that regarding to the complexity of terms:
*The truth is that we can hardly go forward. This should warn us about affirmations that pretend to expose absolute and fixed definitions, with a fragile and improper terminology, used as an approximation resource. In other words, the nature of the spirit continues to be distant from our actual comprehension.*\(^2\) (p. 34)
Despite all this, we will consider some definitions that we hope prove useful.
### 1.1 Definitions
- **Soul:** “the immaterial and individual being that dwells within and survives the body.”\(^1\) (*Introduction II*).
We add an excellent statement by Léon Denis (one of the most prominent followers of Allan Kardec), in his book *After Death* (*Depués de la muerte*), chapter X, p. 112, in which he says that:
All the abilities, all the intellectual and moral strengths are grouped within a central unit that contains them all, it unites them, it illuminates them; and this unit is the conscience, the personality, the I; in one word: the soul.\(^3\)
- **Spirit:** “We can say that spirits are the intelligent beings of creation. They populate the universe beyond the material world.”\(^1\) (item 76, p. 105).
- **Perispirit:** “semi-material substance that serves as the first layer to the Spirit and it unites the soul with the body.”\(^1\) (item 135, p. 126)
- **Body:** “The body is therefore simultaneously the envelope and instrument of the spirit”\(^4\) (chapter 11, item 10, p. 224).
Without a doubt, the body is most real for us because we feel it, we touch it and many times we suffer it.
**Summarizing:**
Thus, in the human being there are three essential components:
1) the soul or spirit, which is the intelligent principle that harbors the thought, will and moral sense;
2) the body, which is the material envelope that enables the spirit to relate to the exterior world; and
3) the perispirit, which is the fluidic, light, imponderable envelope that serves as the connection and intermediary between the spirit and the body.
(A. Kardec, *What is Spiritism?*\(^5\) chapter II, item 10).
After all the above, can we consider synonyms the soul and the spirit? This doubt seems to be resolved in the summary above when Kardec refers to “the soul or the spirit ...” That is, it seems that for him these two terms are equivalent. Truthfully, in colloquial language, they can be used indistinctly. However, if we dig deeper, we can find some differences. So, in his work *What is Spiritism?* chapter II, item 14 and the written observation, Allan Kardec states that:
The union of the soul, perispirit and physical body comprise the human being; the soul and perispirit apart from the body comprise the being called the spirit.
Note: The soul is thus a simple being; the spirit, a two-fold being and the human being, a three-fold being. Hence, it would be more precise to keep the word soul to designate the intelligent principle, and the word spirit to refer to the semi-material being formed from this principle plus the fluidic body. However, since one cannot conceive of the intelligent principle separate from all matter, or the perispirit not being animated by the intelligent principle, the terms soul and spirit are usually employed interchangeably.\(^5\)
That is, once the difference between soul and spirit is examined, we think that is clear that the soul as an intelligent principle, coated by the perispirit, is
what we define as Spirit.
**Soul = intelligent principle or spiritual principle**
**Soul + perispirit = Spirit**
However, and according to what we have exposed, how can we interpret the answer to item 134 of *The Spirits’ Book*?
“What is the soul? – An incarnate spirit.”
We would have to consider this definition a restrictive term for the soul, taken from the common use of the expression used to refer to the duality between body and soul. In fact, we tend to commonly answer the question ‘what is the human being?’, as a being of body and soul (being the soul, in this case, the embodied spirit, according to this item 134).
### 1.2 The soul and its manifestations throughout history
This is the title of a work by Eugene Bonnemere (1813-1893)\(^6\), a French historian and spiritist, published in 1881. In this and other works about the history of the soul throughout time, we realize the complexity of the matter at hand. Since the contributions of
Homer, Plato, Aristotle, and many others up to our times, different and diverse theories have been proposed about the creation, life, functions, and purpose of the soul.
We apologize if we fail to offer more details, but we are limited on the amount of text we would have to dedicate to this matter. We will mention some interesting works in our bibliography.\(^7\)
Just as an example we will mention a few texts, like the following exposition by Cicero in his work ‘On old Age’ (De la vejez) - the boldfacing is ours:
I have heard that Pythagoras and the Pythagoreans, (...) never doubted that our souls have originated from the universal divine mind. In addition, I am convinced on the arguments about the supreme day of life and the immortality of souls presented by Socrates; considered, as we knew from Plato; the wisest of them all, as stated by Apollo’s oracle. Therefore, I am persuaded, and I feel that due to the haste of souls, the memories from the past and the prevision of the future, added to the quantity of arts, so many the sciences, the huge amount of inventions that the nature of these things can’t be mortal (...); also due to the simple nature of the soul and having nothing odd or dissimilar to itself, it can’t be divided; which is impossible; it can’t die; and it’s a great argument in favor of this thesis that
men know many things even before birth, children can learn intricate arts or acquire countless things that seem to be evoked and remembered instead of learned. This is more or less from Plato.\(^8\) (p. 125)
For his part, Professor Jon Aizpúrua states on his work *Fundamentals of Spiritism* (*Los Fundamentos del Espiritismo*), chapter II:
Since the beginnings of Hellenic thought up to its maximum splendor, ideas permeating of spiritualism captivated most of its poets, writers, philosophers and men of science. Even at the time of Homeric poems, and during the mythological and pre-philosophical period, the Greeks admitted that men are of a dual nature, with a perceptible body and an invisible image or psyche that would secure spiritual continuity after death, although these beliefs would get confused and denaturalized within the framework of a polytheist, anthropomorphic, and superstitious culture.\(^9\) (p. 43)
From Socrates, Plato and Aristotle up to Descartes, Kant and Hegel, going through Jesus, the Fathers of the primitive church, Agustin of Hippo, Thomas Aquinas and many others; Professor Aizpúrua traces the history of the soul throughout the ideas of so many thinkers and philosophers.
In addition to everything contributed by spiritism, on this side of the planet, there are other oriental
thinkers who join in with Pythagoras and Plato, who acknowledged the spiritual nature of the human being, as seen in doctrines such as Buddhism and Taoism.
**DID YOU KNOW?**
Ancient representations of the soul are diverse. Three aspects in common can be mentioned: the conception of the soul as breath, fire or shadow.
2 THE PERISPIRIT
This structure, so named by Kardec, has received many denominations along history: spiritual body (Paul of Tarsus), aromatic body (Charles Fourier), pro-spirit (Gustave Geley), astral body, energetic body, subtle body, bioplasmic (in the old U.S.S.R.), biological organizing model-MOB (Hernani Guimaraes Andrade), among others.
2.1 Scientific contributions
In 1939, in the old Soviet Union, the married couple of inventors and investigators Semyon and Valentina Kirlian, designed a special photographic machine that would surprisingly capture not images, but energies. They realized that any live element
would flash sparks that would be reflected in this peculiar picture.
From this era and up to our present days, there has been countless experiences with this apparatus. Even to the present day, anyone can easily obtain this via internet.
What would the Kirlian camera photograph? Probably the same that ancient painters would reproduce as halos around the heads of saints. That is, the aura or a reflection of the perispirit.
Since the beginning of these experiences, it was clear that even inert objects would present a halo; but unlike living beings, this halo is uniform and static.
Lots of interesting experiences have been done, for example to photograph a healer’s hand (nowadays we can compare it with a practitioner of Reiki), at the moment before and while he applies his hands to a patient, finding notorious differences between the two instances, being more intense at the moment of laying the hands.
Is Kirlian photography the unequivocal proof of the existence of the spirit? We think not. We think that studies need to be conducted by prestigious and independent institutions that could assess, without any doubt, the reality or not of this technique.
However, we think that is positive that the context in which the first experiences were realized, was not spiritualist; because otherwise, it would tend to be considered tainted with superstitious aspects.
Jose Herculano Pires (1914-1979), writer, philosopher, journalist, and Brazilian scholar, in his work "Parapsychology today and tomorrow" (Parapsicologia hoje e amanhã) highlights, in relationship with these investigations, that:
In 1968 a commission officially assigned to examine the matter, composed by individuals closely related to scientific studies, began planned investigative tasks (...), they arrived at definite conclusions about the existence of the energetic body - Kardec's perispirit - which they named bioplasmic body or bioplastic body. (...) The Kirlian camera has the official approval of the Academy of Sciences and it became the most advanced instrument of scientific investigations in the Soviet Union.
(...) Scientists initially defined the bioplastic body with the following words: 'It's a type of elemental constellation, that closely resembles the nature of plasma, formed by ionized electrons, which seem to be excited, protons and probably other atomic particles.'\(^{10}\) (p. 109-110)
Plasma (ionized gas containing positive and negative charges), electrons, protons... all this even to
lay folks on the topic (like many of us are) seems like an energetic reality.
Therefore, this bioplastic body, or plainly perispirit, seems to us a probable reality; a reality with a lot of consistency thanks to those investigations done in the ancient USSR.
2.2 In spiritism
Remember that for Allan Kardec, the perispirit is a semi-material sheath and it serves as a connection element between the spirit and matter. Let us examine this statement by Kardec:
- **Semi-material sheath**: surely in concrete terms, is strange to name something as semi-material: it is material or not, we would say. However, we cannot forget that science has taught us that the limits between matter and energy are diffuse (something that was not that clear during the mid19 century). Therefore, we might think that this sheath that circumscribes and defines the spirit could really be an energetic structure of a complex arrangement, as postulated by the abovementioned kirliangraphy.
On this regard, there is another contribution from Kardec that brings a lot of interest (in *The Genesis*,
chapter XIV, item 7): “The perispiritual body and the corporeal body thus have their source in the same primitive element; both are matter, although in two different states.”\(^4\) That is, both are equally matter, but in different degrees of *density* (we obviously take *density* as an analogy), we might say then, that the semi-material concept could be equivalent to a much more dense and compact matter, different from the one we know, and/or an energy.
- **Intermediary or link** between body and soul: It serves as a transmission element between the spiritual reality (Spirit) and the corporeal (physical body). Undoubtedly, there must be a direct connection between this subtle body and the human Central Nervous System (CNS), probably the brain. That which is connected to the CNS, receives sensations from it and it’s able to transmit motor and attention commands toward the exterior.
On the other hand, neither Allan Kardec nor the spirits who collaborated in his studies, were able to establish which physical structure could be the one that binds with the perispirit.
Certainly, this informative paucity and the lack of concretization, were motivated by the lack of more defined knowledge.
On this matter, Gabriel Delanne (another of Kardec’s followers) argued in *Spiritism before Science* (*El Espiritismo ante la Ciencia*), fourth part, chapter II:
*It is imperative not to forget that the perispirit is not a homogeneous body; it has almost material parts that touch the organism, and almost material parts that connect with the soul.*\(^{11}\) (p. 186)
After these affirmations by Delanne is almost inevitable to mention two other initially proposed structures by sources other than spiritism: the **etheric double** (which could be the densest part of the perispirit, directly coupled to the body, and it gets destroyed with it at the moment of death), and the **mental body** (that would be the real and subtle permanent body of the soul, for which is joined permanently).
Likewise, Jaci Régis wrote on his *Doutrina kardecista, modelo conceitual*: “the perispirit is a temporal body, created by the mind of the person, and it expresses the morphology of the somatic body.”\(^{12}\) (p. 23)
Therefore, it could be said (see Durval Ciamponi’s works)\(^{13-14}\) that the perispirit is the sum of the mental body (that is always with the soul) and the spiritual body (temporal).
These are proposals that we are going to have to face, but with possibilities of being real elements. Possibly with these hypotheses is possible to better understand statements like this:
- Where does the spirit take its semi-material sheath?
- From the universal fluid of each globe. Thus, it would not be identical among all worlds. Whenever the spirit goes from one world to the other, it changes its sheath, just like we change our clothes.\(^1\) (item 94, p.109).
If the perispirit (which is not a mental body) is something temporal and renewable, the changes of sheath pointed out to Kardec by the spirits, can be better understood; “a spirit clothes itself with the matter proper for each world at a speed faster than lightning.”\(^1\) (item 187, p. 147)
**Properties of the perispirit:**
- **Plasticity.** It can change its form at the will of the spirit, or it can happen involuntarily in certain instances. This what can be read in *The Genesis*, chapter XIV, item 14, p. 298:
*Thus, for example, a Spirit presents himself to the view of an incarnated being endowed with spiritual sight with the same appearance he had when living*
at the epoch of their acquaintance, although he may have had many incarnations since that time. He presents himself with the costume, the exterior signs, infirmities, wounds, amputated members, etc., that he had then. A person who has been beheaded will present himself with no head. We do not desire to convey the impression that he has preserved these appearances; no, certainly not; for as a spirit he is neither lame, maimed, blind, nor headless: but his thought conveying the impression when he was thus, his perispirit takes instantaneously the appearance of it, but it can at the same time leave it instantaneously. If then, he has been both a black and a white man, he will present himself according to which of these two incarnations may be evoked whence his thought will report itself.\(^4\)
- **Permeability.** It can go through dense matter:
Another property of the perispirit is the penetrability inherent to its ethereal nature. No type of matter can obstruct it; it can pass through anything as easily as light passes through transparent objects. Hence, there are no means of preventing spirits from entering a place.\(^{15}\) (second part, chapter VI, item 106).
- **Tangibility.** A spirit should notice something close to the sense of touch whenever it touches another spirit (that is, when the perispirits are in contact).
Also, in some apparitions, the perispirit can change to become momentarily visible and tangible. Kardec comments in *The Mediums’ Book*, 2nd part, chapter VI, item 104, that:
*A Spirit who so desires and who is actually able to appear sometimes assumes an even more defined form, with all the appearances of a solid body, to the point of displaying a perfect illusion and leading us to believe that we are dealing with an actual corporeal being. In some cases, and under certain circumstances, an apparition’s tangibility can become real, meaning that we can touch and handle it, and feel its resistance and heat as if it were a living body. Nevertheless, such characteristics do not prevent the apparition from vanishing as quickly as a flash of lightning.*
Also, in item 100, subsection 23 from the same book: Could we say that it is through a condensation of the perispirit's fluid that the spirit makes itself visible?
"Condensation is not the right word. It only serves to make a comparison that can help you understand the phenomenon, while there is no actual condensation. The combining of fluids produces a special condition in the perispirit which has no analogy for you, but which renders the spirit visible nonetheless."
- **Expansibility**. The spirit can expand or contract it, like for example, in the transfiguration phenomena.
See the following comment from Kardec in *The Genesis*, chapter XIV, item 18:
*Upon incarnating, the Spirit retains its perispirit with the qualities proper to it, and the perispirit, as we know, is not circumscribed by the body but radiates all around and envelops it as in a fluidic atmosphere.*
Through its intimate union with the body, the perispirit performs an extremely important role in the organism. Through its expansion, it puts the incarnate spirit in a more direct relationship with discarnate spirits and also with other incarnate ones.\(^{14}\)
**Functions of the perispirit:**
- **Individualizing**. It shapes and individualizes the soul or spirit.
*The Spirit, due to its spiritual essence is an unlimited abstract being, which can have no direct action upon matter. An intermediary is necessary to it. This intermediary is the fluidic envelope which makes in some sort an integral part of the Spirit, a semi-material envelope, connecting matter with spirit by its ethereal nature.*
(...) This envelope, designated perispirit, from an abstract being, makes of the spirit a concrete, defined being, seized by thought.\(^4\) (chapter XI, item 17)
- **Instrumental**. It serves as an instrument of the spirit to relate with the material world, (in connection with the physical body) as well as, the spiritual world. “The perispirit therefore comprises an integral component of the spirit, just as the body comprises an integral part of the human being.”\(^{15}\) (second part, chapter I, item 55)
- **Organizing**. Kardec states in *The Genesis*, chapter XI, item 18:
When the Spirit must incarnate in a human body in process of formation, a fluidic connection, which is none other than an expansion of the perispirit, attaches it to the germ toward which it finds itself attracted by an irresistible force from the moment of conception. By measure, as the germ unfolds, the connection shortens. Under the influence of the vital material principle of the germ, the perispirit, which possesses certain properties of matter, is united molecule by molecule with the forming body; whence one can say that the Spirit, through the perispirit, takes root in the germ, like a plant in the Earth.\(^4\)
Therefore, the perispirit may be considered (hypothetically) the organizer of biological life in the body, without any impairment of organic life per se, nor of genetic conditioning. And to be this potential organizer, it would have a biological register (if not intellectual) accumulated within countless material experiences. On the same hypothesis, we think we could include the idea that, in this register, there could be recorded grave alterations caused voluntarily by the spirit to the body during a reincarnation, like for example due to a suicide. The same way, unhealthy prolonged behaviors (like deep rooted vices) could alter the content of this biological register. Therefore, all these alterations could be transmitted again to the body during this process of molecular union (if the spirit has not resolved this disfunction from the past).
- **Sustaining.** Keeping in consideration that thoughts and feelings of the soul affect the body (as demonstrated by psychosomatic medicine) as well as the perispirit, we could think that a healthy perispirit (that is, balanced) will help to efficiently sustain its physical body or do the opposite.
Allan Kardec already stated (*The Book of the Mediums*, second part, chapter I, item 54), that:
*This second envelope of the soul, or perispirit,*
therefore exists during corporeal life itself. It is the intermediary for all the sensations perceived by the spirit, and through which the spirit transmits its will to the outside world and acts upon the body's physical organs. To make a material analogy, the perispirit is the electrical wiring that serves for the reception and transmission of thought. Finally, this mysterious and imperceptible agent known also as the neural fluid – which performs such an important role in the organic workings of the body – is still not sufficiently taken into consideration regarding physiological and pathological phenomena. By taking only the ponderable material element into consideration, medical science deprives itself of a permanent cause of action in its study of the facts.\(^{15}\)
In a similar manner, when J.H. Pires talks about kirliangraphy in his popular work "Parapsychology today and tomorrow" (Parapsicologia hoje e amanhã), also mentions that:
The relationship of these discoveries with medicine increases when the soviet experiences reveal that organic illnesses can be prevented by examining the luminescence of the energetic body."\(^{10}\) (p. 108)
We have always been surprised by the semi-material qualification of the perispirit by Kardec. In the following text we will see that, even on his time, he himself received comments about this. In his *Revue Spirite*, dated March 1866, (Introduction to the study of spiritual fluids, section IX) we can read this argument from Kardec:
Some people have criticized the semi-material qualification given to the perispirit, questioning whether is matter or is not. Admitting that the expression is not proper, we can attribute it to the absence of a special term to designate this particular state of matter. If a much proper term existed, the criticism should have brought it forward.\(^{16}\) (p. 75)
3 IMMORTALITY OF THE SOUL
There is great importance in the issue of the immortality of the soul, as well as in the realization of its existence and evolution.
3.1 According to spiritism
- Allan Kardec’s opinion:
Hyppolyte Leon Denizard Rivail (1804-1869) French educator. Compiled, analyzed and structured the information obtained through his observations of mediums communicating with the spiritual world. He published various books under the alias Allan Kardec. Two of his most notable books are *The Spirits’ Book* and *The Mediums’ Book*. Allan Kardec also directed and published the magazine *Revue Spirite*.
Allan Kardec states in *The Mediums Book*, Part I, chapter III, item 19:
*In Spiritism, the matter of spirits is secondary and successive; it is not the starting point, and this is precisely the error into which one falls and often the reason for one’s failure with certain people. Since spirits are simply human souls, the correct starting point is therefore the existence of the soul.*
As indicated by Kardec it is always best to begin by explaining the most basic aspect, the existence of a soul or spirit, relating it to personal and realistic aspects of life such as physical sensations. Sensations and situations that in many cases are difficult to understand based only on physiological or material properties. For example: How can you explain certain vivid dreams in which we communicate and spend time with family or friends that have disincarnated, at times revealing information unknown to the person having the dream?
Thus, the spirit becomes the primary basic pillar for the philosophical and moral demonstration of the spiritist doctrine. If there is no spirit, there is very little to discuss. If there is no soul or the existence of an afterlife, there is no important driving force to strive for something better, to learn, to improve every day.
If the soul exists, then we are in a better disposition to demonstrate its immortality. If it is immortal, we can begin to understand other concepts such as reincarnation and the existence of a higher intelligence, initial cause of all, with which we mean God.
Everything pivots around the spirit; therefore we must be very careful when examining its existence, essence, constitution and destiny. Of these four elements we can only discuss with a certain degree of assurance the first one and the fourth; on the other two we can only speculate.
- Oliver Lodge’s opinion
Lodge wrote in the preface of his book “Why I believe in personal immortality”; “All of my assertions are based in experiences and acceptance
Oliver Lodge - physicist and president of Birmingham University. Particularly important person in the scientific, academic and social world.
Author of Why I believe in Personal Immortality - Por qué creo en la inmortalidad personal\textsuperscript{17} (1928 and Raymond or Life and Death - Raymond, o la vida y la muerte.\textsuperscript{18} (1916).
of a series of facts which can be easily corroborated by anyone who takes the time and effort to do so." (p. 9) In reality, not many people take it seriously enough to corroborate.
Later he adds (ibidem, chapter I):
The available evidence is sufficient to demonstrate that human character and memory survives, that the people who have abandoned this life continue to exist with the knowledge and the experiences obtained, and that under certain circumstances, partly known, our disincarnated friends can demonstrate their true and individual survival of their soul. (p. 19) (Highlighted text is ours).
After reading Oliver Lodge we could fall under the false impression that the existence of the spirit is relatively easy to demonstrate, specially through mediumship manifestations. It is not likely, mediumship is a tool that requires adequate use, and does not offer absolute facts, even though the apparent effortlessness of medium trances. The manifestation of the spirit would need to be a very convincing demonstration that could dissipate any doubts.
Hippolyte Rivail (the future Allan Kardec) was a renowned educator; Oliver Lodge was a distinguished scientist. They clearly point the way
with their approach towards the topic: investigating without preconceptions on the subject using a rigorous scientific method.
3.2 In other contexts
There are many other fields that accept the existence of the spirit, basically in philosophical and religious contexts. Usually, they also admit that if the spirit exists, it is then immortal and retains its individuality after death.
Based on these premises the spiritists postulates, regarding the existence and immortality of the spirit, should be easily assimilated and accepted. Unfortunately, it is not, since in some of those fields it is believed that the spirit is created when the body is created. In spiritism we understand, under certain circumstances, that the spirit pre-exists the formation of the body. As a matter of fact, spiritism believes the spirit begins its journey in the inferior worlds of nature.
The circumstances mentioned above are intuitive ideas, the existence of prodigy children, *deja vu* and the investigation on reincarnations (regression and spontaneous memories on past lives of small children). If the above-mentioned arguments are
accepted, it is inevitable to accept the immortality of the spirit.
Spiritism has solid arguments that cannot be used in religious contexts: spiritism is not dogmatic, it is not locked in certain ideas or traditions and thus there is no apprehension or reserve to scientific rebuttals or findings.
Kardec mentioned in *The Genesis*, Ch 1, Item 55:
Spiritism, marching hand in hand with progress, will never be overthrown, because, if new discoveries should demonstrate that it is in error upon a point, it would modify itself regarding it. If a new truth is revealed, it accepts it.\(^4\)
**DID YOU KNOW?**
In the book *Raymond, or Life and Death* by Oliver Lodge (1916), there are many detailed descriptions of the spiritual world. These coincide with the descriptions presented by the spirit Andre Luiz, as he dictated through the mediumship of Francisco Candido Xavier, since 1944.
There are people who think that these descriptions about the life of the spirit after death are fiction. Nevertheless, we think that it is only logical to believe that after the death of the body we continue
to live in a semi material world, since it would be exceedingly difficult to adapt to a formless abstract life. We also know by the comments of the spirits, that the mind creates images, that other spirits can also see. For this reference see Allan Kardec’s article Photography of the thoughts, which was included in his Posthumous Works.
It can be said that there are spiritual specialists that can create, in the cosmic universal matter (which exists everywhere), a structure or place for disincarnated spirits that will conform to their level of evolvement. As we believe that the spirits inhabiting this planet have very limited knowledge of the spiritual world.
It is true that Allan Kardec did not refer to any of this, in a direct way. In the item 129, Chapter VIII of the second part of The Mediums’ Book, we can read a text that implicitly refers to those structures in the spiritual world:
(...) the spirit has the power of acting upon matter. Individual spirits draw, from the universal cosmic matter, the elements necessary to form, according to their wishes, objects having the appearance of the various bodies existing on the earth. They can also, by their will, influence the particular transformation of elementary matter which gives to it shaped
properties. This faculty is inherent in the nature of spirits, who often exercise it instinctively, when necessary, without being able to explain how they do it. Objects formed by a spirit have only a temporary existence, subordinate to its will, or as needed; it can make and unmake them at will.\textsuperscript{15}
In this text Kardec refers to the creation of tangible objects. If they are able to do this, then it would follow that there can be “constructs” in the universal cosmic matter to serve as a receiving station for inferior and ignorant spirits. Personally, we believe this is a strong possibility.
The big question is: can we find a convincing way of demonstrating the existence of the spirit as well as its immortality? We will proceed to examine the possible evidence on this topic.
4.1 Through mediumship
Mediumship is basically the capacity that some people possess to serve as intermediates between the spirits of the deceased (called disincarnated spirits in spiritism) and the live beings in the material world (incarnated spirits).
The truth is that everyone has experienced in any given way a spiritual perception in its lifetime. For example, every person has interacted with dead
family members through vivid dreams. Also, some have experienced premonitions. These are two of the situations, that are relatively common in everyday life, that should make us reflect on their nature.
Also, some people have indicated unexpected vivid contact experiences with dead family members and friends. These contacts were described as short and through the senses of sight, sound, smell or touch. Generally, these contacts have been soothing and reassuring to those still alive in the material world and have been produced by the spirits who are as alive as ourselves. The percentage of common normal people that have experimented these situations is surprisingly high. It would be inadmissible to state that all of them have lied or invented the situations described.
But is it possible to present examples of cases in which we have corroborated, with certainty, the identity of some of the spirits in mediumnistic manifestations? We personally think it is possible. In addition to the cases we present, there are many instances in which family and friends have been identified in smaller mediumnistic groups. These experiences cannot be considered of any scientific value, but they still present all of the elements of reality due to the knowledge they display of the person that has communicated.
It would be ideal to hold such meetings in an isolated space far from the credulous. This does not mean that we need to become scholars in order to experiment with mediumship. Nevertheless, a certain theoretic education, sound judgement, experience and skepticism is required. Also be very careful as to not become a victim of spirits that manipulate and confuse the medium, just as with certain people, that only want to play, bother or dominate the situation. It is also necessary to be able to detect animic phenomena and differentiate it from the communication of the spirits via mediumship.
Mrs. Leonora Piper was a famous North American medium. She was the subject of intense interest and investigation by American and British psychic research associations. She was even followed by private investigators to ensure the information she gave was not obtained through fraudulent means.
The famous doctor and writer Sir Arthur Conan Doyle (1859-1930) in his book titled *The History of Spiritualism* (*Historia del Espiritismo*)\(^{20}\) includes a series of mediumistic communications obtained through Mrs. Piper. She is also mentioned by Léon Denis in his book *In the Invisible*\(^{21}\), (chapter XI).
The communicating spirit was that of a young writer of the era, named George Pelham. Pelham manifested through Mrs. Piper a few weeks after his death in 1892. Dr. Richard Hodgson (an Australian investigator, who studied law and taught philosophy in Cambridge) invited 30 of Pelham’s friends to the séance. They all walked into the room when Mrs. Piper was already in trance. The spirit recognized and spoke to each one of his friends. During another session it was asked for the spirit to translate a text into Greek, which he did without hesitation. The medium did not know Greek, although Mr. Pelham did master the language.
Even though Mrs. Piper doubted her mediumistic abilities (at times she was convinced it was more of a telepathic communication), we believe the case of Pelham provides a convincing evidence that the spirit of George Pelham survived his bodily death and was manifesting through Mrs. Piper’s mediumistic capacity.
We must point out that other investigators such as Lodge (mentioned above) and William James (a North American philosopher and psychologist), had their own opinions regarding the mediumistic manifestations by Mrs. Piper. Mr. Lodge was in favor and Mr. James was against it. This is not strange, and
it has always been the case. We cannot deny that preconceived notions of death can lead people to deny certain evidence only because they consider them impossible.
Nevertheless, we must always emphasize the dangers of credulity in the evaluation of mediumnistic manifestations. That is why “It is better to reject ten truths than admit a single lie, a single false theory.”\(^{15}\) (chapter XX, item 230).
Francisco Cândido Xavier was a Brazilian medium, who produced a complete range of mediumnistic phenomena: psychography, clairvoyance, xenoglossy, physical effects, and speaking mediumship. He was a Christian oriented medium. In the present there are two defined Spiritist tendencies at an international level:
- one, which is the majority, focuses spiritism as a science, philosophy, and religion.
- the other one (which is the one that CEPA aligns with) states spiritism is a science, philosophy, and a moral doctrine.
Evidently, the philosophical basis of Spiritism as expressed by its founder, Allan Kardec, is identical to
both tendencies. The main differences are a religious Christian tendency of the majority and a more secular and freethinking approach of the minority. It is important to understand that although the second one is not religious in nature; it is also not anti-religious in nature.
This secular viewpoint is not an obstacle for us to recognize the excellence of his works and of his diverse mediumnistic faculties. Nor should it stop us from reading with a critical and disagreeing view some of his books and mediumnistic production. Such an approach helps us understand that, as a medium, his qualities were on par with high ethical standards.
F.C. Xavier wrote more than 400 books while in trance. His books have been translated into many languages. He did not seek monetary gain on his work; he donated the rights and the proceeds to charitable institutions and to the Brazilian Spiritist Federation. It is precisely this non-remuneration policy of a medium’s work one of the most important qualities, though not the only one, linked to honest and serious mediums in the Spiritist mindset.
In F.C. Xavier’s case the most relevant evidence of the identity of the disincarnated were the letters written from deceased family members. The level of detail revealed, along with the signatures, were
enough to establish the true identity of the contacted being. The medium had never contacted these family members in material life; it was impossible for him to know the details revealed in the letters he wrote while in trance.
The first book F.C. Xavier wrote is titled *Parnaso do Além Tumulo*, published in 1932. It is an anthology of 60 poems signed by important Brazilian and Portuguese deceased poets. These are poems that show the style and personality of each author. It is important to point out that at the time this book was written F.C. Xavier was 21 years old, he did not have a vast education and was occupied with many jobs. With all this said, all suspicion of fraud is ruled out.
The two examples mentioned above are clear cases of what we call intellectual mediumship, (contrary to physical effects where objects can be moved), in which it is less complicated to establish the influence of the disincarnated spirit and the identity of it. As clearly seen the disincarnated spirits are able to transmit through the medium, facts and experiences of the last life in the material world. Which in turn can be corroborated. Nevertheless, we must also recognize that this is not an easy task as it seems. Following is a remarkably interesting experience totally relevant and valid even though it happened 100 years ago.
In his excellent work on mediumship titled *On the invisible* (*En lo invisible*), Léon Denis states in the second part, chapter XXI:
Professor Hyslop (James Hyslop, ethics and logic professor, psychologist, and psychic investigator) conducted an experiment in order to compare and offer proof of the difficulties on establishing the identity of two people through a distance. For this purpose, he built a telegraphic line between two buildings at the University of Columbia. The buildings were separated at least 150 meters, and in each end of the telegraphic line he sat two telegraph employees, through which two other people, unknown to each other, would communicate and try to establish their identities. The setting simulating the scenario in a mediumnistic session, being that the distance would emulate the separation of the spiritual world, the professor convinced himself on how difficult it was to establish the identity of both communicators in a satisfactory manner. He was only able to attain partial success by very ordinary means and unimportant facts.\(^{21}\) (p. 325)
We could try to conduct an equivalent experiment in this day and age, for example using email to try and identify each communicator solely on what they write. Surely the same difficulties would be encountered as those in the past experiment.
In other words, it is not as easy as it seems to communicate efficiently and flawlessly from the beyond through mediumship. Let us take a look at a comment James Hyslop made much later:
*We can only try to understand the situation of a disincarnated spirit that only has a few minutes to communicate and who is also battling difficulties we cannot even come to imagine.* (p. 326)
Therefore, in the light of the experiences mentioned above, we come to value even more the excellent results obtained in the cases of Leonora Piper and Francisco Cândido Xavier.
4.2 Through Extrasensory Perception (ESP) and Near-Death Experiences (NDE)
Both types of perceptions are of animistic* nature: in other words, it is the incarnated spirit going through the experience; but this does not rule out that the medium/sensitive can also receive aid from a disincarnated spirit.
* In Spiritist philosophy, the term animism is used to designate a type of phenomenon produced by the incarnated spirit itself, without this being a mediumistic instrument of spiritual action, but rather the creator of the phenomena in question. As he/she is the author of the said words or actions, this phenomenon is often frowned upon due to the possibility of mystification and the absence of the communicating spirit, thus not being a mediumistic phenomenon.
- **ESP**: this type of perception is circumscribed to the phenomena of *telepathy, clairvoyance, and premonitions*.
- **Telepathy** is the *Extra sensorial perception of the content of the mind of another person.*\(^{21}\) (p. 270)
In other words, the perception of the contents of another person’s mind without the intervention of the senses. But what is the mind? As defined by the *Dictionary of the Royal Academy of the Spanish Language (RAE)*, it is the “intellectual power of the soul”. We can then safely say that telepathy is a soul-to-soul contact.
Thanks to the numerous experiences of Dr. Rhine and his team at Duke University (USA), he statistically demonstrated that telepathy is real, and it is one of the resources that the spirits, incarnated and disincarnated, use to communicate.
Rhine used stacks of Zener cards, 5 cards with a different symbol on each card, to conduct numerous experiments using the transmission of mind to mind (spirit to spirit or soul to soul). The results were statistically categorized, minimizing the probabilities of chance.
- **Clairvoyance** or **Remote vision**. *It is the extrasensory perception of material things or future*
events. There are other terms used as synonyms such as lucidness and metagnomy.\(^9\) (p. 285). Kardec referred to it as double vision or second sight.
The varieties of clairvoyance are enumerated by Prof. Aizpúrúa (ibidem, p. 285-286): Clairaudience (paranormal hearing), Hyaloscopy (images reflected from reflective objects such as mirrors), Psychometry (receiving images associated with a particular object), Autoscopy (paranormal autodiagnosis), Psychodiagnosis (paranormal knowledge of the medical conditions of another person), Dowsing (perceiving radiation sent by a person or object and received via a pendulum, rod or twig), Precognition or premonition, more comments follow on the diverse aspects of it.
In Dr. Rhine’s experiments on clairvoyance the subject had to enumerate from top to bottom a stack of Zener cards. The cards were previously
shuffled and where not touched by anyone else after the shuffling. The results were equally satisfactory every time even when considering the calculation of probabilities.
- **Premonition**: “Knowledge of future events, through intuition that does not depend on insight, nor reasoning or logic.” Definition according to the 1913 Physiology Nobel Prize winner Charles Richet (1850-1835), in his book, *The Future and Premonition* (*El Porvenir y la Premonición*).23
Undoubtedly it is one of the most disturbing phenomena as told by Camille Flammarion (1842-1925) in *Death and its Mystery* (*La muerte y su misterio*), Volume I, chapter IX:
*The principal fact that ought to strike us and acquire in our eyes the character of a certainty, is simply this paradoxical affirmation, — that a future, which does not yet exist, and which will result from the chain of a series of little consecutive causes, can nevertheless be seen as if it had already happened.*24 (p. 323)
Numerous examples can be extracted from the works of Dr. Charles Richet as well as Camille Flammarion’s.
It is worth mentioning this particularly curious case: in 1898, north American writer Morgan Robertson
(1861 - 1915) published the book *The Wreck of the Titan* (*El hundimiento del Titán*)\(^{25}\) in which he narrated the wreckage of the ship, remarkably similar in many ways to the future Titanic that sunk in 1912, fourteen years after the publishing of the book. The similarities between both ships were truly relevant: both ships were on their first voyage and were presented as unsinkable. Their features were similar. The voyage route was the same, but in inverted order. Both ships sunk due to the impact of an iceberg in the same maritime zone. Too many similarities to be a mere coincidence.
Keep in mind, that not every apparent knowledge of future events can be considered a premonition. Dr. Richet points out a series of three prerequisites to establish veracity.
*To consider a premonition to be faultless it is necessary for it to meet three main conditions:*
1. The event cannot be provable.
2. It must be credited or referred to people that can certify it.
3. The outcome of the event cannot depend on the person to whom it is being announced.\(^{23}\) (p. 59-63)
Dr. Joseph Banks Rhine adds: “If the legitimacy of the faculty of premonition is established, it will
mark a new era of the dominion of the human mind, perhaps with more clarity than any other of the discoveries recognized by science today." (chapter V). Dr. Rhine also proved that the faculty of premonition or precognition could be demonstrated by the calculations of probability, using the Zener cards as well.
Seemingly the person with the premonition is an incarnated soul or it could also be a disincarnated soul manifesting through a medium, or though dreams or intuition.
There are no plausible explanations for this phenomenon. Even though in spiritism we cannot accept the fact that the future is already written, the concept alone would destroy our individual freedom of choice. Also, the fact we do not understand how things happen, does not mean that the same cannot respond to one of the natural laws, the problem lies in the lack of knowledge on our part.
Hence, the three animic perceptions: telepathy, clairvoyance and premonitions can help us establish the existence of the spirit, since these possibilities can only be attained through the spirit and not solely by the mind or body.
Allan Kardec studied these animic phenomena, his findings can be found in *The Spirits' Book*, Ch VIII of Part II and in the items 522-524; also, in *The
Mediums’ Book\textsuperscript{15} item 184; in \textit{The Genesis}\textsuperscript{4}, chapter XV, items 5-9 and finally in his Posthumous Works\textsuperscript{19}, first part, Manifestations of the Spirits, sections referring to double sight and the telegraphy of the mind (now known as telepathy).
Kardec asks and receives an answer in \textit{The Mediums’ Book}, chapter XXV, item 285.58:
\begin{quote}
Can two persons evoking each other simultaneously transmit their thought and communicate? Yes, and this human telegraphy will someday be a universal means of communication.\textsuperscript{15}
\end{quote}
This means telepathy as a means of communication, but in a humanity much more advanced than ours.
- NDE is the acronym for Near Death Experiences. These are cases of people that have nearly died but are medically revived. Upon recuperation these patients explain their experience in ways that lead us to believe in the existence of the soul and the immortality of the spirit. There are many numerous reports of these occurrences. Beginning with those published in 1975 by Dr. Raymond Moody, Jr. (born on 1944) in his famous work \textit{Life after Life} (\textit{Vida después de la vida})\textsuperscript{26}, to the works of Dr. José Miguel Gaona \textit{On the far side of the Tunnel} (\textit{Al otro lado del túnel})\textsuperscript{27}, published in 2012, and \textit{The Limit} (\textit{El Límite})\textsuperscript{28}
published in 2015. Dr. Elisabeth Kubler-Ross was another pioneer investigator of the NDE experiences, who accompanied thousands of dying patients during the moment of their deaths and registered a high number of NDE’s.
In December 15, 2001 the prestigious medical journal *The Lancet* included an article by the famous Dutch cardiologist Dr. Pim Van Lommel (born 1943) titled *Near Death experience in survivors of cardiac arrest: a prospective study in the Netherlands*[^29], available in: DOI: https://doi.org/10.1016/s0140-6736(01)07100-8.
There are many serious investigations for this topic of transcendence that could prove the existence of and the immortality of the spirit. Which premises would lead us to that conclusion?
1. The patient feels has an out of body experience and can clearly see the body from a distance.
2. The patient can see many details of what is going on in the clinical room, the doctors and nurses working around the body, while the spirit is watching from a distance.
3. The patient feels in peace and serenity, without fear of death.
4. The patient is conscious of its own death.
5. In many cases they experience the sensation of
going through a tunnel with a bright light at the end.
6. In many instances people have reported reuniting with deceased family members or friends.
7. Some people see a large entity of light.
8. Some report a retrospective view of their lives.
9. No feelings of judgement.
10. They consciously return to the body; some of them against their wishes.
All these sensations and experiences in many instances happen without the patient perceiving them through his physical senses. The patients are under anesthesia at the time they enter the surgery ward, the spirit is the only one that can hear and see what is happening in there. It is the spirit the one that can register in detail everything that takes place during the surgery proceedings. It is the spirit the one who can see the disincarnated family members and remembers events of its present life. It is the spirit who feels the effects of returning to the body at times unwillingly.
A well-documented and analyzed NDE recount is an excellent recourse to prove the existence of the soul (since it is an out of body experience) and to
prove the immortality of the soul (because it reunites with deceased family members and friends).
Pamela Reynolds’ case (1956-2010) challenges most of the objections that are made regarding NDE. The case can be found at:
http://www.nderf.org/Spanish/pam_reynolds_spanish.htm.
There is a more detailed description in the book Consciousness Beyond Life by Dr. Pim Van Lommel.
**DID YOU KNOW?**
There is a very curious and funny case in Dr. Pim Van Lommel’s book. It tells of a nurse that was caring for a patient that had entered a coma and was put on a respirator. The patient had his dentures removed to connect him to the respirator.
After a week in a coma the patient recovered. When he was taken to a new room he saw the nurse and asked her for his dentures. He had seen everything from the out of body experience! The nurse was astonished.
The Freethinking Collection: Spiritism for the 21st Century
Unfortunately, and despite all the contributions mentioned above, we still do not have the definitive proof about the existence of the soul and its immortality. However, based on those scientific and spiritist contributions, this reality could be accepted and therefore we can consider what consequences this reality would have - or rather, will have - on human society, when it is already a proven fact and widely accepted.
It is certainly not something that has to happen suddenly. We would be naive if we think that these contributions are going to produce sudden changes in the perception that most humans have of what Life
is all about. However, we cannot doubt that this will happen when humanity is intellectually and morally mature. Let us look at some examples of these possible consequences.
5.1 Philosophical consequences.
*In what way can Spiritism contribute to progress?*
By destroying materialism – one of the sores of society – it enables people to comprehend where their true interests lie.\(^1\) (item 799)
This text, so forceful and direct, deserves some comments:
- Evidently spiritism, which is a reincarnationist, non-dogmatic, rational, and progressive spiritualism, contributes, and will contribute, to the progress of humanity.
- The materialist thesis is neutralized and surpassed by the spiritist contribution: a positively moralistic, optimistic, philosophy that respects the evolutionary process of each soul (each one has its own evolutionary rhythm).
- What materialism offers us is nothingness after death. This is not exactly synonymous with hope or with social and moral justice. However, as Kardec
very well points out (The Mediums’ Book, part one, chapter III, item 21), when he breaks down the materialists into different classifications:
The second class of materialists, which is much more numerous than the first class, since materialism is an unnatural sentiment, includes those who are such out of indifference and, we might add, out of a lack of something better. These have not deliberately chosen materialism and their greatest desire is to believe, for they are tormented by uncertainty. They feel a vague aspiration about the future, but this future has been presented to them in a light that their reason cannot accept; hence their doubt, and therefore, disbelief. For them, disbelief is not based on any kind of theory. As soon as you present them with something rational, they will eagerly accept it. They are capable of understanding us, since they are closer to us than they might suppose.\(^{14}\)
In view of this consideration of Kardec, there would be fewer real materialists than it seems. This would be corroborated -at least in part- because many of the people who consider themselves materialists would not underestimate, in any way, neither goodness, nor reason, nor emotion, nor honor, nor social justice ... It would seem doubtful that there are pure materialists who might be indifferent to those aspects mentioned before.
- The spiritist philosophy helps us understand where our true goal lies: to live this physical life intensely and with dignity, learning what it can offer us in all areas: material, cultural, ethical, and spiritual.
5.2 Moral consequences
However, we cannot ignore that the influence of spiritist philosophy today is still small. Despite this, the knowledge that spiritism contributes, especially regarding the immortality of the soul, could well influence human culture, albeit in the long run and in an apparently inconspicuous way. For example:
1. Facts regarding reincarnation, competently studied today by non-spiritist psychologists and psychiatrists. Without a doubt the full acceptance of reincarnation must lead to positive moral changes.
2. Contacts with deceased relatives that occur in mediumistic communications and that are corroborated by the Near-death Experiences and the appearances of disembodied spirits.\(^{32}\) Those contacts confirm the existence and survival of the soul, which should lead us to improve our attitude towards Life.
3. Giving dignity to the experience of human existence. This leads us to a better understanding of our need to live life intensely and correctly
in the material world. And that will eventually translate into a moral betterment of humanity.
4. The plurality of inhabited worlds, accepted by many although still without scientific proof, shows us that we are not a special or unique creation.
5. And, as consequence, humanity will have to accept the presence and action of the Supreme Intelligence, the First Cause of all things.
The understanding that we are immortal souls immersed in the path of Continuous Progress, will eventually improve the Moral Landscape of this planet.
**DID YOU KNOW?**
The existence and immortality of the soul are subjects beautifully represented in the Art World: (picture) *Apparitions médiuminiques*. This is the title of a painting by the French painter James Jacques Tissot (1836-1902). In a meeting with the medium William Eglinton in 1885, two spirits materialized. In the female figure, the painter recognized the woman with whom he had lived for several years. Then he painted this picture.
It should be noted that the medium Eglinton had some cases in which he was accused of fraud. However, despite this (we do not have enough evidence to be able to affirm or deny it), we will keep admiring the beauty of his work.
Information about this painting can be found in the aforementioned *History of Spiritism*, by Arthur Conan Doyle and in *James Tissot y el más allá*, available in: https://caocultura.com/james-tissot-mas-alla/ (accessed 08/18/2020)
Second, the reading of this poem by the great Nicaraguan poet Rubén Darío (1867-1916), entitled *Lo fatal*, leads us to share the anguish of what the uncertainty of the future holds, to many souls who ignore the reality of life after death (highlights are ours):
*Blessed is the tree that is hardly sensitive,*
*and even more so the stone because it no longer feels,*
*there is no pain than the pain of being alive,*
*nor greater sorrow than that of conscious life.*
*To be, and to know nothing, and to be aimlessly,*
*afraid of having existed and a future terror …*
*And the sure terror of being dead tomorrow,*
*and ail for life and for its shadow and for*
what we do not know and hardly suspect,
and the flesh that tempts with its fresh bunches,
and the grave that awaits with its funeral bouquets,
And not knowing where we are going,
or where we come from! ...
Spiritism, by correctly arguing the immortality of
the soul, helps us to overcome those ancient fears.
It offers us elements for reflection with which
we can see more clearly where we are going and
where we come from!
READINGS REFERENCES:
1. Three basic books:
AIZPÚRUA, Jon. *Los Fundamentos del Espiritismo*. Barcelona, Biblioteca de Estudios Espiritas, 2020.
DENIS, Léon. *Después de la muerte*. Buenos Aires, KIER, 1976.
KARDEC, Allan. *El Libro de los Espíritus*. Buenos Aires, Editorial Argentina “18 de abril”, 1970.
2. Three books for further studies:
MOSS, Thelma. *Las probabilidades de lo imposible*. Barcelona, Luis de Caralt, 1976.
RHINE, Joseph B. *El nuevo mundo de la mente*. Barcelona, Ediciones Paidos, 1982.
Van LOMMEL, Pim. *Consciencia más allá de la vida*. Girona, Atalanta, 2013.
INTERESTING WEBSITES
http://survivalafterdeath.blogspot.com/
https://psi-encyclopedia.spr.ac.uk/
https://www.nderf.org/Spanish/
1. KARDEC, Allan. *El Libro de los Espíritus*. Buenos Aires, Editorial Argentina “18 de abril”, 1970.
2. RÉGIS, Jaci. *Introducción a la Doctrina Kardecista*. Caracas, Ediciones Cima, 1998.
3. DENIS, Léon. *Después de la muerte*. Buenos Aires, Editorial Kier, 1976.
4. KARDEC, Allan. *La Génesis*. Buenos Aires, Confederación Espiritista Argentina, 2017.
5. KARDEC, Allan. *¿Qué es el Espiritismo?*. Buenos Aires, Editorial Argentina “18 de abril”, 1976.
6. BONNEMÈRE, Eugène. *El Alma y sus manifestaciones a través de la historia*. Barcelona, Editorial Maucci, sin fecha.
7. SERÉS, Guillermo. *Historia del alma*. Barcelona, Galaxia Gutenberg, 2019.
8. CICERÓN, Marco Tulio. *De la vejez / De la amistad*. Arganda del Rey, EDIMAT Libros, 2007.
9. AIZPÚRUA, Jon. *Los fundamentos del Espiritismo*. Barcelona, Biblioteca de Estudios Espiritas, 2020.
10. PIRES, José Herculano. *Parapsicologia hoje a amanhã*. São Paulo, Edicel, 1987.
11. DELANNE, Gabriel. *El Espiritismo ante la Ciencia*. Barcelona, Editorial Maucci, sin fecha.
12. RÉGIS, Jaci. *Doctrina Kardecista, Modelo Conceptual*. Santos, ICKS, 2008.
13. CIAMPONI, Durval. *A Evolução do Princípio Inteligente*. Edições FEESP, São Paulo, 1999.
14. CIAMPONI, Durval. *Periespírito e Corpo Mental*. Edições FEESP, São Paulo, 1999.
15. KARDEC, Allan. *El Libro de los Médiums*. Brasilia, Edición del Consejo Espírita Internacional, 2011.
16. KARDEC, Allan. *Revue Spirite 1866*. Disponible: http://www.leon-denis.org/rs1866/ (consultado el 20/08/2020)
17. LODGE, Oliver. *Por qué creo en la inmortalidad personal*. Caracas, Ediciones Cima, 1995.
18. LODGE, Oliver. *Raymond, o la vida y la muerte*. Madrid, M. Aguilar, sin fecha.
19. KARDEC, Allan. *Obras Póstumas*. Buenos Aires, Editorial Kier, 1976.
20. DOYLE, Arthur Conan. *Historia del Espiritismo*. Madrid, Editorial Eyras, 1983.
21. DENIS, Léon. *En lo Invisible*. Barcelona, Edicomunicación, 1987.
22. RHINE, Joseph B. *El alcance de la mente*. Buenos Aires, Editorial Paidós, 1977.
23. RICHET, Charles. *El Porvenir y la Premonición*. Barcelona, Casa Editorial Araluce, 1932.
24. FLAMMARION, Camille. *La Muerte y su misterio*, volumen I. Madrid, M. Aguilar, sin fecha.
25. ROBERTSON, Morgan. *El hundimiento del Titán*. Madrid, Nórdica Libros, 2012.
26. MOODY, Raymond. *Vida después de la vida*. Madrid, Edaf, 1977.
27. GAONA, José Miguel. *Al otro lado del túnel*. Madrid, La esfera de los Libros, 2012.
28. GAONA, José Miguel. *El Límite*. Madrid, La esfera de los Libros, 2015.
29. Van LOMMEL, Pim; Van Wees, Ruud; Meyers, Vicent; Elfferich, Ingrid. *Near-death experience in survivors of cardiac arrest: a prospective study in the Netherlands*. The Lancet. Volume 358, ISSUE 9298, P2039-2045, December 15, 2001. DOI: https://doi.org/10.1016/S0140-6736(01)07100-8 (consultado el 17/08/2020)
30. Near-Death Experience Research Foundation. *La ECM de Pam Reynolds*. Disponible: http://www.nderf.org/spanish/pam_reynolds_spanish.htm (consultado el 18/08/2020)
31. Van LOMMEL, Pim. *Consciencia más allá de la vida*. Girona, Atalanta, 2013.
32. PASTOR, Lluis. *Comunicación entre muertos y vivos*. Archidona, Editorial Odeón, 2019.
33. Durán, Gonzalo. *James Tissot y el mas allá*. CaoCultura; 27 sep, 2018. Disponible https://caocultura.com/james-tissot-mas-allá/ (consultado el 18/08/2020)
34. DARÍO, Rubén. *Cantos De vida y esperanza*. http://www.cervantesvirtual.com/obra-visor/cantos-de-vida-y-esperanza/html/fee156ea-82b1-11df-acc7-002185ce6064_2.html#I_62_ (consultado el 19/08/2020).
ABOUT THE AUTHOR
David Santamaria
Chemical Engineer
Bachelor of Psychology
Founding member and current vice president of the Center Barcelonès de Cultura Espiritu-CBCE.
Member of the Drafting Team of the CBCE quarterly Bulletin: Flama Espiritu. He also collaborates in the Spiritist Culture Magazine Evolución.
He has participated, as a lecturer, in various events.
About the book
Format: 11,5 cm x 16 cm
Typology: Segoe UI - 11/14
THE FREETHINKING COLLECTION: SPIRITISM FOR THE 21ST CENTURY
Series 1 - Fundamental Themes
Book 1 - Spiritism in the lay and free thinker perspective
Book 2 - The Immortality of the Soul
Book 3 - Mediumship: exchange between two worlds
Book 4 - Reflections on the idea of God
Book 5 - Reincarnation: a revolutionary existential paradigm
Book 6 - The evolution of spirits, matter, and worlds
Book 7 - Spiritism, ethics, and morals
Book 8 - Allan Kardec: the founder of spiritism
|
Protocol for participative deep renovation design and user motivation
This project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 723829
Protocol for participative deep renovation design and user motivation | D3.5
Foreword
Despite the low energy performances of the European building stock, the yearly renovation rate and the choice to perform a building deep renovation is strongly affected by uncertainties in terms of costs and benefits in the life cycle.
The project 4RinEU faces these challenges, offering technology solutions and strategies to encourage the existing building stock transformation, fostering the use of renewable energies, and providing reliable business models to support a deep renovation.
4RinEU project minimizes failures in design and implementation, manages different stages of the deep renovation process - from the preliminary audit up to the end-of-life - and provides information on energy, comfort, users’ impact, and investment performance.
The 4RinEU deep renovation strategy is based on 3 pillars:
- **technologies** - driven by robustness - to decrease net primary energy use (60 to 70% compared to pre-renovation), allowing a reduction of life cycle costs over 30 years (15% compared to a typical renovation);
- **methodologies** - driven by usability - to support the design and implementation of the technologies, encouraging all stakeholders’ involvement and ensuring the reduction of the renovation time;
- **business models** - driven by reliability - to enhance the level of confidence of deep renovation investors, increasing the EU building stock transformation rate.
4RinEU technologies, tools and procedures are expected to generate significant impacts: energy savings, reduction of renovation time, improvement of occupants IEQ conditions, optimization of RES use, acceleration of EU residential building renovation rate. This will bring a revitalization of the EU construction sectors, making renovation easier, quicker and more sustainable.
4RinEU is a project funded by the European Commission under the Horizon 2020 Programme and runs for four years from 2016 to 2020.
The 4RinEU consortium is pleased to present this report which is one of the public deliverables from the project work.
Principal Authors
Kari Thunshelle (SINTEF)
Karine Denizou (SINTEF)
Åshild Hauge (SINTEF)
Judith Thomsen (SINTEF)
Contributors
Wim Bakker, Judith Tillie (Woonzorg), Chiel Boonstra (Trecodome), Jordi Pascual Pellicer (AIGUASOL), Vera Lukina, Espen Foss Johansen (Boligbygg)
Acknowledgements
We are grateful to all informants providing valuable information about challenges with renovation in the focus groups interviews.
Document details
Deliverable No: D3.5
Dissemination level: Public
Work Package: WP3
Lead beneficiary: SINTEF
Date of publication: 03/10/2018
Version: 1.0
Project information
Title: Robust and Reliable technology concepts and business models for triggering deep Renovation and residential Buildings in EU (4RinEU)
EC Grant Agreement Number: No 723829
Duration: October 2016 until September 2020 (48 months)
Coordinator: EURAC (IT)
Project Partners: SINTEF (NO), ADERMA (IT), TRECODOME (NL), AIGUASOL (ES), G&M (DE), THERMICS (IT), IES (UK), ACCIONA (ES), BOLIGBYGG (NO), WOONZORG (NL), AHC (ES), R2M (IT).
Disclaimer
The sole responsibility for the content of this publication lies only with the authors. It does not necessarily reflect the opinion of the European Union. Neither EASME nor the European Commission is not responsible for any use that may be made of the information contained therein.
# 1 Table of contents
## Contents
Foreword .................................................................................................................. 3
1 Table of contents .................................................................................................. 5
2 Scope and research aim ....................................................................................... 10
2.1 Scope ........................................................................................................... 10
2.2 Delimitation ................................................................................................. 10
2.3 Demo cases included in the study ................................................................. 10
3 Method .................................................................................................................. 12
3.1 Literature study ............................................................................................ 12
3.2 Expert interviews .......................................................................................... 12
3.3 Focus group interviews ................................................................................ 13
3.3.1 Interview guide ..................................................................................... 14
3.3.2 Focus group interviews ......................................................................... 14
3.4 Timeline ....................................................................................................... 15
4 Results of literature study .................................................................................... 16
4.1 The meaning of renovation for the residents .............................................. 16
4.1.1 Housing and quality of life .................................................................... 16
4.1.2 Resident participation in renovation processes ..................................... 17
4.2 The drivers and barriers for renovation ....................................................... 18
4.2.1 Renovation of cooperatives and single houses ..................................... 18
4.2.2 Barriers and drivers for sustainable building in general ....................... 19
4.3 Building process and procurement .............................................................. 21
4.3.1 Procurement .......................................................................................... 21
4.3.2 Green procurement ............................................................................... 22
5 Results Focus group interviews .......................................................................... 24
5.1 Norway ........................................................................................................ 24
5.1.1 Background: Social housing in Norway ................................................ 24
5.1.2 Identified roles included in the focus group ......................................... 24
5.1.3 The residents ......................................................................................... 25
5.1.4 Attitudes to renovation ................................................................. 25
5.1.5 Drivers .................................................................................. 26
5.1.6 Barriers to renovation .............................................................. 28
5.1.7 Use of innovative technology .................................................. 30
5.1.8 Success stories ....................................................................... 30
5.2 The Netherlands ........................................................................... 32
5.2.1 Background ........................................................................... 32
5.2.2 Identified roles in focus group ............................................... 33
5.2.3 The roles in the renovation phase .......................................... 33
5.2.4 The residents ........................................................................ 34
5.2.5 Drivers .................................................................................. 34
5.2.6 Barriers ................................................................................ 35
5.2.7 Time aspect ......................................................................... 36
5.2.8 Finances .............................................................................. 37
5.2.9 Use of innovative technology ............................................... 37
5.2.10 Success stories – What are you good at? ......................... 37
5.3 Spain ............................................................................................. 38
5.3.1 Background .......................................................................... 38
5.3.2 Identified roles in focus group ............................................. 39
5.3.3 Tenants ................................................................................ 39
5.3.4 Drivers ................................................................................ 40
5.3.5 Barriers .............................................................................. 42
5.3.6 Use of innovative technology ............................................. 45
5.3.7 Success stories .................................................................... 45
6 Discussion and conclusions ............................................................... 47
6.1 Drivers and barriers ..................................................................... 47
6.1.1 Organizational and individual level .................................... 47
6.1.2 Communication ................................................................... 48
6.1.3 Media and press coverage ................................................ 48
6.1.4 Technical standard ............................................................ 48
6.1.5 Financing .......................................................................... 49
6.1.6 Competence ...................................................................... 50
6.1.7 Pilot projects, EU-projects, success stories ..................... 50
6.1.8 Use of innovative technology ............................................ 50
6.1.9 Team building in the building process ............................. 50
6.2 Recommendations to stakeholders ................................................................. 51
6.3 Recommendations to politicians and authorities ........................................... 55
7 References ............................................................................................................. 56
Appendix .................................................................................................................. 58
A. Identifications of roles .................................................................................... 58
B. Focus group interview guide .......................................................................... 60
Focus group interview guide in Italian .......................................................... 63
Focus group interview guide in Norwegian .................................................. 66
Focus group interview in Catalan as used in Spanish case ......................... 69
Executive Summary
Purpose
The purpose of this study has been to identify barriers to renovation of public-owned social housing and develop guidance to help lower these barriers. The focus in this report is not the technical barriers, but the organizational and societal barriers. The aim is further to increase the stakeholders' motivation for deep renovation of public-owned social housing. To achieve this goal, it has been central to identify roles, needs and interests of owners, tenants and public authority.
Methods
The study is based on the demo cases in the 4RinEU project, which are all public-owned residential buildings for social housing. The findings are based on:
- Literature study on the meaning of renovation for residents, and barriers towards renovation.
- Interviews of renovation experts in the demo-case organizations.
- Focus group interviews in three of the participating countries/organizations. The interviews were not only about the demo cases, but also about the participants' experiences with renovation projects in their organization in general.
Findings and guidance
The study has identified barriers for renovation in public-owned social housing related to type of residents, technical standard, financing, competence and strategies.
Based on the three case studies of organizations providing housing for disadvantaged groups, the following advice can be given on how to lower barriers and increase stakeholders' motivation for deep renovation:
RECOMMENDATIONS FOR PUBLIC HOUSING PROVIDERS:
- Consider the renovation process as means to increase the residents' well-being and commitment to the dwelling. There can never be enough information about the process for the residents. Formalize the information process towards the residents, to avoid the dependence on enthusiasts in the organization.
- Technical standard should be adapted to the residents' skills. Go for robust technology that works regardless of the skills of the residents. Advanced technology must be placed in looked technical rooms.
- Visualize energy savings as savings for the municipality in total, despite different departments and budgets. This strengthens energy savings as a driver for renovation.
To build competence in the organization, join research projects and aim for pilot projects.
Plan with a sustainable communication strategy towards the residents. Use the media; positive media attention may be used to empower the stakeholders and workers in the project.
**RECOMMENDATIONS TO POLITICIANS/AUTHORITIES ON FINANCING:**
- Passive house, nZEBs or positive energy house level is not always within reachable limit for public housing organizations. There are other aspects more important to vulnerable residents than energy ambitions. For example, the quality of the outdoor areas around the blocks is significant to increase the resident’s well-being. This type of renovation is not favoured in subsidies for energy efficient buildings. Financing subsidies for *social sustainability* qualities should be aimed for.
2 Scope and research aim
2.1 Scope
The aim of this work has been to
1) identify barriers to renovation of public-owned social housing, and
2) to develop a guidance to help lower barriers to deep renovation and increase the stakeholders’ motivation for deep renovation in different EU geo-clusters.
The focus are not the technical barriers, but mainly the organizational and societal barriers. Many of the findings may be generalized also to renovation of other types of housing.
The study is based on the organizations that owns the demo cases in the 4RinEU project, which are all public-owned residential buildings for social housing. The overall goal of the 4RinEU project is to achieve a successful and efficient implementation of deep renovation solutions, and to increase the renovation rate of this kind of buildings.
2.2 Delimitation
Delimitation of the scope of the study is necessary. It is tempting to include all kinds of apartment buildings and single-family houses, as the renovation potential is large. However, the decision-making process and the financial mechanisms are very different according to type and ownership, residents and building.
The focus of this study has been on *public-owned social housing*, but we have also been looking for similarities/generalization to privately owned apartments. Single-family houses have not been a part of the scope, since the decision-making processes and financing are very different.
The findings may therefore also be relevant to other types of housing, like privately owned apartments in residential multifamily buildings, and co(operative)-ownership (common in Norway) where decisions on renovation are taken on a basis of 2/3 majority during the annual general meeting.
2.3 Demo cases included in the study
The three organizations and demo-cases included in the study are:
1. Boligbygg (BBY), Norway. Renovation of two-storey housing for single people with special needs.
2. Wohnzoorg Netherland (WZN). Renovation of a residential building for independent elderly people consisting of four floors.
3. AHC, Spain. Renovation of apartment buildings for families with difficulties (social housing for families)
To support the study, SINTEF in Norway, Trecodome in Netherlands and Aiguasol in Spain have been involved throughout the process and in the further analyses.
It is important to notice that the findings in this study are not based only on experiences with the 4RinEU demo-cases, but also exploit experiences with renovation in general in the above listed organizations.
3 Method
3.1 Literature study
All the demo-cases in the project are public buildings with tenants, meant for social housing. The people who live there are less advantaged groups (elderly people or people with socio economic difficulties).
We searched for literature to support our studies, with the aim of comparing our results and maybe state differences or possible generalisation. The literature was used to strengthen advice and generalize the findings to private housing as well, beyond public-owned buildings.
This part was carried out in the analysis phase, after the summing up of the interviews. Literature study reports the results and the approach from similar studies/analyses.
3.2 Expert interviews
In the introductory phase of this study, expert interviews were used (Bogner et al 2009), i.e. interviews with persons in a central position in the organisation, with a responsibility to plan and oversee renovation and good overview of the situation. Expert interviews have been used for many years in social sciences, especially in the initial/exploring phase of a research project, to effectively gain an overview of the situation, the challenges and the roles involved. A problematic side with this kind of interviews is that it will be a risk to only get the point of view from the "elite". Following up with interviews of the users will however correct the picture (Bogner et al 2009). Expert interviews were used in this study for two reasons: to get a first impression of the situation and identify roles involved in a renovation process; then, to get an insight in the owner’s perspective and challenges.
To lower the barriers and increase motivation for successful renovation, we needed to identify the different roles in a renovation process. Who is involved in the decision-making process, who will be affected by the renovation, and who influences the process? Owners of the building, tenants and public authorities are obvious participants. To understand the decision-making process, it was necessary to identify their roles, the context, and influence from other parties.
Prior to the focus group interviews, we interviewed the building owners. This was done mainly in the Norwegian case organization, and the answers were used also to plan the focus group interviews in the other demo-case organizations.
The main questions were:
Who influences the decision-making process in their organization (need for renovation, size of renovation, number of projects, ambitions, technical choices etc)?
Who represents the users/tenant’s interests?
Which regulatory or granting authorities influence the possibility/ambitions for renovation?
The roles for the demo-case were identified, and their influence and interactions discussed. Identified roles were grouped according to main interests mentioned above, see appendix A.
The different roles were evaluated (by building owners, SINTEF, AIGUASOL, Trecodome), and the most relevant ones identified as suitable participants in a focus group interview.
The selection was based on following criteria:
- Topics to be addressed, according to the interview guide
- Roles relevance and suitability for the topics
- Dynamic of the focus group, with possible different views brought to the discussion, representing several interests
- Level of discussion – will the representatives discuss at the same level of details? Will the presence of one representative hinder other participants to present their point of view?
- The size of the group should be maximum 8-10 persons
- If smaller groups were needed to obtain good discussions, the interviewees could be divided in two groups.
For each of the relevant roles, qualified representatives were identified and invited to the focus group interview. The list of roles identified for each country is included in appendix A. The involved people were identified by name in each country but are identified solely by role in this report.
The Norwegian case was analysed prior to the other demo-cases. The Dutch case had a similar structure of roles, and only adjustments were necessary to fit local conditions. The main difference was the type of users, in the Dutch case elderly people with nursing needs. However, during the study and writing of this report, the Dutch case study changed to a demo-case with self-sufficient elderly people. The Spanish organization model is a bit different from the Norwegian and the Dutch case organizations, and some adjustments to what stakeholders to include in the focus groups interview were necessary. Also, the Spanish demo-case was replaced during the barriers study, however, in this case the type was the same.
3.3 Focus group interviews
The focus group interview method is well-suited for exploring attitudes and arguments (Morgan, 1997). As for any collection of personal based information, ethical issues were considered. Identification of people was only done for practical
reasons and related to invitation etc, and results were reported by roles. No health-related topics were addressed, and all notes were handled confidentially. The sessions were recorded, but recordings were available only to interviewers, and safely destroyed after reporting.
3.3.1 Interview guide
Based on the scope of the study, the preliminary interviews with the building owners in each country and identification of issues to address from other parts of the project, SINTEF developed an interview guide grouped by the themes listed below:
- Barriers (Economics, budget, funding, payback, rent, savings, influence on users, technical barriers and use of innovative technology, social barriers)
- Drivers (improved indoor air quality, energy and time savings, costs for rig up)
- User (Who they are, do they have special needs, how to inform them and ensure the right use of new technology)
- Decision process/actors involved/different stages
- Measures
- Best practice examples
- National competence level (mapping).
The work was coordinated especially with the needs of 4RinEU WP4 (Business Model) task 4.5 (Financing deep renovation) and task WP5 (Local Demo Case). Important issues were identified also for WP2 Deep Renovation Technologies, WP3 Deep Renovation Packages and services, WP6 Path to Market and WP7 Dissemination and Communication.
The interview guide is included in appendix B. The interview guide was developed for Norway, and then translated to English. Later, the involved partners in Netherlands and Spain have translated the interview guide to local languages and adjusted to local conditions if needed.
It is important to stress that this has been a qualitative study, and the discussions occurring during the interview were important. Focus group interviews often generate constructive and complementary discussions. The fact that the participants listen to each other and then get new thoughts and associations that would not occur in a single interview, is favourable. The dialogue is important to develop innovative knowledge (Kitzinger, 1995).
3.3.2 Focus group interviews
The focus group interviews were performed during summer 2017 in Norway, the Netherlands and Spain. In the Netherlands this took more the form of an expert interview, due to the smaller number of participants. The identified and qualified representatives described in 2.2 were invited to participate in the focus group interview for each of the three countries.
The groups consisted of 8-10 persons, the form of the interview and the number of participants varied. The interviews were led by 1-2 interviewees and a secretary.
Further instructions, like the agenda for the meeting, how the participants were moderated and guidance for the interviewers on how to engage all participants and ensure a broad panel of answers were provided to the organizers of the sessions.
The results of the focus group interviews were reported as independent descriptions of decision processes, barriers and possibilities in each of the demo-case organizations.
3.4 Timeline
The development of the study and the report was done according to this timeline:
1) Expert interviews and focus group interviews spring/summer 2017
2) Analyses of findings autumn 2017/winter 2018.
3) Supplementing literature review winter 2017/spring 2018.
4) Development of guidance spring 2018.
5) Final deliverable October 2018.
4 Results of literature study
4.1 The meaning of renovation for the residents
4.1.1 Housing and quality of life
In her review of the connection between housing and public health, Shaw (2004) demonstrates how housing is an important determinant for public health. Investment in housing and neighbourhood qualities are therefore important for health and quality of life. Even if a house affects health directly through e.g. cold or lack of ventilation, the meaning of housing is context dependent. External threats like noise or burglary may change potential positive experiences of a dwelling. The meaning of a home is also individual, and some people do not experience home as a safe place. Shaw (2004) has developed a model that categorizes the various levels of how housing affect people’s health through how it affects their life quality. The influence is both direct and indirect, both on individual level and on neighborhood level (see figure 1).
Figure 1. Model of direct ("hard") and indirect ("soft") levels of how housing relates to public health. Shaw (2004, s. 398).
The direct ("hard") factors are typically draft and moisture that may lead to sickness and poor health. The indirect levels ("soft") are how we are influenced through meanings and associations connected to housing, for example how neighborhood signalizes socio economic status, or the feeling of having a real home. These aspects typically influence quality of life and may be one of many factors contributing to low self-esteem and depression.
The case studies in 4RinEU are for disadvantaged groups in need of help to find a place to live, and in need of housing services. Especially for this group, unable to choose where to live, housing is important for quality of life. Technical and aesthetic standards influence quality of life both directly and indirectly (Shaw, 2004). Housing and environments release connecting thoughts/associations we use when trying to understand the world around us. Residents may be judged based on visible signs that are interpreted as resident information by outsiders (Gullestad, 2002). Neighbourhoods are important to lifestyle and identity of those who live in them. Gram-Hanssen & Beck-Danielsen (2004) have shown how people associate specific residential neighbourhoods with different symbolic life values.
Ortiz & Salom (2017) studied the impact of the energy retrofit of households in the residential health in Spain. They found that an overall energy retrofit of 1.5 million of buildings built in 60-80s, would make it possible to prevent 100,000 people with poor or very bad health, and 120,000 people with cardiovascular diseases. In addition, the households could save around 400-550 € per year in energy costs, reducing by a half the total energy costs of the household. The public administration could save around 370 € per house in health services costs (150 €/house) and labor costs (220 €/house).
4.1.2 Resident participation in renovation processes
Renovation of housing for disadvantaged groups is especially meaningful because this user group is often unable to move or to choose their dwelling. Renovation is therefore a perfect opportunity to influence their quality of life positively. A renovation process with residential participation also influences the social environment and create sense of community and inclusion among the residents (Hauge & Støa, 2009; Hauge, 2009). A criterion for success seems not necessarily to be the degree of involvement in the decision-making process, but rather the leaders’ (initiators and planners) respect for the needs of the residents, the level of information provided and the follow-up (Hauge & al., 2012a).
SINTEF Building and Infrastructure was involved in a large research project on renovation of blocks of flats from 2009-2013, called REBO. One of the case studies in REBO (Kjølle & al, 2012) involved two blocks of flats with municipal apartments for substance abusers, where the residents participated in the planning of the housing renovation. The residents were pleased with the results, experienced improved quality of life, and had a feeling of ownership towards their block of flats. The renovation processes and architectural changes affected their social status and pride positively. The leaders were enthusiastic and guided the renovation process in close contact with the residents and with good routines for information and followup. The case studies show that involving the residents in the ongoing renovation activities is a way to develop a strong feeling of ownership towards the project. The "worst" of the housing cases was lifted in the eyes of the residents, the project leader, the social and health professionals, and the city administration. Before the renovation, nobody wanted to live there. After the renovation, there were waiting lists. People walking by saw the changes and asked the renovation project leader "who is living there now"? (Hauge et al, 2012a).
In Spain, the research project Prohabit (see http://www.prohabit.org/en) have detected some recent successful experiences on deep retrofit actions at district level. These actions have been implemented to facilitate the end-user's engagement on the design and implementation processes. An online bidirectional channel was widely used for the residents and, in part thanks to that, most of them have expressed their satisfaction on the end-results of the retrofitting actions through a public survey process. The aim of the ongoing project is to analyse the impact that urban transformations have had on the inhabitants of chosen cities, and to citizens to be able to participate in a more effective manner in decision-making processes that affect the transformation of the inhabited space.
4.2 The drivers and barriers for renovation
4.2.1 Renovation of cooperatives and single houses
Hauge et al. (2012b) did a qualitative study of barriers and drivers for renovation of housing cooperatives in blocks of flats. They found success criteria and barriers on both societal level and organizational/individual level. Factors of importance on societal level are knowledge about energy efficient renovation among relevant stakeholders in the building sector, owner structure of housing cooperatives, and existing regulations and incentives. On the organizational and individual level, time frame and organization of the process, understanding residents' needs, economy, information giving, and available exemplary projects and role models are important influencing factors. Necessary renovation is often problematic when the owners are lay people without experience from building/renovation processes, and especially when a building has many owners, like in housing cooperatives. The case studies in 4RinEU are public housing for disadvantaged groups, and not affected by the challenges of getting many owners to agree on renovation. However, many of the success factors described in Hauge et al. (2012b) can be used as a guide to create feelings of ownership towards the project among the residents. The social barriers are relevant for renovation of all types of housing. Hauge et al. (2012b, p 326) summarize important measures to obtain more sustainable renovation:
- Coordinate and harmonize regulations, incentives and other support systems for energy efficiency of buildings.
- Continue pursuing and strengthening the work to support exemplary projects (front runners pilot buildings) with high ambitions on energy efficiency.
• Introduce regularly condition reports (MOM-reports) decreed by law for housing cooperatives.
• Go through policy instruments critically to develop a detailed regulation system that gives motivation for high ambitions for sustainability, regardless of the scope of the renovation. Ambitious demands for building components may contribute in a positive way.
• Continue pursuing knowledge elevation of players in all segments.
Thomsen and Hauge (2014) did a qualitative study on barriers and drivers for sustainable renovation among single family households in Norway conducting ambitious renovation. They found that the main drivers for introducing energy efficiency measures were increased comfort and higher indoor temperature, improvements when there was a general need for maintenance, saving energy, and receiving low energy bills. The main barriers were lack of information about energy efficiency measures, lack of knowledge among players in the building sector of construction details and of technical installations, as well as the house owner’s economic possibilities, and availability of materials and products for energy upgrade. Too scarce information on energy upgrading was available. The owners had invested a lot of time in their projects. In some cases, the owners themselves had become experts on energy efficiency measures and taught the constructors how to conduct the project. These findings underline the need for upgrading skills in the construction sector, and skills among those who order the renovation projects.
4.2.2 Barriers and drivers for sustainable building in general
Häkkinen & Belloni (2011) say that sustainable building is not hindered by a lack of technologies and assessment methods but is instead affected with organizational and procedural difficulties entailed by the adoption of comprehensive approaches to building renovation considering all aspects of sustainability. They see the most important actions to promote sustainable building as development of the awareness of clients about the benefits of sustainable buildings, the development and adoption of methods for sustainable building requirements management, the utilization of sustainable building tools, the development of designers’ competence and team working, and the development of new concepts and services. To make many of these changes happen, the authorities have a certain responsibility.
In their review, Isaac et al. (2016 p 6) derive barriers on the uptake of Nearly Zero Energy Buildings in Europe from the literature. They use the following main categories of barriers, on both renovation and new buildings:
• *Technological barriers* - there is still a major lack of skills and expertise throughout the construction sector, as well as uncertainty as to how new technologies perform;
• *Economic & financial barriers* - the lack of access to affordable finance to carry out new construction meeting nearly-Zero standards is a major barrier, and higher up-front costs can also be a factor;
• Regulatory and legislative barriers - the unclear definition of NZEB and a lack of policy coherence;
• Market organization barriers - The numerous parties involved (architects, engineers, specifiers, purchasers, contractors, lenders, owners, and tenants) in building construction and operation have different and conflicting financial motivations that discourage investment in innovative energy-efficient building designs.
• Awareness and knowledge (credibility) barriers - a lack of familiarity with existing solutions by professionals is exacerbated by the lack of mainstream examples of good practice and robust data from nearly zero energy homes, which has fostered an atmosphere of confusion and misinformation.
• Institutional barriers – the construction industry is a conservative one, and the many changes in practices required for the construction of NZEBs are resisted by many in the sector.
• Social and behavioral barriers - saving energy is not simply a technical issue, but it also depends on the lifestyle of residents. These barriers are important to the energy use in homes once they have been built and occupied.
These barriers are also recognizable in the data material from the 4RinEU demo-cases.
For the Spanish market, Cuchí & de la Puerta (2016) have concluded, after a detailed analysis and a harmonization between the different regional existing backgrounds, regulations and local stakeholders, that the main barriers for the wide implementation of sustainable buildings are, in order of relevance:
• The economic status of the end-users and the required higher investment costs (4,88 out of 5)
• The awareness of the end-users (4,81 out of 5)
• The funding requirements (4,60 out of 5)
• The regulation framework (4,00 out of 5)
• The lack of new building sector products or solutions (3,88 out of 5)
• The economic status of the building sector (3,75 out of 5)
• The lack of appropriated skills of the professionals on the sector (3,63 out of 5)
• The existence of new companies adapted to the current and next future paradigms (3,50 out of 5)
• The lack of information regarding products and solutions (3,19 out of 5)
• The price increase for the housing sector (2,94 out of 5)
• The certification requirements to prove the end results (2,88 out of 5)
From there, the main drivers detected are related to the inter-institutional collaboration, cooperation and coordination, and the new financial solutions and mechanisms that are being introduced to meet the different building sector directives, to swing from a current subsidies model towards a financial one.
4.3 Building process and procurement
4.3.1 Procurement
Based on Nordic and European research in this section, we will go through findings on procurement for environmental ambitious building projects. There are differences between countries on how procurement and building processes are performed, but there might be similarities between countries when it comes to overall possibilities and challenges.
Official authorities have recently started to focus on how the environmental profile of buildings can be influenced by public procurement processes (Michaelsen et al. 2009). In relation to buildings, Eriksson & Westberg (2011) stated that environmental impact has become a new main performance aspect to measure success in building projects, among the traditional aspects of cost, time, and quality. In Norway, this is enforced by the Public Procurement Act. This law demands that all official bodies have a legal obligation to take environmental performance of products into consideration when new acquisitions are planned. The Public Procurement Act is, however, vague in its demand for pro-environmental choices. If an actor takes into consideration environmental criteria, there is no juridical constraint on giving them little or no weight (Michelsen et al., 2009:161).
According to Lædre (2005) choices in procurement routes include type of competition, type of contract model, and type of compensation format. Lædre (2005) pointed out the importance of the selection of a proper procurement route for project success. The procurement route influences the cooperation between the owner and the contractor because it decides who is responsible for the project risk. Procurement routes that public building owners can choose among depend on project investment size. For instance, when making procurements in building and construction in Norway above 40 Mill. NoK (ca. 4 Mill. €), the Norwegian Public Procurement Regulation (implemented 2007) demands owners/developers to set up a bidding competition. Below that, developers are allowed negotiated bidding, or at very low costs, direct negotiations (Lædre, 2005; Public Procurement Regulation, 2007).
Erikson & Westberg (2011) described advantages and drawbacks of different procurement routes at the design stage (p. 199). They differentiate between design processes where the owner performs detailed design work together with consultants before contractors are involved (e.g. Design-Bid-Build). Design is held separately until the plan is placed for bids. These projects have a solid basis for competitive bidding. However, mutual influence of involved parties is limited. In Design & Build projects, the contractors are chosen on early design sketches, and the contractors are responsible for the detailed solutions. The contractor has great influence on the design work and the final outcome. Another alternative in between these two extremes is a collaborative procurement procedure ("partnering") where the consultants and the owner cooperate in the development of the design (p. 199).
Collaborative procedures aim at avoiding drawbacks of too late or too early hand over of project responsibility to contractors. Based on extensive findings from
previous research, Erikson & Westberg (2011) hypothesised that "the higher the level of integration between client and contractors in the design stage, the better the project performance in terms of cost, time, quality, environmental impact, work environment, innovation" (p. 199 f). Kadefors (2002) also stated that many studies have found that partnering projects are more successful than traditional ones, however not always. The risk of ending up in quite traditional roles and relationships seems to be substantial. The mechanisms involved in establishing and maintaining trust and cooperative relations in construction projects are complex.
Lædre et al. (2006) found that public owners in Norway usually selected the same procurement route as they were in the habit of. They stuck to traditions and did not consider what procurement route suited each single project. He also stated that the Public Procurement Regulation contributes to limiting the selection of procurement procedures, as in most cases the costs of public buildings are above 40 Mill. NoK, meaning that public owners are forced to use bidding competition. Informants in three Norwegian case studies believed that negotiated biddings or directed negotiations, as would be possible in private projects, often would give "better" results. In both cases possible solutions can be discussed before contracts are signed. Despite being forced to use bidding competition, type of enterprise and contract models still give a variety of choice.
### 4.3.2 Green procurement
Lærdre’s studies (2005; et al. 2006) of procurement processes in Norway did not discuss implementation of environmental criteria. However, the findings revealed that due to public regulations and habits, it was difficult to leave known territory in this kind of processes. The question is whether the implementation of environmental criteria can be understood as unknown territory, and hence lead to challenges with integrating new criteria into processes.
Mokhlesian (2014) stated that green construction differs from conventional construction because of its underlying principles and use of environmentally-friendly materials and technologies. He has done a study on how procurers in contractor companies in Sweden adopt green projects. There was a consensus among respondents about the need for close collaboration between contractors and suppliers. Mokhlesian states that green purchasing is hindered by the lack of available, reliable knowledge about green products, materials, systems, design, correct green specifications, assessing green requirements, and the availability of green suppliers.
Häkkinen & Belloni (2011) found that resistance to new technologies is the main barrier for implementing green projects. Introducing new efficient processes, decision-making methods, tasks, actors, roles and ways of networking can help resolving this problem. The most important actions to promote sustainable building are the development of clients' awareness about the benefits of sustainable building, the development and adoption of methods for sustainable building requirements.
management, the mobilization of sustainable building tools, the development of designers’ competence and team working, and the development of new concepts and services. To make many of these changes happen, the authorities have a great responsibility, and the public organizations and companies must be role models.
Gluch et al. (2014) have studied the construction sector in Sweden and found that environmental work is becoming institutionalized as a strategic part of the companies’ business, and environmental management and activities are integrated within the companies’ work practices. They see a greater maturity and raised ambitions in companies’ environmental actions in general. Legislative pressures have become a reduced driver; instead there is increased pressure from, and need for cooperation with, a larger variety of stakeholders and across disciplines.
Michelsen et al. (2009) investigated to what degree Norwegian municipalities and counties had implemented environmental demands in their procurement processes of products and services. Their findings showed that there was a focus on green procurement in municipalities and counties in Norway. Nonetheless, the requirements from the Public Procurement Act were far from implemented in all cases, there were great differences between the municipalities. Large municipalities had significantly more established green procurement practices than small municipalities.
Hojem et al. (2014) investigated one example of a green building private procurement process in Norway. Barriers were found in the fear of extra costs, the unwillingness to surpass existing building regulations, and the lack of understanding of green building requirements of involved actors. Success factors for this project were flexibility of the procurement process and contract, as well as the possibility of learning and the implementation of changes during the process. One should not expect a straightforward process when surpassing building regulations, therefore flexibility of process and stakeholders is imperative.
5 Results Focus group interviews
5.1 Norway
5.1.1 Background: Social housing in Norway
Access to social housing
Only 5% of the Norwegian housing stock is publicly owned (SSB, 2018) and can be categorized as social housing. The Norwegian housing policy promotes ownership, which is predominant. According to the policy, social/public housing should only be a temporary solution. Public support for vulnerable groups has been given through individually directed instruments rather than provisions for subsidized housing. Public housing has been reserved for the worst off, socially as well as economically. Meeting the basic conditions for social housing is not even a guaranty to obtain municipal housing. The districts will always prioritize the applicants with the greatest needs.
The tenants are expected to plan a future residential career outside the social housing. It could be either continuing to rent or buying a home. When people are allocated a municipal dwelling, the district will encourage them to make a "Housing proposal" (boligplan) to plan their future housing career.
The Norwegian State Housing Bank
The Norwegian State Housing Bank (Husbanken) has played and still plays an important role in Norwegian housing policy. The bank has financed some 50% of all housing built after the Second World War. It has contributed to the existing quality of housing in Norway by developing standards and specifying floor space needed for functional solutions. The criteria for Husbanken financing changed in 2005, to promote sustainable development, accessibility for all, and architectural quality, as well as to allow easier access to owner occupied housing for disadvantaged groups and young people. The Husbanken has until last year subsidized the development of methods and models to achieve housing quality. The bank currently offers basic loans for new housing projects and a range of other financial instruments through the municipality or district (start-up loans, housing allowance and grants). Disadvantaged households can apply for housing allowance to be able to pay the rent, which is based on the lowest of the current level of rents.
5.1.2 Identified roles included in the focus group
External:
- Districts (administrative divisions of the town of Oslo) - allocate dwellings to users (need for dwellings, number) and provide also a user contact at the municipality.
Internal:
Boligbygg Oslo KF (BBY) is a municipal enterprise that owns, manages and lets social housing in Oslo. They administer over 11,000 homes, with more than 25,000
occupants, which makes them Norway's largest landlord. Their homes are distributed in all 15 districts in Oslo, ranging from listed buildings to completely new buildings. BBY has several departments:
- Property management (condition analysis, choice of building and priority-setting)
- Project department (how to renovate)
- Economic/legal department (finance, budget, rent, subsidy etc)
- Facility management/operation.
BBY have recently hired a climate and environmental manager for their residential buildings.
**User (representatives for the residents):**
- Customer centre (Call centre with direct contact with the users.)
- Accommodation department in the city district.
### 5.1.3 The residents
There are no residents in the focus group, but they have representatives who should convey their opinions, needs or challenges. The profile of the tenants of BBY varies a lot, but they have in common their experience of low economic resources. In the specific demo-case chosen for this project, the tenants are single, mostly men, and with special needs. Some groups are drug-users, people coming out of jail and people with one or more psychiatric diagnosis. BBY also have buildings where refugees are housed, mostly families. The tenants are not a compound group of people; e.g. young, financially disadvantaged and/or other marginalised groups. The reason for their special needs is often seen as psychosocial, behavioural or financially disadvantages, impairments, health problems or problems speaking the official language. Some people need help to find a house, while others also need services to be able to live in the house.
*The allocation of housing*
Because there are less housing opportunities than needed, housing is allocated to people in a very precarious life situation who don’t have the capacity to get housing on their own. Some of them will also need an accommodation which is adapted for wheelchair users.
### 5.1.4 Attitudes to renovation
BBY experience that attitudes to renovation vary a lot and are closely depending on the information given. According to the informants from BBY, it is important to provide enough information at an early stage. However, as BBY plans with careful disclosure of information to minimise relocations and strong emphasis on expected discomforts to ensure full awareness of residents. It happens they exaggerate the discomfort that may occur during construction (e.g. provisional bathrooms), so the residents get finally pleasantly surprised. As it is very difficult to find replacement homes, having to move many residents at the same time would lead to huge delays and at worst to postpone projects.
BBY are mapping the residents' needs before construction. When renovating bathrooms, they will install temporary bathrooms in the backyard. The first week the tenants may have to manage without water. People from BBY contact each resident. Families with children and people with medical certificates are usually offered to move temporarily.
When people are moving into renovated or new housing, BBY and the coordinators from the city district go together to inform them. The informants are though unsure if the all information is understood by the tenants.
Maintenance intervals are shorter than in private owned housing. According to the collected information, the value of the building and maintenance requirements are not a priority for tenants. Many of them feel the natural ventilation is cold and they seal the shutters. There are often many people in the dwellings and the indoor air quality is poor because the ventilation is not in use. At times, it can take as low as 6 months to require extensive maintenance in the buildings. The residents expect BBY to maintain the homes in good working order.
According to BBY, the residents are very positive to changes such as renewal of staircases and new playgrounds. The renovation of outdoor and indoor communal spaces gives them increased self-esteem. They are proud of the new measures; there are few complaints about the living environment, people are more focused on their small part.
5.1.5 Drivers
*Urgent need for renovation*
There has been a huge maintenance backlog/accumulation in public property companies in Oslo. It is a goal for the city council to close this backlog, making it a catalyst for renovation. The poor quality can turn out to be an advantage when planning for increased energy efficiency, because there will be few barriers to renovation.
*Procedures prior to renovation*
BBY now prioritise condition evaluations, to get an overview of the current state of their building stock. Based on this, they make a maintenance schedule.
BBY is not used to involve the residents directly. The mapping of their needs is based on the experience of BBY in related projects. In the demo case BBY is also aware of the needs of other users, as the employees who shall do the maintenance.
*Funding*
Green ambitions in the municipality may lead to more funding for renovation projects. The municipality of Oslo has high ambitions for their new projects and encourages the building of plus-energy buildings. BBY is one out of four different public property companies in the municipality of Oslo. The city council has identified these four companies as important stakeholders to reach the climate objectives of
the municipality. The council wishes to be a driving force for more environmentally friendly buildings and proposes therefore to allocate 72.5 million NKR (app. 7 million euros) in 2018 for energy efficiency measures in existing buildings. The measures consist of control systems, PV panels, added insulation with standard materials, and installing heat pumps among others.
According to the municipal policy, the management of the building stock should be cost-effective. Standardized solutions and common requirement specifications will ensure cost-efficient buildings with good quality at the right time, according to the city council (budget 2018).
**EPC**
BBY has tried out Energy Performance Contracting (EPC). This is a form of creative financing for capital improvement which allows funding energy upgrades from cost reductions. Under an EPC arrangement, an external organization (Energy Service Company - ESCO) implements a project to deliver energy efficiency, or a renewable energy project, and uses the stream of income from the cost savings or the renewable energy produced to repay the costs of the project (including the costs of the investment). Essentially, the ESCO will not receive its payment unless the project delivers energy savings as expected\(^1\). However, if the residents themselves have no incitement for saving energy, the profit for an ESCO might be uncertain.
**Funding and loans from the Norwegian state bank**
Husbanken's basic loan scheme aims at promoting universal design and environmentally sustainable solutions in new and existing dwellings. Most of the basic loans are given to professional stakeholders in the home construction industry. Municipalities and property-owners providing social rental housing may also use the basic loan scheme to finance their projects.
**Exemplary rehabilitations and pilot projects**
There has been a large focus in Oslo on exemplary projects. The quality level is high when the municipality of Oslo builds new projects. Such projects can be funded, and the conditions are strict and ambitious. When it comes to housing, it is more difficult to achieve features which are ambitious enough to get funding.
**Requirements**
The municipality of Oslo has common requirement specifications (FKOK). In self-initiated (and rare) total renovations with the application of full FKOK, BBY try to find a good balance between benefits and costs. "Good enough" and not too high ambitions may have been the key to reach their goals in many earlier renovation projects.
The building code with regulations (TEK10 or TEK17) not always applies – only if the measures are considered as a total renovation. In the demo-case the measures have
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\(^1\) [http://citynvest.eu/content/what-energy-performance-contracting-epc](http://citynvest.eu/content/what-energy-performance-contracting-epc)
mostly affected the envelope and the ventilation. No renovation has been made inside the dwellings, which means that the building regulations do not apply. Nevertheless, BBY has opted for solutions which are far above the building requirements. In the demo-case the ambitious façade renovation has led to better indoor climate beside reduction of energy consumption by 60%.
**Conclusion**
Grants often determine plans and ambitions for residential buildings. Since the municipality has high ambitions for energy savings and promotes environmentally friendly buildings there has been a turning towards greater focus on the living milieu; as well as energy and environmental topics. The fewer the previous renovation measures, the fewer are the barriers to renovation.
### 5.1.6 Barriers to renovation
**Inadequate information**
BBY always has start-up meetings with the residents before construction projects. They are sending information in different languages, especially when craftsmen must enter the apartments. YouTube videos about how to clean switch off, change filters, air vent etc. have seen by many residents. BBY are however conscious they could do more.
According to focus groups, communicating with the residents may be challenging. The difficulties appear to go both ways. Much of the information is written and given by letter. BBY realise that they could formulate the information more easily understandable: "We use many difficult words".
In which way the information is given could make a difference. It seems that YouTube videos and written information, which are currently in use, are not always adequate to reach the residents. They may need more individual face to face information about how to use their dwelling, even if this is costly and time-consuming for the municipal staff.
Inadequate and poorly adapted information between the building owner and the tenants may lead to misunderstandings and lack of trust. In the end, communication challenges can contribute to improper use of the buildings with subsequent high degree of wear and tear.
**Small degree of participation**
The overall attitude of the landlord towards the tenants is crucial when it comes to user participation. It seems that participation for the moment mostly happens by means of representation (as e.g. the housing coordinator, social workers from town district). The informants say that some residents are very engaged.
**Mismatch between "dwelling competence" and technology**
The residents struggle with simple things such as replacing light bulbs and doing the dishes. The BBY staff experience for instance that residents have problems to clean the drains. (That’s however the case for many other people in Norway: it is not unusual and indicates that technical solutions should be easy in use). The tenants can easily contact the customer centre and ask for their help. Many people are concerned by asthma and allergy and they could benefit from better indoor climate. Sadly, adjusting temperature and air is often a challenge for them.
**Knowledge**
The technical staff feel their competence related to new technologies is insufficient. They are depending on external competence. They have little experience with operating e.g. BMS. It is important in terms of operation and maintenance. They must be able to quickly restart systems that are not working.
**Provisory housing during construction**
Adopting solutions that allow the residents to stay in place during the construction is a great advantage, both economically and practically. However, there are circumstances where there is no other option than moving residents temporarily. It is very difficult to find provisory housing for the residents during the construction. It is not always needed, but BBY tries to, at least, rehouse families and residents who have got a medical certificate.
**Time**
Emphasizing prefabrication and off-site work would contribute to reduced construction time. Both BBY and the residents, who are staying in the dwelling during construction, would take advantage of that. Prefabrication requires however more precise planning and will therefore need more time before realization. Regardless of that, some projects, where new needs shall be covered, and several considerations are weighed against each other, need long-time planning. Time is important and long-time planning projects doesn’t fit with yearly budgets. When BBY initiate simple measures as simple renovation of facades (e.g. only changing the windows) the solutions are tried and tested. The process is then much easier and time less important.
The public procurement process is more time-demanding than a private procurement. The processes take longer time and that must be considered.
**Funding**
Public budgets must be fulfilled by 31.12 each year. BBY must meet the budget goals exactly, not lower nor higher. This means that they are aiming a little over the goal the first part of the year, to allow for unforeseen events. By the end of the year they usually must organise measures that may not be optimal or rational to use the funds. This sometimes leads to less desirable decisions like changing only the windows instead of renovating the whole facade. To achieve more holistic and ambitious renovations, the owner would prefer three year rolling budgets instead of yearly budgets. That would be an improvement and a driver for more ambitious renovations.
It is difficult to get funding for renovation. Most of the financial support available goes to environmental measures in new buildings.
**Conclusions**
Enough and appropriate information must be given upfront the renovation and under construction. It should be adapted to the residents. There is a need for updated technologic knowledge in the owner organisation. BBY must relate to an annual budget, which could be a barrier to more ambitious and holistic renovations. Longer budget periods would allow more time for comprehensive planning.
### 5.1.7 Use of innovative technology
To avoid a possible mismatch between the skills of the residents and the complexity of the technology, BBY is aware that the right way to build for their residents is: Diffusion open, good heating system. Solutions must be resilient and easy in use. Important parts of the systems are therefore not accessible to the users. Only the facility employees have access to operate and maintain the systems. BBY has defined an agreement on janitorial services and framework agreement on crafts services.
### 5.1.8 Success stories
The informants highlight different positive experiences. Some of them are related to technical aspects, others are social.
BBY have for instance developed effective methods to fireproof buildings from the eighties. BBY are also good at organizing bathroom renovation. One of the main reasons for that is that they can handle residents so that measures can be done quickly and efficiently. They work hard to get clear and simple information.
The stakeholders have managed to cooperate well internally and consider the building stock as a whole.
The operation and maintenance team of BBY is very clever when they deal with the residents – they find simple and creative solutions to make things work. The residents allow them e.g. to shift locks, which makes it simple for the electrician to get inside the dwelling.
According to the informants, the residents seem to withstand the renovation period and are satisfied afterwards. Most people want to stay in their apartments during the construction period. They have got assistance from the social services in the district and the resident coordinator during the whole period. This arrangement seems to work as intended.
About the demo-case Haugerudsenter
A goal in the demo project was to make systems that take the utmost account of the residents with the least possible load during the construction phase and afterwards. Friendly communication with the residents is key. As one of the building team expressed it: "A success factor has been to see people and to be open, to look at them and be safe with them, saying hello to them".
The handling of the residents was exemplary, with good contact between the workers, managers and the residents. The residents are proud and follow the work closely. The project was coordinated in a way that gave very little disturbance in the residents' apartments.
The stakeholders developed a strong feeling of fellowship during the building process. They consider the horizontal structure of the team to be very positive. They feel equally important, the craftsmen being as important as the architect or the consultants for the results. They have learned to know each other and have no fear to ask questions. They have been through a team building session before the construction period where they have discussed possible risks and how to meet them.
Conclusions
The demo is experienced as a success by all the stakeholders. BBY is very motivated to continue to renovate and build further on the positive experiences. Transferable and varied knowledge has been developed through the project. This is not just about technical solutions, but also on procedural and social approaches.
5.2 The Netherlands
Actual developments in the project – September 2017
Initially the Soest demo case was a nursing home built in 1979, in the current situation there are approx. 65 residents. These residents are people aged 80 and older, from whom the majority is suffering from dementia. However, in the last months of 2017 Woonzorg Nederland proposed to transfer the demo-case to the adjacent residential building, because of organizational issues. The involved consortium partners discussed the possible change and agreed to replace the former demo with the proposed one.
Current demo case – Mariënheuvel Soest
General Information: The residential social building belongs to and is managed by Woonzorg Nederland. It is a residential building for independent elderly people consisting of four floors and around 72 dwellings (2-room, average surface around 58.5 m$^2$). It presents high primary energy consumption, around 180 kWh/m$^2$y for heating and domestic hot water production. In fact, it was built with quite poor constructive standards and low quality and requires a renovation.
Building features: It was built in 1980 and it has a concrete structure and double layer brick walls with internal air gap and double-glazing windows with wooden frame. The building presents a non-insulated pitched and flat roof (around 1,300 m$^2$).
HVAC: Central collective condensing gas boilers recently renovated for the heating supply and central separate boilers with storage for DHW production. The building presents natural ventilation supply and mechanical exhaust ventilation with vertical duct distribution.
Scope of the demo case: The residential building that is the demo case now, Mariënheuvel, will be renovated to current Dutch standards. The insulation of the roof construction will be changed and improved to a level of new constructed buildings. The envelope thermal insulation will be improved, the glazing will be replaced by double glazing of the highest insulation level. The entrances will be enlarged and refurbished, the corridors refurbished, and bicycle storage rooms will be added.
On top of this renovation, the 4RinEU project will be applied on 15 of the 72 dwellings, mainly existing of mounting prefab façades on the exterior side of the existing façades.
5.2.1 Background
The Dutch social rental sector has a large size, offers dwellings of a relatively good quality and functions without receiving substantial subsidies. There are about 2.4 million social rental dwellings in the Netherlands, which means that the Dutch social rental sector has a share of 31% within the total housing stock. The share of social housing is particularly high, often above 50%, in the bigger cities. Dutch social rental dwellings are let by housing associations, which can be defined as private organizations with a public task. The rental price of the social rental dwellings is
usually well below the market price and rents are regulated by the government (Hoekstra, 2013).
5.2.2 Identified roles in focus group
Stichting Woonzorg Nederland is one of the largest social housing companies in the Netherlands. They develop and manage residences especially for elderly people. They provide independent living in 27,000 dwellings, assisted living as well as sheltered homes in 18,000 apartments in caring and nursing homes. Woonzorg Nederland does this nation-wide, they are represented in about 170 municipalities.
The head-office is in Amstelveen, a town adjoining the south part of Amsterdam. The company employs about 275 people, most of them are working close to the residents all over the country.
Woonzorg Nederland exists in its present configuration since 1996 and is a merger of three organizations, from which the oldest has been founded in the 50’s of the last century. So, Woonzorg Nederland has a history of over 60 years.
Woonzorg Nederland is a non-profit organisation, legally a foundation, and not a public service organisation.
The interview had the following groups of stakeholders and was done in the former demo-case:
- On behalf on Beweging 3.0, the single tenant for the whole building:
- Staff members (care manager & location manager)
- Employees (care takers)
- Facility employees
- On behalf of the residents:
- Direct relatives (children, brothers/sisters)
- Board of client representatives.
- On behalf of Woonzorg different colleagues, involved in planning, asset management and maintenance.
Since Woonzorg has changed the demo-case, they did not have the possibility to interview the tenants with the guide that has been developed in the 4RinEU project. For the already planned renovation Woonzorg Nederland has involved the tenants in different ways and on different occasions.
5.2.3 The roles in the renovation phase
Woonzorg has five important ‘players’ in the renovation process: Asset management, social management, technical management and the financial
management (planning & control). The fifth "player" is the decision maker, the board of Woonzorg.
The asset manager initiates a project. The social, technical and financial managers have a consulting role, they are co-makers. The asset manager decides to bring a project and investment proposal to the board. The board decides.
5.2.4 The residents
According to the change of demo-case, as described above, the users/tenants are different from the initial residents.
The residents of the current demo-case Mariënheuvel are independently living people aged 75 and older. Most of the households are one-person, mostly women. They are managing their own households, preparing their meals and doing their own housekeeping. Some of them need support, domestic care and services, meals on wheels and so on. They can get this on demand from a care organisation of their own choice. Most of the residents are taking advantage of the care and services of the care organisation 'Beweging 3.0', who is the tenant of the adjacent carecenter Mariënburg (the previous demo case).
Most of the residents have modest income levels. This is mainly due to the Dutch regulations but also a consequence of the objectives of Woonzorg Nederland, namely to provide social housing to elderly people with low incomes.
5.2.5 Drivers
Woonzorg considers the following aspects as drivers for renovation:
- The tenants ask for functional improvements.
- Our asset manager concludes that the building is obsolete.
- High level of maintenance budget. They have a long-term maintenance program. If, in any year, this leads to a high investment for a certain building, they take into consideration to do a deeper renovation. (They distinguish between maintenance and renovation: the first means just replacement of parts by new parts, renovation is a real upgrade of the building or parts of it, an amelioration.)
Woonzorg has a yearly renovation portfolio of around 30 – 40 projects, leading to the realisation of yearly 10 – 15 projects.
When a renovation is conducted, the following considerations are important:
- safety (personal, social, burglary, fire)
- accessibility
- sustainability (energy savings)
- affordability for our residents
• the demands of the main tenant (care organisation) or the residents (more room for meetings; rooms for coffee-meetings, or to organize games, and just to meet each other (but also for storage of bicycles).
• demands of the local authorities
• demographics
The condition of the building when the renovation process starts, can be very different. It depends on the age of the building. Sometimes a building of 25 years is already renovated for functional reasons. Sometimes the condition of the building is the reason itself to renovate. Sometimes maintenance is postponed because of the renovation. In general, Woonzorg maintains their buildings well, so the condition is rarely very bad.
The reasons for renovation are the considerations/issues mentioned before (safety, accessibility, sustainability, etc.). Aesthetics are included too. On top of that, Woonzorg studies the local market circumstances, and what type of residences is the most wanted in a certain neighbourhood. Budget in terms of financial key performance indicators, such as added market value, IRR, TCO calculations, are considered. Woonzorg also has a certain ‘reach’, a yearly budget ceiling which must be taken into consideration.
For Woonzorg it is important to create buildings where people, the residents, can live happily together for the next 20 to 30 years. From their business point of view, they want to have real estate that last longer and has meaning and significance for the neighbourhood around too.
It is important to Woonzorg to involve the residents and other tenants in the process of preparation for the renovation. During the realisation phase, they have experienced that communication with the users is crucial.
The drivers for renovation are varied. It is a constant process of weighting qualitative aspects such as comfort, convenience, feeling at home and quantitative aspects such as feasibility in terms of financial KPIs. In the end, Woonzorg prioritises creating a meaningful housing environment instead of profit (as stated Woonzorg is a non-profit organisation).
5.2.6 Barriers
The most important premise for a good renovation project is support, and a thorough preparation. In relation to "support" we distinguish between what we consider external and internal support. External support is from the residents (the residents in the building, sometimes the elderly residents don’t want to have any change at all), b2b\(^2\) tenants, and other users. It also means support from people in
\(^{2}\) https://en.wikipedia.org/wiki/Business-to-business
the neighbourhood, and from local authorities. A good and inspiring plan generates support, but we need to communicate it well to get it.
Internal support is very important too. All co-makers involved should be consulted in the right phase and all their support is important to establish a successful project. No need to explain, given the importance of support - a good preparation is important.
Of course, political guidelines concerning environmental ambitions of municipalities are important too. Most of the time the environmental ambition is not the issue, it is the speed, the planning. Municipalities tend to have more rush than we can realize. Woonzorg has 200 buildings all over the country in 170 municipalities, they all want to improve energy performance, but we cannot execute this all at once.
5.2.7 Time aspect
It is hard to speak of normal time spent on renovation, since Woonzorg projects differ so much, both in size as in complexity. The shortest renovations take 3 to 4 months, and the deepest ones within a year. This is the realization period; is very difficult to say how long the preparation period takes.
Most time consuming are the negotiations with our tenants in the care organizations. In Woonzorg projects, preparation take longer than the realization. The residents stay in the apartments during the construction period, therefore, plug and play solutions are interesting to study. They used plug and play solutions for instance for renovation of bathrooms. They developed a method that reduced the renovation period of a bathroom of 50%.
Mapping user-needs
First a delegation of the residents was asked already 2 or 3 years ago to collect the main demands of the residents. Together with this delegation they did a walkthrough. The things that the residents came up with were:
- Airstream and bad isolation of the windows in the apartments (there are still some windows with single glazing)
- Smell of cooking in the apartments
- Entrance of the building is too narrow, lack of social safety (too easy to enter the building for strangers)
- Lack of room to store bicycles
- Finishing of the corridors obsolete.
Building process
After Woonzorg made a renovation plan where they also solved the question above, they organised an information meeting for the residents. They asked the architect to present the plans. In the last year there has been two information meetings with the residents. The residents agree mostly with the proposed plans, their greatest concern in about the planning. Woonzorg are still not able to ensure them of when
the works will be done, due to challenging tender conditions in the Netherlands now. During these meetings Woonzorg asked for focus group with the residents.
This focus group exists now and together with them the detailed designing takes place. In the Netherlands we need an agreement of 70% of the residents for the renovation. This takes place normally after the procurement phase. This step is not done yet.
5.2.8 Finances
The most important financial elements are added market value and IRR. Those are the two elements that our board considers first. To achieve cost reduction for renovation projects, replication potential of the applied solutions could be an answer.
For Woonzorg the situation is similar to Boligbygg in Norway. They invest, and the users take advantage of energy costs reduction. In NL the government established a way to give housing companies the possibility to profit of the energy investments, a so called "energy performance compensation". This is the case for residences with individual residents. Woonzorg rents to individual residents, as well as groups or business to business (B2B). B2B-tenants may be care organisations, medical services, sometimes hairdressers – all tenants that are not residents.
5.2.9 Use of innovative technology
Woonzorg is interested in innovative technologies such as prefabricated façade elements, energy-hub, and use of renewable technology such as PV and solar thermal collectors. Currently it seems to be many obstacles at different levels. Information about the product, develop product/concept still in process, who can design, how is it to operate, warranty for service and reserve parts, innovative procurement – contracts are needed to feel safe to choose such solutions?
A good instrument to split the incentives would help (split the incentives between investor and end-user). Cost reduction of energy saving measures would be helpful. Innovation in energy saving measures and environmental impact reduction is a good instrument, but not only material innovations, also multi-client procurement approaches or to procure more projects at a time could help possibly.
The availability of contractors and suppliers is an issue in Norway and in NL, with the huge (national and maybe even international) challenge of achieving low environmental impact. We are afraid of being short on contractors and suppliers to realize the renovation projects.
5.2.10 Success stories – What are you good at?
Woonzorg is good at a thorough preparation. Communication is the keyword. You can never put enough energy in communication before, during and after a project. They are aware of this but still, they claim to do not execute it enough.
5.3 Spain
5.3.1 Background
Housing Agency of Catalonia
The Housing Agency of Catalonia (AHC), created by Law 13/2099, aims to provide the Government of the Generalitat of Catalonia with an agile administrative tool that facilitates public actions in matters of Housing, with the aim of unifying and simplifying management. The management of housing policies in Catalonia is based on two pillars: the Bureau of Housing and Urban Improvement, as responsible for the design and control of these policies, and the Housing Agency of Catalonia (AHC), as instrument of execution.
Public Housing Organigram in Catalonia
*Other Public administrations (as municipalities and Diputació) have and manage their own public housing park (Although they have not been considered in this Organigram as they are local entities)
Main services of the Housing Agency of Catalonia (AHC) *
| TO FACILITATE ACCESS TO HOUSING (& AGAINST RESTIDENTIAL EXCLUSION) | TO GUARANTEE AND IMPROVE THE QUALITY OF THE BUILDING | REGULATING THE HOUSING MARKET |
|---|---|---|
| A) Management of public housing Park
B) Management of rental housing offered by private sector
C) Promotion of social housing
D) Benefits & Grants
E) Attention to the loss of housing | A) Guarantee of technical expertise in edification Sustainability, research, development and innovation
B) Promotion of rehabilitation of the built Park | D) Regis and Certifications
E) Control and punishment of infractions |
5.3.2 Identified roles in focus group
Participants in the group interview were:
- Representing the Housing Agency of Catalonia: Manager, Director of the Housing Improvements and Renovation Services, Lleida’s Housing territorial Service Manager and Legal Department Assessment Manager.
- Representing users (tenants): Close Area Manager (from AHC).
- In addition, moderators and assistant from AHC and Aiguasol were present.
The participants were divided in two groups.
5.3.3 Tenants
Concerning tenants, there has been an important change of profile, due to the economic crisis. Before 2012, most of them were young people, who were living in our apartments temporally (a few years). As their economic situation improved, they use to leave our dwellings to enter in the conventional rent market. Therefore, the type of social housing that AHC have are small apartments (for just 1/2 users+ a young child).
Due to the crisis, now, another user profile has increased: families from evictions. Those users are normally older and may have children of different ages (or they take care of older relatives). These more numerous family units can experience several difficulties to find stable work, due to their age, and they stay in the social housing for longer periods. However, these flats were not intended to be permanent homes and they are too small to accommodate these types of families.
Tenants can come also from other groups that have always been at risk of social exclusion (battered women or Romanian families). Current users of AHC’s flats require a follow up. The AHC does not do social services (it is a responsibility of other entities), but it does financial and coexistence supervision.
Before the current emergency situation, the access to social housing was done following economic criteria and by drawing of lots. Our users had a varied profile. However, during the last 2 years, the apartments are directly awarded to population at risk (through the “Mesa d’Emergência”). This means that in AHC dwellings there coexist a high concentration of disadvantaged and conflictive population.
The social problem becomes more serious, when AHC consider that many of their social housings were built in degraded areas, previewing that they would be inhabited by young users. It was expected that these young tenants would revitalize the area, but as the user's profile has changed a lot, now these dwelling are promoting ghettoization. To avoid the forming of ghettos, this population at risk of social exclusion could be dispersed, e.g. by placing these families in the bank’s social
flats (which are in buildings that are not entirely social housing). However, AHC tenants, sometimes, do not want to be dispersed, as they prefer to live close to their relatives and friends.
When designing/renovating social housing, it is necessary to bear in mind that most users do not have the economic resources to pay the energy bills. In the case of Lleida, a user could not pay the heating, and that caused moisture on the flat. She and her children ended up in the hospital for several weeks, at a high cost for the public health service. Therefore, energy efficient homes can indirectly reduce the public spending in other services (e.g. health).
Even though AHC provide regular information about sustainable habits, their users still have inefficient habits for many reasons (rotation, difficulties to change habits...). In the Demo case, some users have psychological disorders, with behaviours like the ones caused by Diogenes syndrome and Noé syndrome. To be able to properly use new efficient technologies, they need to be supervised, receive constant information and awareness actions.
In general, they have little environmental sensitivity, as the cost factor is paramount. Their energy consumption is limited if they do not get subsidies, but if they receive grant for the energy bill, or they are irregularly connected to the energy system, they can consume large amounts. For this reason, AHC insist in the importance of designing social housing as energy efficient buildings where the user’s behaviour will not become such an influent factor.
**Conclusions**
The social housing users’ profile in Catalonia has changed, due to the economic crisis, from mainly young workers to families at risk of social exclusion. The current user is in an emergency, with basic needs, little ability to achieve a comfort via energy bill, and few motivations in rehabilitation processes or energy management. This problem affects different public entities and for this reason, it is necessary to strengthen the cooperation between these public authorities. Concerning building renovation, due to the users’ profiles, the public social housing requires, more than in other cases, to promote energy efficient renovation actions, to encourage a lifelong learning, and to adapt the technical solutions to the existing reality.
### 5.3.4 Drivers
Building’s renovation is not the main function of AHC, although the Housing Agency has an annual budget to promote renovation in both, public and private housing buildings.
**Concerning private housing**
To promote the housing refurbishment in the private sector, AHC have funding lines that subsidize up to 30% of the cost if the renovation has the purpose of improve the buildings' energy efficiency.
For multi property buildings, this subsidy may not be enough, because they can have more difficulties to get the complementary funding need. However, in the case of single-owner buildings, as most of them are business and have financial resources, this aid should be interesting enough to encourage renovation. Therefore, in the future, the public administration could eventually pose a penalty to multi-storey building owners, if their buildings do not reach a minimum level of energy efficiency. Or, at least, establish a minimum level as a requirement to obtain any renewal permission.
**Concerning public buildings**
For public building improvements, in the past, the annual budget amounted to 30M€, although nowadays it has been reduced to 5M€, because of the economic crisis. This reduction of resources for works will have consequences in the future.
The main reasons why the Agency do renovation in public housing are:
- Serious Pathologies in existing dwellings (the prioritization is established depending on the pathology).
- Serious social situation of fuel poverty, which makes necessary to seek solutions to reduce energy consumption.
- Agreements with neighbour communities. E.g. AHC has rehabilitated the dwellings of Can Jofresa community following an old agreement with the owners, in which AHC assumed the blocks maintenance cost for a period of 50 years (those were social housing flats built to be sold, not for rent).
- European projects as 4RinEU or el RELS that allow having access to funds and expert advice to make innovative projects.
In addition, as a public agency, they must become an example, to trigger the rehabilitation in the private properties.
**Procedure to initiate renovation project**
The first step to renovate a building is to make a diagnosis of its current state. This involves the identification of different pathologies and an evaluation of the level of compliance with current regulations. Along with the technical diagnosis, it is also necessary to consider the climate conditions in the region and the users’ profile.
AHC prioritize solutions that reduce limitations caused by users and ensure, at the same time, a good comfort to residents.
The Agency is working on a plan to renew the entire building park it manages. The idea is to do a diagnosis in a large scale and establish a calendar of the actions to be implemented (to make a activities programme). However, the technical staff in AHC cannot perform this complete diagnosis and, simultaneously, proceed with the daily maintenance of the buildings. Therefore, by the moment, the Agency is just doing pathologies studies for specific buildings, without having a global view.
After the diagnosis, to proceed with any important modification in the building, it is necessary to have the agreement of the owner of the property. AHC manage a
residential park that mostly belongs to the public company INCASOL (80% approx.), in addition to others that are owned by banks (and are intended for social rental) or by AHC itself.
Commonly the budget for the renovations works become directly from AHC, although the owner can sometimes bring a supplementary funding. Other financing sources can be considered. It might be interesting to study other Spanish communities work to obtain financing resources for housing renovation.
**Conclusions**
Concerning the private sector there are subsidies up to 30%, to finance energy efficiency renovation. For the renovation of public housing building the AHC has an annual budget (currently 5MC).
The main reasons to renovate public buildings are serious building pathologies, extremely energy poverty situation, European projects (as 4RinEU) and specific agreements with neighbour communities. In addition, as a public entity, AHC have to become an example, in order to encourage the rehabilitation in the private properties.
The renovation procedure initiates with a diagnosis of pathologies. For any important work the Agency needs the INCASOL agreement. The INCASOL, can provide extra funding for carry out the renovation if it is necessary. Although commonly the financial resources for renovation come from AHC.
The AHC is working on a plan for an entire diagnosis of the public housing buildings, to develop a Renovation Director Plan.
### 5.3.5 Barriers
*Many agents affected but no global vision.*
Within a few years, there will be a large housing park to be rehabilitate without a definite actor, as there several agents with public powers to carry out policies of rehabilitation of housing.
To make major reforms for improving energy efficiency in most of the dwellings it is necessary a consensus between AHC and INCASOL. However, it is not always easy, as this improvement benefits AHC, but makes no difference to INCASOL. To reduce the energy bill of the neighbours by renovation, would allow them to have more financial resources to pay the rent, in consequence, AHC would not devote so much budget in financing aids to pay the rent. However, the economic situation of INCASOL would not change: INCASOL always receive the payments because, if the tenants do not pay, AHC pays for them.
Other administrative bodies are indirectly benefit from improving energy efficiency in housing, although it is not obviously visible. E.g. saving expenses of the City Council by reducing the number of the energy bills unpaid or reducing the expenditure on health arising from diseases caused by the thermal conditions of the
housing. (e.g. City, County Council, Department of health, the Ministry of public works, State Secretary of housing, etc.)
This lack of global vision could be solved with the creation of a unique entity, with its own economic resources, and the goal of promoting energy rehabilitation in housing. Similar solutions were implemented in previous situations, when it was necessary to implement measures that affected, at the same time, different public powers.
**The current emergency situation**
In the current context of crisis, there are great difficulties to access to housing. Therefore, the Agency is mainly focused on solving the problems of social exclusion, at the risk of forgetting other important challenges that do not have immediate consequences, but medium-long term (as the energy efficiency issue). Currently, many financial resources are destined to subsidies and to reinforce the AHC social education staff, while the technical issues are relegated. For this reason, in the last years, AHC has strongly reduced the budget for building improvements.
**Conflict of interest**
As public administration AHC represent and protect different interests simultaneously.
On one hand, as a public administration they must be an example to our society by promoting energy efficient housing and by ensuring our tenants the worthier houses as possible.
On the other hand, the society can misinterpret that people with low resources receive better dwellings than the ones that middle class can afford. Especially in this moment, that the crisis has diminished salaries and the economic resources of the middle class. Our reality is that the population at risk of social exclusion is growing, and some reject jobs not to lose their social aids and the public administration protection. They have to be careful in not creating a situation where living of public subsidies can be more advantageous than having a job.
These social problems could be reduced if the Employment Dpt. worked together with the public housing policies, creating an Employment Plan for AHC tenants at risk of socials exclusion.
**Housing Park characteristics**
**Regarding private housings.**
AHC also act on the private housing sector as part of its services. Private dwellings receive subsidies to do efficient energy improvements. However, in multi propriety buildings it is not easy to reach consensus between the neighbours to renovate a building. In addition, as our society is much oriented to purchase houses rather than renting them, most of the private residential buildings are multi property.
**Concerning social public housing.**
The dwellings managed by AHC, despite being relatively new, have intrinsic characteristics that make them especially low energy efficient. Although it is difficult
to assume that it is necessary to invest in renovating houses built recently, some problems of our newest residential buildings are:
Plots with poor orientation. Historically, in the plotting process, the Administration has always acquired the most disadvantaged solar exposure to avoid conflicts between the parties concerned. To achieve optimum levels of efficiency in these plots is possible from the technically point of view, although it is more expensive, and the poor orientation makes it difficult to achieve the highest standards.
Residential architectonic typologies with lack of adequacy to the geographical and social context. Ex. In Lleida, where climate conditions are more extreme than in the coast, several residential buildings had been designed with a typology like “beach apartments”. Common areas open to the outside, flats unprepared for the cold, some even without any heating system.
The lack of houses requiring different needs. AHC do not have, as they saw in Netherlands, different housing types according to the degree of autonomy of the elderly. They do not have either initiatives that e.g. encourage the coexistence of different generations (spaces for the elderly close to nurseries).
**The bureaucracy of the public administration**
The bureaucracy of the public administration makes difficult some important process.
When a multi property community, finally, agree to renovate its building must face a complex funding application process. The protocol requires several documents. Residents, not used to this process, usually do not have the experience and time to do this heavy management.
During the last 6 years, the public administration experienced significant restrictions in expanding its staff. Although technicians, or other professionals, with new specific skills are needed (e.g. Experts on dynamic energy efficiency simulations or BIM), it is difficult to contract them. Consequently, it is difficult to have different data that will allow us to take the best decisions.
**Conclusions**
There is a lack of global vision concerning the promotion of energy efficient renovation in housing, as there are different public agents involved, and the benefits are indirect. Concerning public housing policies, in this context of crisis, social measures are prioritized in front of technical/environmental ones. In addition, many public buildings are placed in the cheaper plots (with bad exposure) and have typologies not adapted to the climate conditions, so to renovate them requires expensive actions.
On the other hand, in the private sector, multi-property buildings are the most numerous, and that makes it difficult to establish agreements and obtain financing to renovate. There are public aids to finance the refurbishment of private dwellings, although the bureaucracy required to obtain them is complex.
5.3.6 Use of innovative technology
For AHC, the most important factors concerning new technologies are robustness and minimal maintenance cost. AHC users are transient and many of them do not have the necessary skills, so technologies must be strong enough to support an intensive, and sometimes wrong, use. In addition, the less they spend in maintenance the more resources they will have for other purposes.
On the other hand, the kind of technic solutions that AHC prioritize are the passive ones, in front of active solutions. This is due to two main factors:
- Passive solutions are not affected by the tenants' behaviour and habits. Many passive solutions have higher costs than active solutions, but AHC technicians believe that the best way of having energy efficient buildings is to reduce demand.
- To have a further technical information about new technologies it is also an important factor to have confidence. Training for our technicians to update their knowledge, is also another important requirement, as AHC has its own technical department, and the renovation projects are carried by the Agency technicians.
Conclusions
Passive solutions are prioritized in front of active solutions. Passive solutions' effectiveness is less influenced by the skills of the tenants and are more durable. To update our technician's knowledge is an important requirement to be able to apply new technologies.
5.3.7 Success stories
AHC has wide experience in working on passive technic renovation solutions that consider the social factors. Its decisions combine social and technical requirements. In fact, the social factor is always included in any action of the Agency staff (technicians, lawyers, etc.)
AHC has the following social criteria when carries out maintenance works:
Apply maintenance solutions that also represents an improvement in the energy efficiency sense, even if this involves some additional cost (e.g. by improving the insulation when renovating a facade). Our Technical Dpt. was awarded on its focus on energy efficiency as a strategy to solve energy poverty.
AHC renovates achieving quality levels above the requirements of the current regulations. As they have realised that to go above, has no big economic differences and at long term it compensates. In the 80’s AHC was already using ETICS insulation in its renovation works, going above what was required by the regulations.
AHC seek solutions that allow users to stay in the building while the renovation. Little-invasive solutions of external appliances and that do not to interrupt the
normal use of the building (otherwise, to move users to do the works would have a high cost).
AHC knowledge has been systemized. Each Dpt. has its own procedures; to follow the established protocols ensures the correct execution of processes, regardless of the level of expertise of each professional.
They have a methodology to refurbish the buildings, called RELS\(^3\) (Energy renovation in social housing), a result of a European project of Mediterranean cooperation (ENI program CBC-Med) and created together with the UPC (Universitat Politècnica de Catalunya). The method (through surveys and monitoring) add the user's behaviour as a factor to take into account in the energy rehabilitation projects. Now, The UPC University is teaching the methodology to their architecture students, and other Catalan administrations are using it to make building diagnoses. The Agency has planned to analyse its entire residential Park with the RELS method, in order to have a complete diagnosis to develop a future Renovation Plan for Public Social Housing.
The whole RELS project (that gave the name to the RELS methodology) is a success story. During this European project, the Agency did an energy efficient renovation in 2 social housing buildings. The experience was a success, and the Catalan public television included the project as an example in a documentary about energy efficient renovation.
**Conclusions**
AHC is good at considering the social factors in the different services it offers. This include also AHC renovation projects that seek solutions that allow users to stay in the building. Moreover, the AHC renovation pursuit levels of quality above the current regulations, and during the maintenance works, promotes passive solutions to reduce energy demand (as insulating facades).
It is important to highlight that AHC has protocols to ensure the correct execution of all the process, regardless the level of expertise of each professional. An example of a success story is the RELS methodology (created during the European RELS project in collaboration with the UPC). The method (through monitoring and surveys) introduce the user's behaviour as a factor to consider in the energy rehabilitation projects. Now the Agency intends to analyse its entire residential Park with the RELS method, to have a complete diagnosis to develop a future Renovation Plan for Public Social Housing.
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\(^3\) http://www.enpicbcmed.eu/communication/energy-renovation-social-housing-rels-project-develops-common-mediterranean-model
6 Discussion and conclusions
6.1 Drivers and barriers
The three case organizations have in common that they help vulnerable groups with housing facilities. However, the organizations are differently organized and have different decision processes towards renovation.
Drivers and barriers are often two sides of the same issue and are therefore analysed together. As we refer to in chapter 3.2 drivers and barriers could be on both societal and organizational/individual level.
Most of the following factors were found in all three case studies:
6.1.1 Organizational and individual level
The residents
The resident’s needs are an important driver for renovation in all three organizations. Many of the informants express that they have an aim of contributing with dignified housing for people unable to procure housing of their own. An aim is to improve the resident’s quality of life, and the housing standard is seen as an important contribution to their well-being.
At the same time, vulnerable groups of residents are also a barrier towards renovation. Resident groups across the organizations have some shared challenges. Elderly and sick residents, immigrants or people with mental illness may all struggle to understand information in a renovation process. They are also vulnerable for relocation during renovation processes. All organizations try to avoid relocation of residents during the renovation process, and this places constraints on the choice of renovation measures and building methods.
The literature review in this report summarizes literature that explains the meaning of housing for the life quality of residents, and how important these aspects are when the residents cannot choose where and how to live (Shaw, 2004). At the same time, many of the resident groups in the case organizations are difficult to include in decisions, and many decisions must be taken without their meaning represented.
Still, a renovation process with residential participation can be used to influence the social environment and create a sense of community and inclusion among the residents (Hauge & Støa, 2009; Hauge, 2009). And research has shown that a criterion for success seems not necessarily to be the degree of involvement in the decision-making process, but rather the leaders’ respect for the needs of the residents, the level of information provided and the follow-up (Hauge & al., 2012a). Based on this literature, and on examples from the Dutch case organization, we recommend more focus on user involvement. We also recommend that the process with the users become more formalized, not dependent on the interests of the renovation project leader. The Dutch case demonstrates a way to involve the residents through collecting information about building standards and use through
walk-through methods with delegates of residents, followed by discussions of the information among the renovation managers in the organization. The Spanish case refers to the use of an online bi-directional channel to collect the users' needs and understandings.
Advice
User involvement is recommended to empower the residents and give them ownership to the project. Taking their needs and preferences into account must be done an appropriate way, depending on their capability. The employee's needs (e.g. in relation to maintenance) should also be considered.
6.1.2 Communication
Communication with the users is seen as crucial for a successful renovation process in all case organizations. The employees in the Norwegian case organization recommend being ahead of the situation with the communication to obtain a successful renovation: "Prepare the tenants for a bit more hassle than assumed. Be present and show your face if complaints occur." The literature (3.1.2) shows that guiding the renovation process in close contact with the residents and with good routines for information and follow-up is a factor of success.
Advice
The level of information provided must be adapted to the residents and given before and during construction. Adapted user-information is also needed to ensure adequate operation, even if it seems easy.
6.1.3 Media and press coverage
The possibility to get press coverage can give motivation to the team involved in the building process. The use of media can be targeted to reach different goals, as welding together the residents, among other things. An architecture prize could also be a catalyst, encouraging the stakeholders to continue their efforts.
6.1.4 Technical standard
All the case organizations say that the renovation backlog is a driver for renovation. They make renovation plans for their property portfolio based on technical standard and backlog. There is evidence that the fewer the previous measures, the fewer are the barriers to renovation. However, the balance between renovation and maintenance can be a challenge.
In two of the organizations, the interviewees state that there is a quick degradation of the technical standard after renovation, due to the vulnerable resident group. It is not expressed in words, but one might assume that the short period the apartments are in good shape before the degradation is visible again (one year in some cases) may act as a barrier for renovation. The Spanish organization do also express concerns about technical standard/performance targets that is too good compared to average housing. A barrier for renovation is that the employees feel they must avoid that the housing quality in public housing becomes better than middle class
standard. If the standard is as good as middle-class housing, there is a risk of increasing the number of people who would want social housing.
**Advice**
Making systematic renovation plans will allow for prioritizing measures where they are needed and avoid measures which could be barriers to more ambitious renovation. Robust materials and solutions should be considered.
### 6.1.5 Financing
Financing is mainly talked about as a *barrier* towards renovation. A problem for the Norwegian organization is the yearly budgets. They must renovate as much as possible within this yearly budget. They express a concern about the "leftover money" at the end of the year, when all the allocated budget must be spent within a certain date. The last small projects are not always what they would have spent the money on if they could have made budgets over a longer period.
The Spanish organization addresses another problem with budgets: the results of measures for energy efficiency are not visible on the budgets in their organization. The energy costs are paid by the residents – or if the residents cannot pay the rent themselves, the municipality contributes. However, in completely different budgets. Visualizing energy savings as savings for the municipality in total, despite different departments and budgets, would strengthen energy savings as a *driver* for renovation.
Loan and subsidies for projects with high environmental ambitions may act as a *driver*, however, these assets are often meant for new buildings, not renovation, and requires higher environmental ambitions than the organizations usually manage. The interviewees therefore experience that they are disregarded in the allocation processes, that the allocations are better suited for other types of organizations. Passive house or positive energy house level is not always within reach of the limit. In addition, there are other aspects more important to vulnerable residents than energy ambitions. For example, the quality of the outdoor areas around the blocks is significant to increase the resident's well-being, and this type of renovation is not favoured in subsidies for energy-efficient buildings.
Two of the organizations have tried EPC/Energy performance contracting, however this aspect is mentioned in-between other issues. There are no interview data on the experiences with this type of financing energy efficiency projects. An EPC-providing company may pay for investments for energy efficiency and use the energy savings to pay for the investment. However, when the residents living in the housing block do not have any incitements for saving energy, the savings may be uncertain, and the EPC-company may be unwilling to take the risk. Energy savings after EPC-measurements are more stable in public buildings operated and used by professionals. Especially when the residents are vulnerable groups of people with little knowledge on how heating and ventilation systems work, an energy performance contract might be a risky investment.
6.1.6 Competence
All case organizations mention lack of competence in the organization as a barrier towards ambitious renovation. This is also shown in Isaac et al. (2016); uncertainty as to how new technologies perform. Participating in networks for learning about new technologies, participating in pilot projects/research projects can lower these barriers.
6.1.7 Pilot projects, EU-projects, success stories
In all the three case organizations, the participation in pilot projects/EU-projects is pointed out as a driver for renovation. It inspires the stakeholders for reaching higher ambitions, and they get in contact with technical competence they find innovative and helpful. They also say it gives motivation for new renovation projects. Pilot projects are pointed out as an important driver in Isaac et al. (2016). Joining research projects increases the competence in the organizations.
6.1.8 Use of innovative technology
Because of the special resident groups in the case organizations, the need for advanced technical solutions may act as a barrier towards ambitious renovation. The organizations all strive for robust technology that the users may understand. The informants in the Norwegian organization say that if user advanced technology is installed, this is placed in a technical room the residents have no access to.
Vulnerable resident groups’ lack of ability to use innovative technology may therefore be a barrier towards ambitious renovation.
6.1.9 Team building in the building process
The Norwegian demo case exemplifies how the stakeholders developed a strong feeling of fellowship during the building process. They considered the horizontal structure of the team to be very positive. They felt equally important, the craftsmen being as important as the architect or the consultants for the results. They earned to know each other and did not fear asking questions. They had been through a team building session before the construction period where they discussed possible risks and how to meet them. Amplifying the feeling of having performed together in a strong team and achieved something worth the effort, was a success criterion in the Norwegian demo case. This is in line with the research of Erikson & Westberg (2011) and Kadefors (2002), stating that a high level of integration between client and contractors in the design stage contributes to better project performance in terms of cost, time, quality, environmental impact, work environment, and innovation.
6. Guidance
6.2 Recommendations to stakeholders
Based on the three case studies of organizations providing housing for disadvantaged groups, the following advice can be given on how to lower barriers and increase stakeholders' motivation for deep renovation.
Table 1: Protocol showing drivers and barriers for renovation of social housing in each phase of the building process with recommendations for public housing providers and stakeholders. Fields in green show drivers, and fields in red show barriers.
| Preparation / Brief and strategy | Drivers and barriers | Recommendations |
|---------------------------------|-------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | Urgent need for renovation | Plan for systematic condition evaluations Maintenance schedule for the building stock |
| | Ambitious goals and political support | Achieve quality levels above the requirements of the current building regulations. Go beyond the expectations of an ordinary building process. |
| | Necessary competence on innovative technologies in the housing organization | Join research projects and networks and aim for pilot projects to increase the competence in the organization. Train the technicians to upgrade their knowledge. |
| | Strong fellowship between the stakeholders | Formulate a common goal for the whole team. Gather the team and visit exemplary projects together (or other relevant activities). Aim for a horizontal organisation of the building team. |
| | Mapping user needs | Aim at involving the residents through planning of renovation as much as possible. Enable the residents to participate with methods like walk-through and online bi-directional channel. Select a small group of residents and employees who can act as a liaison. |
| | Vulnerable residents (elderly, disabled, immigrants etc.) are challenging to handle in a renovation process. | Consider the renovation process as means to increase the residents' well-being and commitment to the dwelling. If this is not possible to involve the residents, extensive information throughout the whole process and treat the residents with respect may make the process easier. |
## Preparation / Financing the renovation
| Drivers and barriers | Recommendations |
|--------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------|
| The *financing budget periods* are too short and limited. | Make budgets for sustainable renovation cases over more than one year. |
| *Energy savings* are not visible to the municipality department paying for the | Visualize energy savings as savings for the municipality in total, despite different departments and budgets. This strengthens energy savings as a driver for renovation. EPC – energy performance contracting – may be an interesting solution where the municipality themselves pay the energy bills. There might be companies interested in EPC also for social housing. |
| renovation. In many cases of social housing, the energy bill is not paid by the | |
| municipality, the residents pay. If they cannot pay themselves, the support comes | |
| from other public budgets. | |
| *Loan and subsidies* demand too high environmental ambitions to fit for renovation | Work for dialogue with the governmental organizations providing loan and subsidies for energy efficiency projects and aim for understanding the complex context of social housing. May new types of subsidies be introduced in the market? Consider other financing sources. |
| of social housing. | |
## Procurement and development phase
| Drivers and barriers | Recommendations |
|--------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------|
| **Procurement processes** are chosen based on habit rather than what type of procurement that fit the different projects. | Evaluate different procurement processes and make a strategy for what process to choose depending on kinds of project and environmental ambitions. |
| Enthusiasm and understanding of the environmental ambitions in the construction team during the planning phase. | Consider different procurement processes and the advantages and downsides with each of them, depending on the specific renovation project. Facilitate for team-building. |
| Challenges with some of the residents having trouble *understanding information*. | There can never be enough information in advance. Formalize the information process towards the residents. |
| Challenges with *relocation* of the residents. | Choose prefabricated solutions for shorter and easier construction processes, to avoid relocations. |
| The *residents’ skills* do not match the technology needed for energy efficient solutions. | Technical standard should be adapted to the residents’ skills. Go for robust technology that works regardless of the function level of the residents. Advanced technology must be placed in locked technical rooms, only accessible to operators. |
## Construction phase
| Drivers and barriers | Recommendations |
|--------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------|
| Ensure smooth completion of construction | Develop a thought-out communication strategy towards the residents with regular information every week of the construction process. There can never be enough information. Use the media to empower all the stakeholders in the project. |
| Ensure that workers on site treat the residents with respect and friendliness. | Inform the residents earnestly and minimize disturbance in their apartments. |
| Ensure enthusiasm and understanding of the environmental ambitions in the construction team during the construction process. | Focus on team-building by doing e.g. a joint risk analysis in connection to the start of construction. Create enthusiasm and the feeling that they are building something important. Try to get positive media attention to generate pride and focus on the renovation project. |
## Use and evaluation
| Drivers and barriers | Recommendations |
|--------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------|
| The residents do not understand the use of new technology after the renovation, or they use the heating and ventilation technology wrong. | People working with operation and maintenance for the building owner must be well-informed and capable of providing the right information to the residents, in the right way. |
| Quick degradation after renovation | Choose adequate materials and robust solutions. Follow-up with information and assistance when needed. |
| Evaluation and learning through executed renovation projects. | Evaluate each renovation project and make use of the success criteria when initiating new projects. Systematize knowledge. Following established protocols will ensure the correct execution of processes, regardless of the level of expertise of each professional. |
The list in table 1 is not exhaustive but includes suggestions for measures to lower barriers and make the most of drivers for renovation based on experiences in the demo case organizations. Much of the advice may also be relevant for other types of housing organizations as housing cooperatives or private-owned residential complexes.
6.3 Recommendations to politicians and authorities
- Aim for financing subsidies for social sustainability qualities. Passive house or positive energy house level is not always within reachable limit for public housing organizations. There are other aspects more important to vulnerable residents than energy ambitions. For example, the quality of the outdoor areas around the blocks is significant to increase the resident’s well-being. This type of renovation is not favoured in subsidies for energy efficient buildings.
- Plan and build a case for renovation as financially positive across departments and budget lines.
7 References
http://citynvest.eu/content/what-energy-performance-contracting-epc
Cuchí & de la Puerta (2016). Diagnostico rehabilitación_GTR2016. (Retrofitting diagnosis for the Spanish market). Spain.
Eriksson, P.E. & Westberg, M. (2011), Effect of cooperative procurement procedures on construction project performance: A conceptual framework, *International Journal of Project Management*, 29, pp. 197-208
Gluch, P., Gustafsson, M., Thuvander, L.& Baumann, H. (2014). Charting corporate greening: environmental management trends in Sweden. *Building research and information*, Vol. 42, No. 3, 318–329, http://dx.doi.org/10.1080/09613218.2014.855873
Gram-Hanssen, K. & Beck-Danielsen, C. (2004). House, home and identity from a consumption perspective. *Housing, Theory and Society*, 21, 17-26.
Gullestad, M. (2002). *Kitchen-table society*. (First ed. 1984). Oslo: Universitetsforlaget.
Hojem, T.S.M.; Sørensen, K.H.; Lagesen, V.A. (2014), Designing a `green` building: expanding ambitions through social learning, *Building Research & Information*, No 42, Vol. 5, pp. 591-601
Hauge, Å.L. & Støa, E. (2009). “Here you get a little extra push”: The meaning of architectural quality in housing for the formerly homeless – a case study of Veiskillet in Trondheim, Norway. *Nordisk Arkitekturforskning*, 1, p. 18-31.
Hauge, Å. L. (2009). The meaning of housing in communicating identity, and its influence on self-perception. PhD-thesis. Trondheim: NTNU.
Hauge, Å.L., Magnus, E., Øyen, C. F. & Denizou, K. (2012a). The Meaning of Rehabilitation of Multi-Storey Housing for the Residents. *Housing, Theory & Society*, (1) 1-24.
Hauge, Å.L., Thomsen, J. & Löfström, E. (2012b). How to get residents/owners in housing cooperatives to agree on sustainable renovation. *Energy Efficiency*, vol 6, (2), 315-328.
Hoekstra, Joris (2013) Social housing in the Netherlands. The development of the Dutch social housing model. OTB Research Institute for the Built Environment. Delft University of Technology.
Häkkinen, T. & Belloni, K. (2011). Barriers and drivers for sustainable building. *Building Research and Information*, 39, (3), 239-255.
Isaac, M., Tronca, L. P. and Gajsak, M. (2016). D8.1 Report: Market analysis of trends in the construction of residential highly energy performing buildings, H2020 – 678407: Achieving near Zero and Positive Energy Settlements in Europe using Advanced Energy Technology. http://www.zeroplus.org/pdf/ZERO%20PLUS_D8.1.pdf
Kjølle, K.H, Denizou, K., Hauge, Å.L., Gunnarshaug, L., Magnus, E. Skeie, K.S. (2013). Bærekraftig oppgradering av boligblokker (Sustainable renovation of blocks of flats). SINTEF Fag 8. Oslo.
Kitzinger, K. (1995). Qualitative Research: Introducing focus groups, BMJ. British Medical Journal 311:299.
Laedre, O. (2005), Procurement Route in 3 Norwegian Building and Construction Projects, Proceedings of 19th IPMA World Congress, New Dehli, India, Nov 2005
Lædre, O.; Austeng, K.; Haugen, T. & Klakegg, O. (2006), Procurement Routes in Public Building and Construction Projects, Journal of Construction, Engineering and Management, 132(7), pp. 689–696.
Mokhlesian, S. (2014). How Do Contractors Select Suppliers for Greener Construction Projects? The Case of Three Swedish Companies. Sustainability, 6, 4133-4151; doi:10.3390/su6074133
Michelsen, O. & de Boer, L. (2009), Green procurement in Norway; a survey of practices at the municipal and county level, Journal of Environmental Management, 91 (1), pp. 160-167
Ortiz, J. & Salom, J. (2017). Impact of the energy retrofit of households in the residential health in Spain. Helath equity: New urban agenda and sustainable development goals. 26-29.Sep. 14th international conference on urban health. Coimbra, Portugal.
Thomsen, J. & Hauge, Å.L. (2014). Barriers and drivers for energy efficient upgrade of single-family housing in Norway. Sustainable Building conference, Barcelona. October 28-30. 2014.
Appendix
The appendix presents data collection tools for the specific demo-cases in WP3 and is not a part of the usual procedures related to preparation of renovation projects.
A. Identifications of roles
Premise provider
- Labour Inspection Authority
- Agency for Planning and Building Services
- City council departments (e.g. EBY, BYA, BYM, UKE, NOE, EHS)
- Hearing institution (public inquiry)
- City council finance
- Districts (part of a town) - allocation of dwellings to users
- Housing bank
- Politicians
Technical:
- Bymiljøetaten (urban environment department)
Internal (owner):
- Board
- customer centre
- Property management
- Accommodation department
- Project department
- Economic department
- Legal department
- Support (HR, Communication and others)
- Facility management/operation
Users:
- Users
- Next of kin
- Neighbours
- Personal/health care
- (Tenants – like in Netherlands – could be only one business partner. We need then to divide between tenant and user)
Others:
- Private building owner, similar users – similar knowledge/problems
- Cooperatives, users
Identified roles included in the Norwegian focus group interview:
**External:**
- Districts (part of a town) - allocation of dwellings to users (need for dwellings, number). Potentially, also the user contact at the municipality.
**Internal:**
- Property management (condition analysis, choice of building and priority-setting)
- Project department (how to renovate)
- Economic/legal department (finance, budget, rent, subsidy etc)
- Facility management/operation
**Users:**
- customer centre (direct contact with the users. Call centre)
- Accommodation department
B. Focus group interview guide
How do we increase the renovation rate for residential buildings (and accordingly energy savings)?
Agenda for the meeting:
1. Welcome
2. Presentation of the project
3. Presentation of the focus group method
4. Presentation of the people present and their role
5. Description of the users, as a soft start
6. More difficult topics
Instructions:
Give some general instructions to the organizer of the workshop and interview (main questions to ask, how to act to include all participants and how to get a good discussion going)
Topics
Users
Users – Describe the users. Who lives here, how is the user environment, kind of users, next in kin, others involved. How to achieve user satisfaction. User needs, IAQ, special problems/needs. How to give information. Health related problems- How are the users of the buildings (residents) integrated in the renovation process? Attitude towards renovation. User understanding of energy efficiency and new energy technologies (adaptation)?
Drivers
- What are the drivers for renovation in residential buildings: factors that increase motivation and implementation? (see bullet points under measures as well)
- Indoor climate?
- Increased comfort?
- Environmental aspects?
- Housing regulations for energy efficiency (national)?
- Other actors’ motivation (political goals?)
- Market value/aspects (rental increase)?
Barriers
- What are the barriers for renovation in residential buildings: factors that lower renovation?
- Funding/finance/expenses?
- Time/planning?
- Implementation issues with residents (user needs and interests)?
- Technical challenges (for users/residents)?
- Use of innovative technology?
- Social barriers/issues?
- Indoor climate?
- Maintenance/follow-up?
- Competence (craftsmen etc)?
Measures
- What measures are in your opinion the most important measures to increase the renovation rate in residential buildings?
- Economic support systems?
- Energy labelling of buildings?
- Inspiration/counselling etc?
- The national/regional building codes?
- The revised EPBD (energy performance of buildings directive)?
Renovation process – decision making etc
- Describe the process for a renovation project: where are the critical stages?
- What is a successful process for renovation projects?
- Who is involved: public and private actors at what stages? External advisors? Enthusiasts? Cooperation between actors?
- How can the "requirement specification" be used to increase the renovation rate?
- How would you describe the national competence level regarding renovation?
- How can the competence level be raised (craftsmen and other involved actors)?
- How do (in your opinion) property owners and other actors incorporate the goal of energy efficiency and other environmental criteria?
Best practice
Do you have any special experience, good advices on how to succeed with renovation projects that you could transfer to others?
– how to handle tenants, how to prepare them for a renovation, what if they need to move etc?
- What is your best practice for efficient renovations of other parts of the buildings, for instance renovation of bathrooms etc
- Good ways to handle complaints or avoid them to occur etc?
- In all focus groups, interviewers should watch out for best practices to transfer to other groups.
Focus group interview guide in Italian
Linee guida per l’intervista al focus group
In che modo è possibile aumentare il numero di riqualificazioni di edifici residenziali (e di conseguenza il relativo risparmio energetico)?
Programma del meeting:
1. Saluti di Benvenuto ed introduzione
2. Presentazione del progetto
3. Presentazione della metodologia di lavoro del focus group
4. Presentazione dei componenti del ruolo di ciascuno
5. Descrizione degli utenti
6. Topics più critici
Istruzioni:
Fornisci alcune indicazioni generali all’organizzatore del workshop e dell’intervista (domande più rilevanti da porre, come favorire la partecipazione di tutti per una discussione propositiva).
Topics
Utenti
Utenti - Descrivi gli utenti. Chi vive negli edifici oggetto di analisi, la tipologia di utenti, la composizione famigliare, altre persone coinvolte. Come ottenere il benessere degli utenti, la qualità interna dell’aria, se sono presenti problemi/esigenze particolari. Come comunicare le informazioni. Se sono presenti problemi relativi alla salute. In che modo gli utenti (residenti) vengono integrati nel processo di ristrutturazione. Qual è il loro atteggiamento nei confronti della riqualificazione delle abitazioni. Qual è il livello di conoscenza dell’utente relativo all’efficienza energetica e alle nuove tecnologie?
Elementi chiave
Quali sono gli elementi chiave per favorire la riqualificazione negli edifici residenziali: quali sono i fattori che possono favorire la motivazione e l’implementazione? (vedi anche l’elenco riportato in Misure)
- La temperatura e la qualità dell’ambiente interno?
- L’aumento del comfort?
- Aspetti ambientali correlati?
- Normative nazionali sull’efficienza energetica?
- Altre motivazioni, ad esempio obiettivi politici
- Aspetti legati al valore di mercato degli immobili (crescita degli affitti)?
**Barriere**
- Quali sono le barriere ed i fattori che rallentano la riqualificazione degli edifici residenziali?
- Reperimento di fondi/mancanza di capitale/eccessive spese?
- Tempistiche/pianificazione degli interventi?
- Problemi con i residenti (bisogni e interessi degli utenti)?
- Nuove sfide tecniche (per utenti/residenti)?
- Uso di tecnologie innovative?
- Ostacoli/problemi sociali?
- Temperatura interna?
- Manutenzione/mantenimento degli interventi negli anni?
- Mancanza di competenze (artigiani etc)?
**Misure**
- Quali sono secondo te le misure più importanti per favorire il numero di interventi di riqualificazione degli edifici residenziali?
- Misure di supporto economico?
- Certificazione energetica degli edifici?
- Stimoli esterni? Consulenze?
- Regolamenti/requisiti nazionali/regionali?
- Aggiornamento della Direttiva sull’Efficienza Energetica degli Edifici EPBD?
**Processo di riqualificazione – decisioni**
- Descrivi il processo di progettazione di un intervento di riqualificazione: quali sono gli stadi più critici?
- Quali sono i fattori di successo in un processo di riqualificazione?
- Chi è coinvolto: soggetti pubblici e privati e in quale fase? Consulenti esterni? Altri soggetti interessati? quale forme di cooperazione si instaurano tra i vari soggetti?
- Come possono essere utilizzati i “requisiti specifici” per aumentare il numero di interventi di riqualificazione?
- Come descriveresti il livello delle competenze su scala nazione relative alla riqualificazione degli edifici?
- Come può essere aumentato il livello e le competenze (artigiani ed altri soggetti coinvolti)?
- Secondo te, i proprietari degli edifici, hanno assimilato (e come) gli obiettivi relativi all’efficienza energetica ed, in generale, alle tematiche ambientali?
**Best practice**
Hai esperienze positive o suggerimenti per la buona riuscita di progetti di riqualificazione che puoi condividere con gli altri?
- come avere a che fare con gli inquilini, come prepararli al processo riqualificazione, ad esempio con il fatto che ci sia un possibile trasloco?
- Hai esperienze di successo di riqualificazione di porzioni di edificio, ad esempio di bagni ecc.
- Quali sono le migliori strategie per gestire lamentele e per fare in modo di evitarle?
- In tutti i focus group, gli intervistatori sono invitati a prestare attenzione alle best practices per condividerle con gli altri gruppi.
Focus group interview guide in Norwegian
Intervjuguide – Boligbygg
(Innledning om målet for prosjektet)
Beboere
Beskriv beboerne. Hvem bor her, hvordan er beboermiljøet, grupperinger, pårørende, andre som er inne? Hvordan skjer tildelingen av bolig (kriterier som ligger til grunn)?
Hvilken oppfølging får beboerne (kontakt med Boligbygg og Bydelen)? Hvilke spesielle hensyn må dere ta for denne typen beboere?
Hvilke holdninger har beboerne til rehabilitering/oppussing/tiltak? Er det motstridende interesser hos bruker/Boligbygg eller andre? Hva skal til for at beboerne blir fornøyd etterpå? Hva skal til for at de bruker systemet riktig – evt hvilke hensyn må dere ta?
Hvordan forholder beboerne seg til energibruk? Hvilke vaner/hverdagspraksiser har de (dusjing, innetemperatur, matlaging, trekk, bruk av leiligheten)? Vil beboerne kunne håndtere nye teknologier?
Hvilke forhold har beboerne til eget inneklima (temperatur, trekk, lufting, matlaging)?
Spesielle hensyn ved rehab – stille, ikke forstyrre, ikke adgang, helse, kan ikke flyttes etc?
Hvordan involvere dem i prosessen (de er ikke beslutningstakere men er i høyeste grad involvert)? Hva kan gi problemer underveis? Hvem er deres viktigste informant?
Informasjonsmøter eller annen form for informasjonsflyt – hvordan informerer dere best brukere/beboerne deres?
Hvilke begrensninger legger beboerne på valg av løsninger?
Hva skal til for at beboerne skal bruke løsningene riktig?
Hva skal til for at de forstår og aksepterer løsningene?
Hva skal til for at de føler seg involvert i prosessen?
Hvorfor rehabilitere (drivere)?
Hvordan velger dere ut hvilke prosjekter som skal rehabiliteres (lag liste over kriterier)?
Hvor mange prosjekter rehabiliterer dere hvert år? Hvem/hva bestemmer behovet?
Hvilke hensyn (tilstand på bygningen, størrelse på rehab-prosjekt, hensyn til beboere, politiske føringer)?
Hva er som regel tilstand for bygningen når dere starter rehabilitering? Hvordan registrerer dere tilstand/oppgraderingsbehov?
(Hva er viktig når dere skal rehabilitere?) Hvilke elementer inngår? Energinivå/miljøhensyn/bruk av fornybare energiløsninger, estetikk, bedre inneklima, antall rehabiliterete bygg (raten/antall eller størrelse på tiltak som prioriteres), budsjett, brukerhensyn, tid for rehab?
Hva er viktig å oppnå med rehabiliteringen? Til hvilket nivå rehabiliteres det normalt? (Dagens tek, vedlikehold på gjeldende standard, ambisiøs standard?)
Hva er viktige hensyn underveis i prosessen?
Hva er driverne for rehab? Komfort, inneklima, miljøaspekt, energibruk, renomme/politiske mål/føringer, økonomi? Hva er viktigst?
Beskriv saksgangen for å komme i gang med og tidligfase for et rehabiliteringsprosjekt (for drivere?).
Tegne faser og roller? Hvem er involvert, hvem beslutter, ulike barrierer for forskjellige roller? Beskriv roller, kompetanse og beslutningsmyndighet
Forutsetninger for å få til rehab? (Barrierer)
Nevn viktige forutsetninger for å oppnå et godt rehabiliteringsprosjekt?
Hvor støter dere ofte på problemer? Beskriv – økonomi, tid, beboere, tekniske utfordringer
Hvilke tiltak gjør dere for å løse disse? Hva kan gjøres annerledes?
Politiske føringer, mål. (Oslo kommune har høye ambisjoner for klima)
Tidsbruk
Hvordan er tidsbruk ved vanlig rehabilitering? Hva er utfordrende på tid? Spesielle ting de vil nevne for hva som kan forsinke/forsere prosessen? Hva er effekten av raskere rehabiliteringstid (bruk av elementer) for dere? (Beboere kan bli boende, mindre rigge-kostnader etc?) (også økonomisk gevinst)
Økonomi
Hva er viktigste elementer i forhold til budsjett og økonomi?
Årlig budsjett, tilskudd, tilbakebetalingstid, energibesparelser/leieinntekter (gjengs leie -boligbygg må investere, leietaker tjener på spart strøm uten at leie kan økes)
Hva slags støtteordninger bruker dere? (Enova, husbanken, kommunalbanken).
Hvor godt kjenner dere til disse? Og brukes det ofte? Hvor egnelige er de.
Politiske prosesser, bevilgninger – utfordringer?
Hvilke tiltak hadde hjulpet dere å rehabilitere flere bygg/bedre rehabilitering?
Kunnskapsnivå
Er det noen utfordringer knyttet til kunnskap om rehabilitering? Nye krav i TEK, passivhusnivå, andre krav? Forskjeller hos ulike beslutningstakere?
Ta i bruk innovativ teknologi
EU-prosjektet fremmer innovative teknologier som fasadeelementer, energi-hub, og bruk av fornybar teknologi som PV og solfangere. Hva skal til for at dere føler dere trygge på å velge slike løsninger?
(Informasjon om produktet, utvikle produkt/konsept underveis, hvem kan prosjektere, hvordan blir det å drifte, garanti for service og reservedeler, TG, innovativ anskaffelse – kontrakter)
Hvilke hindringer ser dere som de mest sentrale? Hva har vært det vanskeligste så langt?
**Suksesshistorier – hva er dere gode på?**
Hva er deres beste råd for god gjennomføring av rehabiliteringsprosjekter?
Dere har blant annet mye erfaring fra baderom-rehabilitering?
Focus group interview in Catalan as used in Spanish case
Moderadors _ Aigusol + Acció Exterior d’AHC
Benvinguda (1-2 minutes)
Presentació del Projecte (5-10 minuts)
Presentació del mètode-Focus Group Interview
Presentació dels participants
Objectiu
Una de les finalitats del projecte 4RinEU és desenvolupar una guia per ajudar a identificar i reduir les barreres en la renovació energètica integral dels edificis d’habitatges, així com fer créixer la motivació dins dels grups d’interès en l’àmbit de diferents Geo-clústers de l’UE. Mitjançant entrevistes a Focus grup (“grups objectiu”) i l’estudi de bibliografia existent, el projecte intentarà identificar com planejar, informar i incloure els usuaris per aconseguir l’estalvi energètic previst i per minimitzar les molèsties en els processos de renovació. L’objectiu global és la implementació de solucions de forma exitosa i eficient, i l’augment de la taxa de renovació en aquest tipus d’edificis.
El present estudi es fonamenta en els casos demostratius del projecte 4RinEU, que són tots edificis residencials de propietat pública destinats a habitatge social. L’anàlisi identificarà els rols, les necessitats i els interessos dels propietaris, arrendataris i autoritats públiques (i es definirà l’esquema de la presa de decisions).
Temes a debatre
Quines són les barreres i estímuls relacionats amb les diferents funcions i diferents etapes del procés?
Llogaters (25 min)
Descriure els inquilins.
Com s'assignen els apartaments (basat en quin criteri)?
Quin tipus de seguiment reben els inquilins?
Quines consideracions són necessàries per a aquest tipus d'inquilins?
Actituds que tenen els inquilins pel que fa a la renovació/rehabilitació/mesures? Hi ha conflictes d'interessos entre l'usuari/l'Agència de l'habitatge o d'altres? Què es requereix per tenir els inquilins satisfets posteriorment?
Com gestionen els inquilins l'ús d'energia? Quins hàbits diaris tenen (temperatura interior, cuinar, ús habitual de l'apartament)? Els inquilins serien capaços d'utilitzar les noves tecnologies?
Quines són les consideracions especials i/o rellevants, en el procés de renovació - soroll, no pertorbar els inquilins, problemes amb accés a l'apartament (claus), la salut del llogater (usuaris, que no poden sortir de l'habitatge durant la renovació) etc.?
Com involucrar els usuaris en el procés?
Què podria causar problemes en el procés? Qui és l'Informador més important?
Quines limitacions posen els inquilins alhora d'escollir solucions?
Què es necessita per a que utilitzin correctament les solucions?
**Per què renovar? - estímuls (25 min)**
Quin criteri es fa servir per seleccionar els projectes de renovació?
(estat de la construcció, la mida del projecte de renovació, consideracions dels inquilins, directrius polítiques...)
Quants projectes de renovació fa l'AHC cada any? Qui o què decideix la necessitat de fer-ho?
Quines són normalment les condicions de l'edifici quan s'inicia el procés de renovació? Com es valoren les condicions de l'edifici/els requisits de millora?
Què és important per l'AHC quan renova? Quins elements estan inclosos? El nivell d'energia/aspectes ambientals/ ús de solucions d'energies renovables, estètica, millora del clima interior, nombre d'edificis renovats (taxa/ nombre o mida de les mesures prioritàries), pressupost, l'impacte de l'usuari, temps destinat per a la renovació?
Què és important aconseguir amb la renovació? Fins a quin nivell s'arriba amb la renovació (segons normativa, manteniment segons nivells estàndards, nivell ambiciós?)
Quines són les consideracions importants a seguir durant el procés?
Confort, clima interior, aspectes ambientals, reputació/objectius polítics/estratègia, finances. Què és més important?
Descriure el procediment a l'inici i al llarg de la primera fase d'un projecte renovació.
Identificar fases i rols? Qui està involucrat, qui decideix, diferents barreres per a diferents funcions? Descriure les funcions, competències i presa de decisions.
**Premisses per aconseguir la renovació - barreres (25 min)**
Nomena les premisses importants per garantir un bon projecte de renovació.
Quin tipus de reptes són habituals? Descriu reptes financers/costos, de temps, dels llogaters o tècnics.
Quines mesures es prenen per resoldre aquests reptes? Què es pot fer de manera diferent?
Directrius polítics, objectius.
L'aspecte del temps
Quant temps es necessita normalment per una renovació normal? Què és el que consumeix temps? Segons AHC, quins són els efectes/beneficis d'utilitzar solucions “plug and play” (fàcilment instal·lables) i períodes més curts de renovació? (els inquilins poden romandre/no han de ser traslladats, reducció dels costos de
construcció in situ, menys costos vinculats a les instal·lacions dels treballs de construcció, etc.)? (també guanys financers
Finances
Quins són els elements més importants relacionats amb el pressupost i les finances/costos?
Pressupost anual, beques, temps de retorn del pagament, estalvi energètic/ingressos de lloguer. Dificultats vinculades a inversions que AHC ha de realitzar, estalvis energètics que beneficien al llogater, establiment del preu de lloguer per part de les autoritats públiques.
Quins mecanismes de suport utilitza l’AHC? (Fons per l’estalvi energètic, Fonts FEDER, etc...). L’AHC està familiaritzada amb aquests tipus d’ajudes? S’utilitzen freqüentment? Són adequades?
Quines mesures permetrien a AHC renovar més i millor els edificis?
Nivell de coneixements
Hi han reptes relacionats amb el coneixement sobre la renovació? Noves necessitats en els codis de construcció, estàndards en edificació passiva o eficient, altres requisits? Diferències entre els diferents agents involucrats?
Ús de tecnologia innovadora (20 min)
El projecte europeu promou tecnologies innovadores com elements prefabricats de façana, l’Energy-Hub i l’ús de les tecnologies renovables com PV i captadors ST. Què necessita l’AHC per confiar en l’elecció d’aquestes solucions?
Obstacles que considereu més importants? Què ha estat més difícil fins ara?
Casos d’èxit – En què és bona l’AHC?
Quins són els millors consells per un procés de renovació exitós?
L’AHC té experiència/competència/mètodes especials que vulgui compartir?
Fi del Focus Group Interview
Gràcies per la seva participació
|
Integrating Research Experiences into the Undergraduate Education
Wolfgang Bauer
MICHIGAN STATE UNIVERSITY
What I plan to cover …
- Changes in curriculum
- Outreach efforts to increase recruiting base
- Building a community for our undergraduates
- Research integration into the introductory curriculum
- Research experiences
- … a final thought on demographics
Physics Astronomy Enrollment
1995/6 129
1997/8 117
1999/0 118
2001/2 123
2003/4 129
2005/6 130
2007/8 139
Undergrad.
1995/6 110
1997/8 112
1999/0 119
2001/2 137
2003/4 126
2005/6 135
2007/8 142
Graduate
1995/6 102
1997/8 111
1999/0 129
2001/2 130
2003/4 142
2005/6 164
2007/8 186
225
246
259
262
270
Curriculum Changes
Our Old Way of Offering Courses
- Take calculus first
- Take no physics class in 1st semester
- Start with calculus-based physics in 2nd semester (mechanics)
- Take E&M in 3rd semester, wait with modern physics until 4th semester
- Wait with exciting (advanced) physics labs until at least the junior year
- Pick up computer skills at your own peril
Our Old Result
> Physics majors did not take physics in the first semester
- Top students moved to math in early semesters
> Physics majors saw very little of current interest until their junior year
- Top students moved to engineering in sophomore and junior years
> Bottom line: Less than 80 physics majors in a university of ~40,000 students!
- Compare: >150 grad students, ~60 faculty
Curriculum changes
> Get student to do some kind of meaningful experiments right away
- Teach them the scientific method by inquiry
> Get them into small classes
- Establish a community
> Enable students to use the computer right away
- Allow them to tackle problems, for which they “do not have the math” yet
PHY170 (1st Semester Lab Course)
> Socratic method
Physics 170 is a special course in EXPERIMENTAL PHYSICS for first year students. The main aim of the course is to have you learn something about REAL physics as done in a research laboratory. There will be no formal lectures (or exams) so that all of your learning will be done by: (1) reading, (2) having discussions with your lab partner and the instructors, and (3) performing "hands-on" experiments.
> Just the basics
1. How to conceive, set up, and perform experiments in a few selected areas of physics.
2. How to use the computer to:
a) Acquire, graph and analyze your data.
b) Simulate your experiment.
3. How to keep a neat and meaningful laboratory notebook.
4. How to present your results in both written and oral format.
> Just two topics: Vacuum physics, optics
> 6 hours per week
Computers in Physics Classes
- Only open to physics and astronomy majors
- Optional, but may be made mandatory in the future
- Hands-on, experiential, small-class
- PHY102: Mathematica
- Non-linear pendulum, chaos, maps, motion in gravitational field, ...
- PHY201: Fortran 90
- PHY301: C/C++
- PHY480: Computational Physics
Outreach
Active physics outreach
2005 3 10
Active Physics Outreach
- Science & Engineering Day
- Grandparents University
- Science Olympiad
- PAN (Physics of Atomic Nuclei)
- QuarkNet
- LON-CAPA
- Many local high schools as partners
- THE DUMP (Teachers Helping Everyone Develop User Materials and Problems)
- See http://www.lon-capa.org/
Ion-capa: the dump
Newsletter
> Once per year
> ~2,500 copies
> As PDF on the web
Website
> It’s where prospective students look
> Free opportunity for self-promotion
Feature Undergrads & Recent Alumni
Newsletter, website features
- Scholarships (Goldwater, Gates, Rhodes)
- Departmental scholarships (a lot of “advancement” work)
- Other awards
Community
A new building REALLY helps!
A NEW ERA OF SCIENCE AT MSU
A new burst of scientific activity on campus revolves around MSU’s new Biomedical and Physical Sciences Building
BPS Building
> Completed 04/2002
> 362,700 sqft
> $93 million
> Microbiology
> Physiology
> Physics/Astronomy
1st Floor
Atrium with coffee shop
WiFi, plenty of plugs
Attractive space to hang out, do homework, discuss, meet friends
Open even on the weekend
Department BBQ
Building community with undergraduates
“March Madness”
W. Bauer, MSU 5/22/09
Student Organizations
> SPS
- Receives annual funding from department
- Has own lounge
- Holds weekly seminars, but also movie nights
> Science Theatre
- Initially founded by PHY grad students (Leslie-Pelicky, Mader, Kortemeyer)
- Hands-off faculty advisor
- Now more undergraduate students
> WAMPS
- Women and Minorities in the Physical Sciences
Science Theatre
Modern Research Results in the Introductory Curriculum
Recent Research Results
> Conventional lecture sequence emphasizes results that are older than 100 years
- Biology: last 2 decades
> Can include recent results from particle physics, non-linear dynamics, astrophysics, nuclear physics, atomic physics into first year physics curriculum
- Speaks to the relevance of the field
- Lets students envision that they can contribute
- Lets students see that physics is alive
Recent Research Results
Example: Momentum conservation and top-quark discovery
Research Experiences
Professorial Assistants
- Year-long one-on-one research experience for top incoming MSU freshmen in “lab” of a professor
- $3,000 stipend
- Renewable for subsequent years
- 100 students each year across MSU
- ~6-8/year in PHY
- (0.5% of MSU students major in PHY)
- More than 10 times more PAs than our “fair share”
- Excellent recruiting tool for PHY majors!
Weather Research
Brad Keusch
- MSU Freshman
- Professorial Assistant
Research project
- Examine how chaotic the weather is in different parts of the country
- Extract Liapunov exponents from comparing 10-day forecasts to the actual daily highs and lows
REU (since 1988)
(annual visit from Notre Dame REU)
Real Involvement in Real Research
> ATLAS Calorimeter
Real Involvement in Real Research
> SOAR Telescope (Andes, Chile)
SOAR Remote Control & Observing Room
The team at the Mission Control Center in Brazil, monitoring the launch and early flight of the STS-120 mission.
The Modular Neutron Array at the NSCL
Michael Thoennessen
Issues and Events
Undergraduates Assemble Neutron Detector
Spreading the construction of a detector across several institutions brings project visibility to participants.
“The undergraduates come running,” So says Ruth Howes about student participation in the Modular Neutron Array, or MoNA, a detector built in large part by undergraduate physics majors. Howes, chair of the physics department at Marquette University in Milwaukee, Wisconsin, says it is unusual and significant that students can work on MoNA without leaving their home institutions. The detector was installed last summer at National Superconducting Cyclotron Laboratory (NSCL) at Michigan State University.
The facilities offering the biggest competition for MoNA, he adds, are GSI in Darmstadt, Germany, RIKEN in Tokyo, and GANIL in France.
Ranking right up with the project’s scientific potential is student involvement, which helped drum up funding. Recalls Jim Brown, a physicist at Wabash College in Crawfordsville, Indiana, “One of my undergraduates had been a funeral director. He was 30 and had a steady girlfriend. Another had worked in industry and had a wife. They appreciate being involved in real, publishable research, but they can’t leave home the way 20-year-olds can, for the whole summer.”
T. Feder, Physics Today March 2005, p.25
“That’s what NSF is about” (Bob Eisenstein, NSF Assistant Director in 2001)
The Modular Neutron Array (MoNA)
Michael Thoennessen
- ToF Neutron Detector
- 10 X 10 X 200 cm Bar of Plastic Scintillator
- 9 Layers of 16 Stacked Bars
- Time Resolution < 1 ns
- Position Resolution ~ 10 cm
- Detection Efficiency ~ 70 % for 85 MeV/A Neutrons
... a final thought, perhaps
Physics Astronomy Enrollment
1995/6 129
1997/8 117
1999/0 118
2001/2 123
2003/4 129
2005/6 130
2007/8 139
Undergrad.
1995/6 110
1997/8 112
1999/0 119
2001/2 137
2003/4 126
2005/6 135
2007/8 142
Graduate
1995/6 102
1997/8 111
1999/0 129
2001/2 130
2003/4 142
2005/6 164
2007/8 186
225
246
259
262
270
Physics Astronomy Enrollment
Undergrad. Graduate Female Faculty
1995/6 2 2 2
1997/8 2 2 2
1999/0 2 2 2
2001/2 0 2 2
2003/4 5 7 8
2005/6 8 8 8
2007/8 8 8 8
2009/10 8 8 8
Department of Physics
Department of Astronomy
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Ashley Longshore
She minces no words about her art career, materialism, and her love affair with bizjets.
Big pleasures in Spain’s little-known Navarra
A nearly perfect turboprop
Bored sitting in back? Learn how to fly
When speed matters.
Avanti EVO, a legend reborn.
Feel the advantage of power and speed.
Refined travel has never been so fast.
Just sit back, relax and take control of your time.
With the world’s fastest business turboprop,
you’ll be there sooner than you think.
www.piaggioaerospace.it
FLYING
20 TAXES, LAWS, AND FINANCE
Does privatizing America’s air-traffic-control system make sense? Probably not, but proposals to do so keep coming.
22 FACTORY-NEW AIRCRAFT
The latest versions of the TBM series turboprop seem close to perfect.
30 USED AIRCRAFT REVIEW
Embraer’s Phenom 100 received justifiable early criticism but today it deserves high marks for its speed, comfort, and economical operation.
33 PREOWNED
Sales activity is on the rise. But that has had at least one negative consequence.
37 READY FOR TAKEOFF
Recently upgraded aircraft now on the market.
52 INSIDE CHARTERS
Making “impossible” vacations possible.
64 EXIT
A 1970s report on aviation’s future proved variously accurate and completely wrong.
On the Cover:
Artist Ashley Longshore in her New Orleans studio. Photo by Paul Costello.
Coming Soon in BJT
• Readers’ Choice survey results
• Hawker 850XP review
• Outfitting your aircraft
Cabin Comforts
Our annual report on the latest and greatest technology and furnishings for business aircraft. Page 26
34 BIZAV’S CLIMATE-CHANGE RESPONSE GETS BACK ON TRACK
Sustainable fuel leads to renewed calls for carbon neutrality.
42 RETURN OF THE EXECUTIVE SEAPLANE
The popularity of these aircraft declined after World War II. Here’s why they’re making a resurgence.
46 LEARNING TO FLY
Tired of sitting in the back? Here’s how to make the switch from passenger to pilot.
The game-changing Legacy 500, with its exclusive full fly-by-wire controls – previously available only in modern airliners and much larger business jets – is the benchmark for the future in performance, comfort and passenger experience. On the flight deck, the advanced Rockwell Collins Pro Line Fusion™ platform puts pilots in complete control in a cockpit environment that provides superior ergonomics. With seating for up to 12 passengers, the Legacy 600 features a spacious stand-up cabin with a flat floor, fully equipped galley, state-of-the-art in-flight entertainment system, elegant seating that converts into fully flat berths and the lowest cabin altitude of any medium-cabin aircraft. Its extensive main baggage compartment is complemented by a generous in-flight-accessible cabin stowage space. Boasting enviable speed, the clean-sheet design Legacy 500 delivers a high-speed cruise of Mach 0.82 and excellent runway performance.
LEGACY 500: EMBRAER MADE IT GOLD
“We believe in business aviation. We believe in meeting with our customers and bringing our employees to the places they need to be, when they need to be there.
From the pilot’s perspective, I love the capability of this aircraft, the avionics and systems, the redundant backup systems. I love the comfort of this aircraft. I love the flat floor. I love that we can design this aircraft to be what we want it to be. I love the ability that my ground people can maintain this aircraft quite easily.
The entry into service for this plane was excellent. I mean, we had nominal squawks – I think we had one AOG, and it got handled right away. We didn’t know the price we would pay for entry into service, and Embraer made that gold.
There is a definite cost to business aviation, and you have to equate what that cost is versus the value it provides for the solutions you are trying to provide to your customers and your employees. And in the end, we win. We think it’s worth every dollar that we spend in business aviation for the benefit of our customers and our operations.”
- Brian Johnson, Senior Executive Advisor, Michels Corporation
Watch Brain’s story and request more information at EmbraerExecutiveJets.com/Brian
PEOPLE
14 ASHLEY LONGSHORE
The artist, a huge fan of business jets, has achieved success with irreverent paintings and a personality to match.
TIME OFF
38 LOW-LEVEL FLYING
Jaguar’s I-Pace could charge up the electric-vehicle category.
50 OUTDOOR ADVENTURES
A magical New Hampshire hike.
DEPARTMENTS
6 UP FRONT
How asterisks wound up in our cover story.
8 ON THE FLY
An astonishing miniature world, airborne Australian pub crawls, and an extraordinary equestrian event.
12 ON THE ROAD
The pleasures of big-city walks.
44 MONEY MATTERS
What you need to know about bitcoin and other cryptocurrencies.
62 TRAVELER CALENDAR
The year’s biggest business aviation event.
FEATURED CONTRIBUTOR
MARK EVELEIGH
Eveleigh was originally lured to Spain’s Pamplona by the words of Ernest Hemingway, but he fell in love with the city and stayed for 10 years. He still returns regularly and he jumped at an opportunity to cover one of Spain’s most fascinating little-known spots for Business Jet Traveler.
A globetrotting travel writer for more than a quarter century, Eveleigh has contributed to approximately 80 publications, including Esquire, CNN Traveler, National Geographic Traveler, and numerous inflight magazines. He led the first expedition of foreigners into Central Borneo’s “valley of the spirit world” while researching his book Fever Trees of Borneo. He also trekked through northern Madagascar with a zebu pack-bull, a journey he recounted in the book Maverick in Madagascar, which National Geographic published.
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I confess I was not familiar with Ashley Longshore—the vibrant artist featured on this issue’s cover—before Margie Goldsmith proposed interviewing her for *BJT* (*see page 14*). When I first glanced at the transcript of their conversation, I was struck by Longshore’s fearlessness: she seems to always say exactly what she feels—and with no filter. I admired her forthrightness, but I also worried about how some of her comments would come across—especially her frequent use of expletives.
Four-letter words are pretty common in conversation these days, but we have never been faced with this many of them in an interview slated for publication, and we deliberated about what to do. Coincidentally, just as we were considering this question, the *New York Times* ran a major piece about Longshore. The paper chose to eliminate all the curse words, stating, “Sprinkled with phrases too salty for a family news organization, Ms. Longshore’s conversation is a performance in itself.”
It is indeed—which is why we decided against doing what the *Times* did. Instead, we opted to leave enough of Longshore’s language intact to convey her personality. But we also enlisted a whole lot of help from asterisks.
---
**More Awards for BJT**
I’m pleased to announce that *Business Jet Traveler* has won a 2018 Magazine of the Year Top 10 Award for Overall Excellence from the American Society of Business Publication Editors—an honor we received in 2011, 2013, and 2016 as well. Also this year, the ASBPE judges recognized *BJT* with national and regional Bronze Awards for Best Front Cover Design, national and regional Gold Awards for Best Regular Contributed Column (Taxes, Laws, and Finance, by Jeff Wieand), national and regional Bronze Awards for Best Regular Contributed Column (Outdoor Adventures, by Thomas R. Pero), and national and regional Gold Awards for Best Product Section/Department (Used Aircraft Review, by Mark Huber).
*BJT* has now won a total of 68 awards in 10 journalism competitions. It is an enormous privilege to be able to work with such a talented team of editors, writers, designers, and production managers. —J.L.E.
---
On June 21, *BJT* once again hosted readers at a National Business Aviation Association regional forum in White Plains, New York. Here, Jennifer English greets guests with AIN Publications director of finance Michele Hubert (left).
Life and business don’t stop at 40,000 feet. Now, neither does high-speed internet.
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From the leader in business jet connectivity
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In Australia’s vast Northern Territory, grabbing a drink with your mates can be complicated. When your favorite pub is 70 kilometers away on a tiny island in the middle of a river, a little creativity is in order—and companies such as Airborne Solutions and Pterodactyl Helicopters have stepped forward to provide it. Both offer the ultimate in designated drivers via helicopter tours that include stops at assorted far-flung pubs.
Airborne Solutions’ Heli Pub Tours depart from Darwin, the territory’s capital and largest city. “The idea came through one of the pilots we employ, who was a former publican,” says Clinton Brisk, the company’s managing director. Though Brisk was skeptical at first, the idea of a helicopter pub crawl quickly took off.
Customers on the full-day tour spend a little over two hours in the air and touch down at five outback pubs, usually raising a few eyebrows with each dramatic arrival. “At the Darwin River Tavern, we land right in the beer garden,” says Brisk. “It’s quite a surprise for the people having a drink.”
There’s more to the day than cold beers. Flying above the rugged Top End coastline, across abundant wetlands, and over the croc-infested Adelaide River, passengers often see nesting turtles, buffalo, and brumbies (wild horses).
“Our guests have a pub crawl in mind,” says Brisk, “but when they take off and the Top End opens up in front of them it’s a whole different experience.”
Airborne Solutions’ full-day helicopter pub tours cost AU$790 (US$583) per person for three people; larger groups can be accommodated using multiple helicopters. At Pterodactyl Helicopters, which also offers wine tours, pub crawls begin in multiple locations and prices start at AUS995 (US$735) per person, which includes lunch and one beer per venue. That’s the drink limit, according to the company, whose website advises that “safety is paramount…it’s more about the experience [than the alcohol].”
—Lauren Fitzpatrick
“[That may sound heavy] a reference to the half-a-million-pound weight of the under-development Stratolaunch aircraft]. But remember that [it] is the world’s largest plane by wingspan, measuring 385 feet. By comparison, a National Football League field spans only 360 feet.”
—Jean Floyd, chief executive at Microsoft cofounder Paul Allen’s Stratolaunch Systems
Located in the new Archer Hotel in California’s Napa Valley, Charlie Palmer Steak offers a refined ambiance and awesome steaks. The smart and rather large dining room presents shades of taupe and brown, and raw stone.
For starters, try the “pig ear” pad thai, with spicy peanut, cilantro, and lime; seared Hudson Valley foie gras with strawberry, rhubarb, pistachio, elderflower, and pain perdu; or the selection of oysters on the half shell. For mains, steaks are centerstage, with nine selections. On my visits, I’ve enjoyed the rare Snake River Farms strip and the tender bone-on ribeye with red wine natural jus. Yet the roasted Superior Farms lamb rack with farro risotto, spring peas, serrano, and mint jelly gives the steaks a run for the money. Fine sides include creamed spinach, truffle with bacon-spiced twice-baked potato, Brussels sprouts with coriander, and crispy fries with chipotle aioli.
For dessert, try the peanut butter terrine, with bananas and curried, candied peanuts. (Elvis would’ve loved it!) The wine list is extensive, and there’s also an ample by-the-glass beer-and-wine menu. The waitstaff can get a bit overworked but they remain friendly and professional.
Charlie Palmer Steak—which also has locations in New York, Washington, D.C., and Las Vegas and Reno, Nevada—is a welcome addition to the Napa scene.
—Bob Ecker
Duncan Aviation was founded in 1956 as an aircraft sales organization and is a founding member of NARA. Since 1956, we have conducted more than 3,500 transactions. We have 2,150 aviation experts worldwide, each with an average of 12 years with the company. The aircraft sales team partners with these experts to provide technical support before, during and after the aircraft transaction.
www.DuncanAviation.aero/aircraftsales
Experience. Unlike any other.
An extraordinary equestrian event
In western North Carolina’s horse country, the historic small town of Tryon and surrounding communities are about to be put on the global map. The FEI World Equestrian Games, which will take place here from September 11 to 23, are expected to draw 500,000 spectators. That would be the highest attendance figure for any sporting event in the U.S. this year.
About a thousand athletes and 1,500 horses from more than 70 nations will compete in eight equestrian disciplines at Tryon International Equestrian Center in Mill Springs. Spectators will see elegant movement and skilled performance in dressage, para-equestrian dressage, and vaulting, which has been described as gymnastics on horseback. The disciplines of jumping, reining, eventing, carriage driving, and endurance (considered the marathon of equestrian sport) will show a mix of high-octane sport, fitness, and technique. In addition to the competitions, exhibitions, trade booths, and games will highlight the enduring connection between horses and humans.
The quadrennial Games have previously been hosted in Sweden, the Netherlands, Italy, Spain, Germany, Kentucky, and most recently, France. A premier venue well prepared for this year’s influx, Tryon International Equestrian Center is in the foothills of the Blue Ridge Mountains near Asheville and Charlotte, North Carolina, and Greenville and Spartanburg, South Carolina.
For event ticketing, hospitality, and lodging, visit Tryon2018.com.
—Ann Yungmeyer
Tiny Scenes, Huge Exhibit
Jonathan Swift wrote about a miniature world, but Gulliver’s Gate actually created one. The largest interactive museum of its kind, it opened last year just off Times Square in New York and features more than 300 built-to-scale scenes from dozens of countries—complete with trains and cars that move, ships that sail, balloons that float, waterfalls that tumble, and airliners that take off and land. In addition to such landmarks as the Great Wall of China and London’s Big Ben, the $40 million, 50,000-square-foot museum offers fantasy displays such as Thor’s Mountain, which flashes blue thunderbolts from a cloud.
Visitors can use a full-body scanner and 3D printer to create miniature versions of themselves to become part of the display and also keep as a souvenir. They can also watch the model makers work, as the exhibit grows daily.
—Margie Goldsmith
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Talkin’ about walkin’
Forget taxis, buses, and subways.
Our correspondent would much rather get around big cities on foot.
by Joe Sharkey
My love of long-distance city walking originated in the 1980s when I was an editor at the Wall Street Journal, which was then headquartered in the new World Financial Center by the Hudson River, just across from the World Trade Center.
Mornings and late afternoons at the newspaper were busy, but lunch-hour timing tended not to be rigorously enforced in that 24/7 pre-digital era. On nice days, I’d grab a falafel from a street cart and stroll around lower Manhattan, sometimes up through SoHo and into what was left of Little Italy and into Chinatown. Occasionally I’d walk across the Brooklyn Bridge and back. One of the great things about walking in New York: you never run out of city.
Some weekends, I’d persuade my kids to wander the city with me, though that became more of a challenge after they turned into busy teenagers, when my daughter began referring to these excursions as Dad’s Forced March, a term they still use, but now fondly.
I travel a lot to big cities, and taking a long walk in a city is always as crucial to me as fitting in a run is for others. Even with GPS, I often get into trouble when driving. (Not long ago, I spent literally three hours lost after trying to avoid traffic in Seattle while the lady on the GPS kept barking frantic orders at me to take this loop or that bypass.) This never happens when I walk, though of course my range is more limited then.
Not long ago, my wife and I stayed in a nice Airbnb apartment near Santa Maria Maggiore in Rome. One day I had a lunch appointment with my Italian publisher in Via delle Fornaci, which was about four miles away, on the other side of town. Worried that I chose to walk in a city I hadn’t visited since 1978, my wife spread out a subway map.
“Take the metro or you’ll get lost,” she insisted.
I demurred, “I love to walk in cities. I’m just a wanderer, a rambler, a flaneur, a boulevardier—”
“A drifter?” she put in. “Take the metro or a taxi.”
But I walked and was at my publisher’s office within about an hour. Getting there on foot was easy, as it always is in a city with big visual landmarks. From Santa Maria Maggiore, you skirt the Colosseum and the Forum, head over to the Plaza Venezia, which is readily identifiable by that enormous marble heap, the ugliest manmade structure on earth: the Vittorio Emanuel II monument. Turn right, pressing on with St. Peter’s dome as a bearing. Cross the Tiber, dodge the armies of Chinese tourists taking selfies at Bernini’s colonnade, hang a left...
out the Vatican City wall and voilà (or however the Romans say that), you’re at an outdoor café having lunch with your Italian publisher.
Landmark guidance is, obviously, most useful for walking in cities with familiar sights, including New York, Paris, and London—though walking in London can be more challenging than driving on the other side of the road, in that stepping off a curb requires resisting the nearly invincible instinct to first look to the left.
Apparently, more and more people are discovering the benefits of a city walk. Even Los Angeles, the quintessential city of the automobile, is becoming known for walking. I cite no less an authority than my one-time employer, the *Wall Street Journal*, which declared last spring: “Meet the hottest new amenity in Los Angeles luxury real estate: walkability.” The ability to walk to urban attractions, the *Journal* reported, is driving a new trend in Los Angeles-area real estate, from downtown to Beverly Hills. “There are days when I don’t touch the car,” one denizen said.
As such people are no doubt discovering, you see more on foot than you would in a car, bus, or subway. Plus, walking is excellent exercise and better for the environment. But the news isn’t all good: as more people walk, and as some drivers and pedestrians become increasingly engaged with their phones, pedestrian casualties are soaring. In 2016, there were nearly 6,000 pedestrian deaths in the U.S., an increase of 46 percent since 2009, according to the Insurance Institute for Highway Safety.
Meanwhile, in some cities pedestrians face a new, if less-lethal, hazard: electric scooters whizzing around on sidewalks. The problem is said to be especially acute in San Francisco, where companies renting motorized scooters, well-funded as tech startups, are behind the proliferation. “Fury-inducing,” fumed the website Curbed San Francisco. “Cities need to develop a multimodal lane for more than just bikes.”
Well, that’s one idea. But to quote the late Gilda Radner as the persnickety Roseanne Roseannadanna on the old *Saturday Night Live*, “It just goes to show you, it’s always something—if it ain’t one thing, it’s another.”
*Joe Sharkey (email@example.com), the author of six books and a longtime BJT contributor, wrote a weekly business travel column for the *New York Times* for 16 years.*
ASHLEY LONGSHORE
The artist, a huge fan of business jets, has achieved success with irreverent paintings and a personality to match.
by Margie Goldsmith
New Orleans-based artist Ashley Longshore has been compared to Andy Warhol because of her obsession with pop-culture figures and relationships with celebrities. Known for her paintings of icons ranging from Audrey Hepburn and Grace Kelly to Abraham Lincoln and Winston Churchill, she also fashions diamond rugs, jeweled butterflies, porcelain plates, blingy trays, sculptures, and bedazzled furniture. In January, Longshore became the first solo female artist to have her work featured in the Fifth Avenue windows and seventh floor of New York’s famous Bergdorf Goodman department store. Her collector clients include actresses Blake Lively, Salma Hayek, and Penelope Cruz, NFL quarterback Eli Manning, and Wall Street’s elite.
Longshore—who was included by Forbes on its 2014 list of the South’s leading female entrepreneurs—combines pop art with high fashion and has collaborated with such brands as Chloe, Anthropologie, and Judith Leiber. Her 2017 book, You Don’t Look Fat, You Look Crazy: An Unapologetic Guide to Being Ambitious, offers a window into her irreverent personality and pop-art-filled life. The book—whose few printable chapter titles include “The Art of Self-Promotion” and “A Not-So-Desperate Housewife”—opens with an essay in which she proclaims that “I was born different. I was the weird kid who got picked on because I had a big voice and a loud personality, and I insisted on doing things my way.”
She still does, and her saucy style comes across loud and clear in her paintings: in one, Jesus holds a black AmEx card; in another, Wonder Woman dresses in Chanel. And then there are the paintings that broadcast her love of flying privately. The text on one proclaims, “I do not cook, I do not clean, I do not fly commercial.” Another announces, “Not having a jet is so ratchet.”
Brought up in Montgomery, Alabama, Longshore says her father was supportive but hoped she’d meet a really successful man. Her mother needed her husband’s permission to buy anything. Ashley, on the other hand, had an independent streak and decided that she had an opportunity to live out her dreams. When she was 18, she took her father’s American Express card and bought a paint kit, which led to a decision to make art her career.
We visited Longshore’s New Orleans gallery, where she pointed out oversized gold-sequined armchairs, a decorated cardboard cake big enough for her to jump out of, and a display of glittery Judith Leiber–collaborated purses. Many of her paintings hung from the walls, including one the size of a garage door that read, “Little Miss Muffet Became Warren Buffet and Stacked Up Her Own Money, Honey.”
“If we sell that big one, we can get a P.J. to Carmel,” Longshore said, “And this one here is good for a flight to Jamaica.” She had also peppered her conversation with private jet references when we met her a few days earlier for our interview in New York, where the effervescent artist greeted us in her suite at the Plaza Hotel dressed in Brooks Brothers pajamas.
What initially attracted you to painting?
It was a place of escape from the outside world. At that time, there was all this press about Peter Max and Jeff Koons and I thought, “These artists are making $50 million a year and they’re alive.” I’d always thought artists were famous when they were dead. I thought, “I’m going to be the woman artist.”
I wondered, “How can I build this thing and be the double-comma momma [millionaire] that I always wanted to be? How in the hell can I get on that jet?” And now I have huge chairs full of shredded money that say “double-comma momma.” And why not, damn it?
When you started, nobody would pay attention to you. Was it depressing?
F**k, no. What am I going to do? Sit on my sofa and cry—or wake up and make something? If I don’t make something, then I can’t sell something. If I don’t sell something, how the f**k am I going to get on a GIV?
Where do your ideas come from? Do they just pop into your head?
Yes. The other day, I had a conversation with a girl and this phrase came out: “It’s so vanilla missionary.” I love that s**t. I think it’s my job to say what’s going on in pop culture all around me.
You’ve been compared to Andy Warhol. Was he a big influence?
Warhol was painting objects that we could all relate to and I put a lot of that in my own art—Birkin bags, high-heeled shoes, black American Express cards, money, all these things that the media and the culture are telling me I need to make me somebody. I think that Warhol and I have that in common; but Andy was Andy and I am Ashley.
Were you influenced by Picasso?
I loved Picasso. The first one of his pieces I saw in person was *The Rape of the Sabine Women*. It moved me in a way that I’ve never been moved before. I wanted to paint like Picasso, so I taught myself how to blend colors that way and then one day I just broke free and started painting what I wanted to paint. It’s an interesting step to go from seeing something in your mind to putting it on the canvas; it’s hard, like writing a book. You have to come up with your own method.
You’ve avoided the traditional gallery system.
I am not f**king giving up 50 percent [in fees to galleries]. I encourage artists to see themselves as entrepreneurs. You’re creating an item that people want, and you should be able to keep 100 percent of your profit. Fifty percent is way too much to give up and I think it completely f**ks up the value of the art market. If I go down to the Gagosian or Pace Gallery and spend $3 million on a painting and the artist gets half of that, how much is that painting really worth? How can investing in a middleman make a painting actually worth $3 million? I don’t understand the business model and I don’t tolerate it.
A lot of your art is about consumerism. Are you embracing it or poking fun at it?
Both. Because it’s so silly but it’s also so fun. It’s a game—you know, get the Birkin, get the black AmEx, get the big house, get the Bentley, get the f**king GIV. What do you do when
Meeting Passenger Expectations for Inflight Connectivity
Rapid growth and development in the field of inflight connectivity solutions has allowed the much-touted “home/office in the sky” to become a reality.
As demand continues to intensify for inflight entertainment (IFE) and connectivity solutions on business aircraft, passenger expectations about those systems have risen. Today’s private fliers anticipate seamless, secure connections, comparable to what they enjoy in their homes and offices.
“We’re in the midst of a technological revolution in the cabin, which is catching up with the ground,” said Chris Moore, chief commercial officer at inflight connectivity provider SD. “Ours is a tech-based society, and people are accustomed to bringing their own device and content with them when traveling. That expectation doesn’t change whether they’re in a plane, train, or car.”
Fortunately, today’s aircraft cabin connectivity systems are able to deliver on some of those expectations, whether for basic email and SMS texting capabilities or teleconferencing and internet-based video entertainment. Systems employ a range of ground- and satellite-based data pipes, utilizing bandwidth on various communications frequencies.
The technology has reached the point where passengers expect connection speeds and reliability that compare to what ground-based systems provide. “That is now a reality, and for a broader range of aircraft,” noted Lupita Wilson, principal marketing manager for Rockwell Collins. “Ka-band services offer download speeds of 50 megabytes per second [Mbps], rivaling home internet, and fast enough to stream several movies.”
Just a few years ago, the best and fastest connectivity solutions were exclusively on high-end, large-cabin jets, but today it’s not uncommon to see smaller aircraft with fast and reliable internet streaming services. “We’re seeing a merger between mission and capability in both smaller and larger aircraft as connectivity services become more widely available for rotary through to airliner-size business aircraft,” Moore noted.
One of the earliest entrants in the onboard-connectivity market was Aircell, which has since been rebranded as Gogo Business Aviation. The company’s AVANCE L3 and L5 platforms offer connectivity through the ground-based Gogo Biz network at 3G and 4G speeds, respectively, and near-global inflight voice and data connectivity through Inmarsat’s SwiftBroadband service, and Iridium Certus on the horizon.
Gogo Business Aviation president Sergio Aguirre noted that this coverage allows providers
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to tailor offerings to the demands and budgets of individual customers. “The size of the aircraft is less important to the level of connectivity than the purpose of the flight,” he said. “What CEOs need to run their business and maintain their life is fairly consistent, regardless of where they’re traveling.”
Earlier this year, Gogo Business Aviation announced its 200th airborne L5 platform, and the company has a backlog of several hundred additional systems. “There is a tremendous need and desire for connectivity, and that is only going to increase,” Aguirre noted. “We’re thrilled with the feedback we’ve been receiving from the customers who are flying with AVANCE L5, and we continue to ramp up production to meet market demand.”
Avionics manufacturer Rockwell Collins offers a wide range of satellite-based connectivity solutions through its ARINCdirect service, including the Inmarsat Jet ConneX Ka-band global connectivity system as well as Inmarsat SwiftBroadband L-band service, and Ku-band Iridium and Viasat broadband services.
“Inflight connectivity without compromise is now a reality,” Wilson noted. “The only limitation is size of the tail to fit the antenna, but technology changes are driving down the size of those antennas, and that will enable smaller aircraft to use antennas to support higher-speed satellite streaming.”
New providers are also finding new areas to develop within these established paths for ground- and satellite-based connectivity SmartSky Networks recently introduced its proprietary ground-based beamforming technology, which focuses a 4G LTE connectivity beam to individual aircraft, offering what the company states is a stronger two-way connectivity solution.
“Our system moves data to and off the aircraft very quickly,” explained Alan Goodnight, SmartSky’s vice president for business aviation. “Satellite beams from space scatter and cover a huge area, and every aircraft within that beam must share the bandwidth delivered. Our network gives every aircraft its own dedicated beam.”
The broad range of available solutions also means installers are seeing more aircraft than ever come in for equipage with onboard connectivity systems. “Our customers want internet capabilities,” said Justin Vena, senior installations sales representative for Duncan Aviation. “Everyone is busy with internet installations now; you can’t pick up the phone and expect to get your aircraft right in.”
Duncan Aviation performs installations of Cobham, Honeywell, Rockwell Collins, Gogo, and SmartSky equipment, covering a variety of ground- and satellite-based connectivity options and allowing customers to choose from multiple options to find the best solution for their mission. “The internet is the great equalizer,” Vena continued. “Whether they’re flying to Boise or London, for business or on vacation, passengers are checking social media, watching movies, and preparing presentations.”
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Offering More Options
Of course, operators also want the highest degree of capability and usability for the lowest price available. While connectivity costs have remained largely stable over the years, what’s changed is how equipment and data plans may be tailored to suit a company or individual’s mission requirements.
“The value proposition has gotten significantly better, and the ability to address specific needs has also gotten better,” Aguirre stated. “It used to be one box, one price, one subscription. That made it impossible to address the entire breadth of the market. Compare that with today—our AVANCE L3 is a smaller box than an ATG5000 and router, with functions that used to be available only as standalone options. With L3, those functions are delivered as a complete solution in a package that is smaller and less expensive than previous systems. The same is true with rates and services; we start with an hourly plan for email or texting and go all the way to a pro plan with unlimited data. That allows the customer to pick a profile based on their needs.”
“We’re not seeing downward pressure on costs, because equipment costs haven’t changed all that much,” added Vena. “That said, at one point Ku-Band was the top dog on the heap with a price point significantly above that of SwiftBroadband, and now that’s leveling off with the introduction of Ka-Band systems at a similar—though not equal—price point. That’s forcing upgrades and pricing to remain competitive, even with Ka the most ‘spendy’ of the lot.”
“There will always be a price gap between the costs for land-based terrestrial communications versus high-throughput capability through a satellite to an aircraft moving at .80 Mach,” Moore said. “The value is increasing with more market entrants in this space, but I don’t think it’s a commoditized service like other forms of telecommunications. It’s about providing a value-based service on a moving target, and the value proposition back to the client.”
“We’ve definitely seen the market change over the past few years,” agreed Wilson of Rockwell Collins. “Pricing will continue to change as new technologies are introduced, and customers invest in them. Older connectivity solutions have come down in price with the introduction of Ka-band, and it will be interesting to watch what happens. What’s also different today is the availability of packages with more flexible pricing.”
SmartSky’s Goodnight noted that the relatively high cost for inflight connectivity is tied to the specific needs of the business aviation market, as well as its inherent limitations. “The demand for data has greatly increased; it is now an expectation, even a go/no-go decision,” he explained. “However, in business aviation we have a flat or perhaps declining market size.
“It’s unlikely we’ll see significantly more customers to sell to within three to five years, although the costs to deliver data have increased,” he continued. “Terrestrially, cellular prices are coming down because more customers are signing up. It
“Everyone is busy with internet installations now; you can’t pick up the phone and expect to get your aircraft right in.”
Cybersecurity Is a Joint Responsibility
The proliferation of aircraft connectivity solutions has brought with it new concerns about the security of the connected cabin. How worried should passengers be about a criminal entity hacking into an aircraft, and to what degree are operators and passengers responsible for maintaining a safe and secure environment? We asked these experts for their thoughts:
**Alan Goodnight, vice president for business aviation, SmartSky Networks:** Most operators are not security experts, but they are responsible for adopting technology and processes that provide the expertise and security needed to match their requirements. In concert, the system provider should take steps to advise the operator on the best approach and offer services that comprehensively address security challenges or regulations.
That said, we feel it is a shared responsibility between the system providers and the operator. While SmartSky provides optimal levels of secure connections between the aircraft and our ground network with our proprietary beamforming to make interception on this link nearly impossible, neither the system provider nor operator can solve the cybersecurity challenge by themselves, and no one size fits all. This requires a consultative approach and should be revisited on a continual basis. It’s not a simple set-it-and-forget-it situation.
**Chris Moore, chief commercial officer, SD:** Onboard security largely comes down to the human factor. Our obligation is to provide those on the aircraft with the most secure boardroom imaginable, but people remain susceptible to phishing emails, and may even fall for requests for their passwords. Is your password still your date of birth? And, it should go without saying that the password for your aircraft’s network should never be your tail number!
Last month, a customer flying over Asia encountered malware on a laptop belonging to one of the guests onboard. We were able to notify the aircraft in flight and deny service to that laptop. Lots of companies with cybersecurity can tell you when you’ve been breached; we want to be in front of the aircraft and tell you how we’ve solved the problem.
**Mike Sverson, senior vice president for technology & programs, Gogo Business Aviation:** As companies become more sophisticated about security, flight departments fall under those auspices, and we’ve become more active in working with those departments to help them protect their information.
Basically, you want to create a level of network security that is at least the equivalent of, or better than the level of security passengers would enjoy if they were working in their office or home. We like to call it “sensibly safe,” which is something that people should expect when they are in a business jet that provides high-speed connectivity, and Gogo’s network provides it.
We are very aware of the ever-pressing need to be vigilant in staying ahead of potential threats to the security of airborne cabin systems. As a result, from the outset we were highly proactive in designing and building security directly into our products, networks, and services. In other words, security wasn’t something we added after the fact—it’s been fully integrated in our network and systems from the beginning and remains an integral part of our service offering. And, finally, companies often prefer to use their own VPN, which we highly encourage and support to make the connection as secure and effective as possible.
**Justin Vena, senior installation sales representative, Duncan Aviation:** Every so often, we’ll hear of someone supposedly hacking through the aircraft router to affect the engine and FMS. Now, is it possible that someone who wants to do wrong could do that? I suppose if someone is dedicated enough, but anyone attempting to send a message to the airplane needs specific equipment, knowledge, and coding.
While it’s true the cabin router can be connected to the FMS, the FMS is a “speak-only” system (when it comes to the cabin router) that doesn’t “hear” anything from the outside. There are also systems that are directly connected to the FMS for wireless database loading, but they are only operational with weight on the wheels, and the cabin door open—you can’t hack into it in the air, and the equipment expects specific programs to send it information. The likelihood of everything lining up just to grant unauthorized access to an aircraft system is pretty low.
**Lupita Wilson, principal marketing manager, Rockwell Collins:** Our industry is a bit paranoid about security, and that’s not a bad thing because it keeps us thinking about it. Regarding security of systems installed on the aircraft, we test continuously to identify threats such as hackers and ensure the IP is secure. We are also available to help support proprietary tests conducted by aircraft OEMs and operators to verify the stability and security of their solutions utilizing Rockwell Collins equipment.
Of course, one of the most critical components of security are the passengers, and they should be thinking about how to minimize their risk and be aware of what they’re putting on the aircraft. It’s mostly common sense: never open an email that looks suspicious, make sure your PC has a reliable antivirus solution installed…and never give out your password!
doesn’t cost less for those networks and providers to run their businesses, but they can amortize their costs over a greater number of customers.”
**Managing Passenger Expectations**
Today’s systems offer greater capabilities than their predecessors, but the complexities involved in moving data to and from a high-speed jet traveling at FL410 pose challenges. The good news is that geographic constraints are easing, and both ground- and satellite-based systems can provide reliable coverage.
“The existing limitations to both ground-based and satellite-based capabilities are decreasing with more high-throughput satellites being launched, enabling us to serve the customer over land or sea,” said SD’s Moore. “Speeds are increasing and, thanks to the global reach of Ku and Ka satellites, the poles are really the only areas where you may not find a consistent footprint.
“It’s the nature of business aviation to have high expectations,” he continued. “Corporate passengers value high-resolution screens with 4K capabilities and the ability to throw content from their device onto the screen. Those things are possible.”
Goodnight noted that high customer expectations are the reason SmartSky opted to launch with its flagship product tailored for mid- and large-cabin jets, including Challengers, Falcons, and Gulfstreams. “This segment has unique buying behavior and approaches pricing differently than those operating smaller aircraft,” he explained. “They expect to be able to use the internet as they use it on the ground, and truly have an office in the sky.”
Vena agreed that that’s possible, depending on what you have installed. “If you’re working with 25 MB, that’s enough to do one thing at a time very well—watch a movie or stream internet video. Higher speeds bring greater capabilities, to where you can have a couple of FaceTime conversations while also streaming Netflix. The solutions out there now allow for greater usability than we’ve ever seen going into airplanes before.”
Aguirre noted, however, that inflight connectivity isn’t quite on par with what’s available on the ground—at least so far. “I do believe that gap will close,” he said. “There will be a point when we’ll be able to do anything in the air that we can do on the ground, as we deploy faster, more effective technology solutions, but for the foreseeable future there will be a gap because cost to deploy faster networks on the ground will always be less.”
**Connecting Beyond the Cabin**
Passengers aren’t the only ones to benefit from advances with inflight connectivity. Operators are increasingly discovering that the benefits of a connected aircraft extend beyond the cabin and into the flight deck and even to maintenance support.
SD utilizes its network to support dispatch, flight tracking, maintenance, and security applications. “For schedulers, our entire mission is to synchronize the aircraft flight with the company’s operations staff to provide consistent
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service and ensure passenger and crew expectations are met,” Moore continued. “That includes constant review of the flight plan for potential deviations—not only for weather conditions, but for safety, data-security issues, and outages in internet coverage.”
Wilson noted that Rockwell Collins also offers a variety of support services for both domestic and intercontinental flights. “For example, we supported several flights traveling to World Cup competitions, and we constantly adjusted flight plans based on who was playing,” she added. “We’re looking into a road map for enabling hardware to interact and provide information for maintenance data and tracking, and to have that aircraft fully connected not just for passengers but also in the interest of maintenance and reliability.”
Aguirre noted that Gogo Business Aviation is used for a variety of flight-support applications—such as ForeFlight Mobile, FlightAware Flight Tracker, Garmin Pilot, and many more—that interface through the company’s platform to provide location awareness, updated FBO and fuel-price information, and other relevant flight data through an iPad, which ground crew and dispatchers may also access.
“We also work with the Weather Company to gather information from the aircraft that is used to predict turbulence in real time through the WSI Total Turbulence solution,” he continued. “Their algorithm sends a turbulence notice along that particular route. Where flight crews once had to rely on PIREPs, with our system onboard it’s now fully automated.”
SmartSky has developed a technology framework (Skytelligence) empowering development of apps and services to bridge the gap between cabin and flight-deck connectivity. “As an example of what the framework provides the market, patented 5D flight-path management algorithms can be accessed via Skytelligence to bring greater efficiency into flight planning, allowing a pilot to determine the best route based on time considerations or money,” Goodnight said. “How do I get to my destination the fastest, or the most efficiently?”
“We also envision engine manufacturers to begin telling us they want real-time performance data to help them predict maintenance or repair events,” he concluded. “An amazing amount of data can be selected.”
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you master that level? You go on to the next. Or you realize that the greatest thing in life is having a picnic in a field with your friends and laughing like crazy. It’s fun to have stuff, but it isn’t necessarily what defines you.
**How do you work with social media?**
Being able to have this instant gratification and connectivity to the entire world is intoxicating and beautiful, and we’re just in the beginning of what all of this technology is going to be. Five years from now, we could be doing a hologram interview.
Artists come to me and say, “How do I get more traction on my social media?” It’s not this magic equation. If I have a show and get people to follow me on Instagram, I’m getting people’s email addresses. I’m using this as a tool. And it’s free. When I started, I didn’t have money, so I was going to use anything that’s free to connect to people who might be buying my product.
**How do you choose your people subjects?**
Sometimes it just pops into my head or I see something. I saw a black-and-white photograph of Teddy Roosevelt and got so tickled at the idea of making his mustache glitter. And then I thought, “You know, Teddy would look really good in a Gucci jacket.”
**Your work seems to be largely about our culture’s materialism and people who relate wealth to happiness and power. How do you feel about ostentatious wealth?**
I don’t like pretentiousness. My mother’s the most pretentious human on the planet, and that pretentiousness makes me uncomfortable. I am posting images of me in front of the GIV on my social media, and the idea is not to be ostentatious. The idea is to go, “Hey, I am a self-taught artist from Montgomery, Alabama. There are no f***ing excuses. You can do this.”
**What do you think about income inequality in the U.S.?**
F***k that s***t. Start your own business. Make your own money. I live in a country where as a woman I can be an entrepreneur. I can have 20 people on my team and make sure they have health insurance, make sure everybody’s comfortable, making money, and that they have days to spend with their family.
**What did the show at Bergdorf mean for you?**
How many people hope to be the first female artist with a solo exhibition at the pinnacle of luxury shopping, Bergdorf Goodman? How many artists get six windows on Fifth Avenue and then get asked to redesign the restaurant on the second floor? It’s a huge endorsement. But, my God, it’s America, and anything can happen. I am flying around in a f***king Gulfstream and had my artwork in six windows on Fifth Avenue, and you know what’s funny? The f***king gallery said I wasn’t marketable.
**There are many private jet references in your art. Do you own a jet?**
Would I want the overhead? Why would I buy it when I could just lease it? That’s a lot of cheese. I love the idea of renting them.
**Do you charter or have a jet card?**
I charter from different companies. A company just contacted me and said, “Please let us give you quotes.” I think it’s fun to see the different pricing these companies come up with.
**How much do you fly privately?**
Probably one or two times a month.
**And what does flying privately mean to you?**
When you are at 43,000 feet and you are 9,000 feet above those commercial flights and you are with these people that you love and you’re popping champagne and you’ve got the new Drake [album] blasting, it’s a high. Being able to fly private is the best drug I’ve ever felt in my whole life, all the way from smelling the gas on the tarmac to walking up those steps or loading up my hound dogs and taking pictures of their little faces peeking out.
It’s so comfortable. I think it’s so tacky to have to go through security and have to take off my pearls and my Gucci shoes. Flying on a private jet is glamorous. It’s fun and not only that, time is my most precious commodity. I am dying to get on a f***king P.J. and get my ass back to New Orleans and not on a f***king Delta flight. It’s just such a treat.
**What kind of airplanes do you like?**
Heavyweight jets. I love the Citation X, but baby, get me on that G[ulfstream]. I was on a flight to California not long ago and there was a flight attendant who had set up a buffet, and I am like, “We are on a P.J. and there’s a f***king
Who have you flown with?
I have some very wealthy oil-money clients, also some East Coast hedge-fund-money people. A client of mine sold his business for $968 million. We were in Dallas and he’s like, “When are you all flying back?” And I go, “Oh, we’ve got to fly back tomorrow at 1:30 p.m.,” and he goes, “F**k that, we are gonna party, my jet will fly you back.” So, I mean, why the f**k would I buy a jet?
What’s left for you to do?
Tons of stuff. As an artist, I have an endless amount of ideas for things I want to create, but I also want to help other artists realize how to be entrepreneurs, how to keep 100 percent of their money. And there are some organizations that I want to help. A political figure just bought some artwork of mine. I don’t necessarily share the same political values, so I took the money and wrote a check to a charity in New Orleans, and that felt really good. When you work hard and are grateful and you start to have everything you’ve ever imagined, then you help people.
Longtime contributor Margie Goldsmith (firstname.lastname@example.org) interviewed Kiss lead singer Paul Stanley for our April/May issue. This conversation has been edited and condensed.
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Efforts to privatize the U.S. air-traffic-control system and to change how it’s funded have been dragging on for years. These efforts gained more traction in 2017, however, as ATC privatization was proposed by President Trump’s 2017 budget and the House Transportation and Infrastructure Committee approved (by a 32-to-25 vote) a bill sponsored by Bill Shuster (R-Pennsylvania). Both proposals would turn over the ATC system to a private, nonprofit corporation (called, in Shuster’s version, the American Air Navigation Services Corporation, or AANS).
At first blush, this seems like a crazy idea, but Canada and the United Kingdom, two countries not known for insane behavior, have privatized air-traffic-control systems. To paraphrase Henry David Thoreau, less government is better, so we’re better off (the thinking goes) if we hand over our air-traffic-control system to a private enterprise, even if it’s not driven by a profit motive. The new-and-improved ATC would be, at least in Shuster’s version, run by a 13-member board of directors drawn from various aviation sectors. The folks in the tower would become employees of AANS instead of the Federal Aviation Administration.
As currently run by the FAA, America’s ATC system is funded by excise taxes on transportation and fuel that are little known to the public. It’s a mystery why more travelers aren’t aware of the transportation tax, which is often called the “ticket tax” because it adds 7.5 percent to the cost of airline tickets and charter flights. The fuel tax is below the public radar, however, because it’s paid at the gas pump. (For jet fuel, the current rate is 21.9 cents per gallon; for avgas, it’s 19.4 cents.) Various wrinkles and exemptions apply. A higher rate is charged, for example, if a truck delivers the fuel to the airport; there’s also a surcharge for gas used in a fractional-ownership program.
The ticket and fuel taxes are in large part mutually exclusive. After collecting the ticket tax, airlines and charter operators are eligible for a refund of most of the tax paid when fueling their jets. Non-commercial, private aviation simply pays the fuel tax. Receipts from both taxes are funneled into the Airport and Airway Trust Fund that Congress established in 1970 to provide a dedicated source of funding to keep our aviation system running. The costs of the ATC system, airport improvements, and FAA operations are supposed to be paid from this fund.
It isn’t clear what’s wrong with this arrangement. The airlines, however, would prefer that AANS, not Congress, control their financial contribution to the ATC through a new tax—not to be called a tax, of course, but rather a “user fee,” a charge for the use of FAA navigational services that, in Shuster’s bill, would replace the ticket tax.
User fees are not a new concept; they’ve been bandied about for years, and both the George W. Bush and Obama administrations proposed them, without success. The fees would give airlines greater flexibility in paying their
share of ATC expenses than the present system. But does privatizing ATC and paying for it with user fees make sense? Not really. Why would we essentially give away our ATC assets to a private company like AANS with no provision to get them back, if necessary? And what do we privatize next—the Air Force? The FBI?
Still, some policy wonks derive philosophical satisfaction from shrinking our federal government, and fans of privatization argue that the industry would run the ATC system more efficiently, with the cost of operations allocated more fairly through user fees than it is with the ticket tax. Proponents don’t seem concerned about the enormous expense likely required to completely retool how the ATC runs and is paid for, and not much is known about how the retooling would work. Wouldn’t it be better to spend the money on continuing to modernize the ATC system?
Though Shuster’s bill only replaces the ticket tax with user fees and preserves the fuel tax for non-commercial aviation, there’s no guarantee that, once user fees are established, they wouldn’t eventually replace the fuel tax as well. Currently, as noted earlier, private aviators support the ATC system and the FAA by paying fuel taxes every time they buy gas. Fuel taxes are thus collected before the aircraft fly anywhere and are easily funneled to the Trust Fund coffers. User fees, however, are based on use, so they must be determined and paid after they are incurred. Hence the need for more federal government tax collection bureaucracy.
Even if user fees replace only the ticket tax, there’s also no guarantee that the new setup wouldn’t require Congressional bailouts from general taxes or that those user fees wouldn’t rise through the roof. The experiences in Canada and the United Kingdom are not encouraging in that regard.
The biggest losers with ATC privatization are likely to be business and general aviation. Superficially, a board of directors with a variety of aviation “stakeholders” would run Shuster’s AANS, but critics say that, given where the members are drawn from, the board would end up controlled by airline-related interests. They worry that the focus would accordingly be on the major airline corridors, with rural airports and users becoming second-class (or maybe third- or fourth-class) citizens. When the Trust Fund no longer receives the proceeds of the ticket tax, where will the money come from to pay for airport improvements? Additional funding for rural airport upgrades is supposedly on the table, but there’s nothing definite in terms of sources and amounts. If the airlines control the AANS, will improvements at the airport in, say, Muscle Shoals, Alabama, ever take priority over upgrades at Chicago’s O’Hare?
No wonder the National Business Aviation Association, Aircraft Owners and Pilots Association, General Aviation Manufacturers Association, and other industry groups lined up in opposition to privatization. A joint release from these organizations advocates reform rather than revolution: “We believe efforts should focus on developing a long-term FAA Reauthorization that creates the stability and funding necessary and that can reach the President’s desk for signature.”
For the third year in a row, privatization efforts in the House have stalled, but there’s no guarantee they won’t be back in 2019. The FAA isn’t perfect and—though it’s the best operation of its kind in the world—neither is our air-traffic-control system. But there’s a good argument that it’s easier and safer to try to improve the existing system rather than opening a can of worms by consigning air traffic control to the private sector.
Longtime BJT contributor Jeff Wieand (email@example.com) is a senior vice president at Boston JetSearch and a member of the National Business Aviation Association’s Tax Committee.
Keeping a 30-year-old airframe design relevant is no small task, yet Daher has managed to do it with the single-engine turboprop TBM year in and year out, tweaking performance while adding features, functionality, and convenience typically found only in larger aircraft. As a result, the TBM continues to be a solid seller. The company sold 880 of them through 2017, and it plans to build 53 this year.
The numbers are all the more remarkable when you consider that, aside from Piper’s “M” Class, the TBM has the most cramped six-seat turbine cabin in the sky. Its cross-section is just under four feet wide. This is an airplane that was originally built for speed, not necessarily for comfort.
That is no surprise when you consider that what became the TBM started in 1973 after Mooney Aircraft Co.—a Texas manufacturer of single-engine piston airplanes notorious for skinny cabins and swift speeds—began working on another speed-demon model, the 301. But before that airplane could make it to market, a consortium of investors from France purchased Mooney, dropped the project, and formed a joint venture with Socata, a subsidiary of Tarbes, France–based Aérospatiale. Together they developed a 300-knot single-engine turboprop that used some of the 301’s design data.
The TBM 700 first flew in 1988 and was certified in 1990, when Mooney withdrew from the joint venture. The end product was a six-seat, 292-knot, pressurized aircraft that was mostly metal, but used some composites on the control surfaces. Mooney lives on in the model as the “M” in TBM (the “TB” stands for Tarbes).
Over the years, Socata modestly improved the design, with better environmental controls; vapor-cycle air conditioning; avionics upgrades; a small beverage cabinet; a wider main cabin entry door well-suited for loading oversized cargo; and an optional separate forward pilot’s door. Passengers sit in facing club-four seats and there is room for two pilots (although the airplane is certified for single-pilot use and
most operators fly it that way). The passenger seat bottoms are 18 inches wide and have 22-inch-high backs. That leaves a really narrow 11-inch-wide aisle. A single club table deploys from the righthand sidewall and there are power outlets for laptops.
The cabin is quiet for a turboprop, but still noisier than a jet. The aft-located main door measures 3.5 feet high and 3.9 feet wide and swings up and out of the way on a pair of gas-charged springs. An electric motor drives it back down. Most baggage is stored behind a cargo net in back of the rear-most row of seats. A small baggage compartment with an external door in the rear fuselage will hold 77 pounds and is big enough for a pilot’s overnight bag or a tool kit. An even smaller forward storage compartment, also with an external door, typically holds the tow bar and the engine inlet and exhaust stack covers.
In 2006 the TBM 850 made its premiere with a more powerful and thirstier engine that boosted maximum cruise speed to 320 knots; however, because it cruises and climbs quicker, the 850 actually has slightly longer legs than the older 700.
French aerostructures company Daher purchased Socata from parent company EADS in 2008 and continued the campaign of TBM product improvement that led to the launch of the 900 model in 2014.
The 900 features a host of aerodynamic improvements, including a quieter five-blade propeller, sexy curved winglets, and a redesigned engine cowl and inlet crafted of carbon fiber that reduces drag and boosts cooling. The previously optional pilot exterior door became standard and its construction was much improved. In total, the conglomeration adds 10 knots to cruise speed (330 knots at 28,000 feet) and improves runway and climb performance: the 900 rotates off the runway and clears a 50-foot obstacle in less than 2,400 feet fully loaded—20 percent less distance than the 850 would require—climbs at 2,000 feet per minute, and can reach its 31,000-foot maximum cruising altitude in just 18 minutes, 10 percent faster than the 850. Range increases more than 9 percent to 1,730 nautical miles. The 850 could run close to some light jets; the 900 can definitely run with them. The cockpit was cleaned up and simplified as well, and the redesigned engine power lever is as close to idiot-proof as they come.
Indeed, the 900 was almost as optimized as Daher could make it. I say “almost” because beginning in 2016 the company started offering customers the aircraft with the Garmin G3000 touchscreen avionics system on a higher-priced
variant labeled the TBM 930. The G3000 is the next-generation backbone for the avionics on some larger, faster jet aircraft such as the HondaJet and the Cessna Citation M2. The G3000 offers pilots reduced workload and new frontiers of situational awareness. In an aircraft like the TBM 930, which is routinely flown single pilot and can snap off the runway in a brisk nine seconds, easier avionics are a very good thing.
This is not an airplane that suffers fools gladly. Pilots may not need a type rating, like they do in a jet, to fly a TBM, but if they don’t bring jet discipline to the cockpit they are asking for the fates of physics to rise up and smite them. That said, a competent pilot can fly the TBM just fine with the standard Garmin G1000 glass-panel avionics, and opting for the latest version of that system shaves about $200,000 off the 930’s $4.2 million (nicely equipped) list price. New TBMs with the G1000 system are now badged TBM 910s. You can get all the same options, save the avionics, on the 910 that you can get on the 930. Daher says its customers are split about 50-50 regarding which of the two models they prefer.
One new crowd-pleaser first offered in 2016 is a toilet. Daher calls this the “Elite Privacy” option. For an extra $36,635 and the loss of the two aft-most cabin seats you get something never before available in a TBM: airborne dignity in your time of need. The toilet itself is your basic electric flushing marine portable variety shielded in a clever surround with a privacy screen with an illuminated mirror. The surround deploys at the touch of a button. When not in use, it converts to a passenger bench seat. The apparatus and surrounding structure can be installed and removed as needed, allowing the passenger cabin to be configured for three to four passengers behind the cockpit, depending on mission requirements.
Other new goodies on the TBM include better seat sculpting and cushioning, heated seats, Ultraleather on the seat fairings for better wear, seatbelt airbags for the cockpit seats, backlit cabin temperature controls, cabin USB charging ports, and an additional storage cabinet (albeit for $4,900). The standard color options have been expanded to 32.
It’s hard to imagine what else Daher could do to make this airplane more appealing. Well, OK, they could lower the price and punch out the fuselage a few inches. But they really have no reason to do so. Used TBMs hold their value better than light jets and the company expects to sell out just about the limit of its production capacity this year. After three decades, the TBM is more than relevant, it’s thriving.
### 2018 TBM 910 & 930 at a Glance
| Feature | TBM 910: $3.751M | TBM 930: $4.046M |
|--------------------------------|------------------|------------------|
| Base price | | |
| Crew | 1–2 | |
| Passengers | 4–5 | |
| Max. takeoff weight: | 7,394 lb | |
| Max. payload with full fuel: | 891 lb | |
| Max. cruise speed | 330 kts | |
| Long-range cruise speed | 252 kts | |
| Max. range* | 1,730 nm | |
| Cabin | | |
| Width | 3 ft, 11.6 in | |
| Length | 13 ft, 3.5 in | |
| Height | 4 ft | |
| Volume | 123 cu ft | |
| Baggage | 30.3 cu ft | |
*Assumes one pilot, no passengers, full fuel, cruise power, 45 minutes NBAA reserve. Source: Daher
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Cabin Comforts
The latest technology and furnishings for business aircraft can make your ride more comfortable and enjoyable than ever before.
by Mark Huber
Business aircraft and component manufacturers and completion centers continue their quest to make the environment at 40,000 feet feel just like home. Thanks to new products ranging from high-tech cooktops and more comfortable seats to higher-resolution monitors and faster Wi-Fi, life at altitude keeps getting better. Here are some of the latest innovations that will increase the joy of private jet travel.
Steak au poivre in the stratosphere
Rewarmed food, no matter how noble the origin, can never compare to freshly prepared. That’s the impetus for Lufthansa Technik’s induction cooktop, which facilitates the preparation of pan-fresh food, from steaks to eggs to sautéed veggies and sauces. The platform fits into most aircraft galleys and features a clever all-in-one design that includes a power unit, an exhaust fan, and special cover and locking systems to ensure that cookware remains in place during turbulence. The cooktop works not only with pots and pans but also with a special rice cooker and a toaster.
Sharper views
Aircraft Cabin Systems has launched a line of ultra-high-definition 4K monitors in sizes from 15 to 75 inches. Depending on size, each 1080p monitor can support two or three internal modules and the SDI and HDMI modules include one and two inputs, respectively. The manufacturer assembles monitors to meet customer requirements.
That warm, toasty feeling
Automobiles have been available with heated seats for years but the convenience is just now finding its way into small private business aircraft. This year, Daher announced that it was making heated seats standard on its 2018 model TBM 910 and 930 turboprop singles. The feature is activated via a master control in the cockpit; after that, each passenger can choose light or moderate heat settings.
You won’t stand for this
Last year, Embraer introduced new seats for its bestselling Phenom 300E light jet and in May it did the same for its midsize Legacy 450 and 500. The 300E seats feature extendable headrests with bolsters, extendable leg rests, and retractable armrests; and the seatback has been broadened for greater support. The coverings can easily be removed for repair or replacement. The seats have improved backrests and headrests and offer more stitching, leather, and color options than their predecessors.
No more stains
Lantal’s TEC-Leather looks like leather, but holds its shape better, cleans up easier, covers cushions more
smoothly, and is lighter and less expensive. The material is based on an elastic polymer that stands up over time and resists stains and fungus.
A better lavatory floor
There are places on an aircraft where you don’t want carpeting—like in the lav. Still, you want a sense of style. Infinity Woven Products may have just the thing: luxury woven vinyl flooring. It’s lightweight, easy to clean, cushioned, and—important for a lav environment—antimicrobial and able to repel water fast.
A “Nuage” for seating
Bombardier’s new flagship, the large-cabin, long-range Global 7500, will feature a seat that the company calls “Nuage” (French for cloud). It took seven years to develop and is designed to conform to the natural predilections of the human form better than earlier seats. When the seat back reclines, the rear of the seat pan drops or tilts to provide a more relaxing position. The headrest not only raises and lowers; it can tilt, and you can adjust the angle to your preference. The seat pan is designed to accommodate passengers of various heights. A leg rest can be deployed at the passenger’s option. The swivel mechanism is built into a floating base, which eliminates the need for traditional seat rails. The seat is covered in sculpted foam with a hard-shell back, and there’s built-in aisle-side storage for books, magazines, and tablet computers. You can personalize your seats with deeper seat pans for taller passengers, various shapes of armrests and headrests, and diverse types of upholstery and stitch patterns.
Can you hear me now?
Gogo Business Aviation’s Avance L5 uses the company’s 4G network to provide a high-speed, low-cost Wi-Fi solution for business aircraft. Introduced last year, the system combines Gogo’s network with hardware and software to create an integrated inflight connectivity and entertainment platform with enhanced network capacity. Avance allows for live streaming of video and audio, video conferencing, on-demand movies, personal smartphone use, real-time data for cockpit apps, and remote diagnostics and support while in flight. Gogo expects the system to be installed on 500 aircraft by the end of 2018.
Mirror image
AviationGlass & Technology has developed AeroGlass mirrors, transparencies, and decorative panels for cabin interiors that are 50 percent thinner and 25 percent lighter than traditional polycarbonate products. Available in a wide range of colors, they provide 99.9 percent transparency and scratch and UV resistance. This year, the company unveiled a translucent mirror that transforms with a touch of a button into a screen that can display passenger announcements.
Content is king
In March, FDS Avionics announced that it was bringing the first-ever wireless high-definition streaming content to business jet passengers via its do Capsule system. The company has secured movie rights from six big Hollywood studios via a licensing agreement with Global Eagle, a leading content provider to the airline industry. Aircraft operators insert a solid-state drive into the do Capsule, enabling up to 22 passengers to simultaneously navigate and watch any of hundreds of high- and standard-definition titles. Three entertainment packages respectively offer 90, 180, and 360 films.
Control yourself
Bombardier and Lufthansa Technik are harnessing newfangled OLED panels—which are made from carbon-based materials and are thinner and emit more vibrant light than traditional LCDs—to the passenger controls on the “nice Touch” cabin-management system for the Bombardier Global 7500. The system features a new compact sideledge dial that you can use to control entertainment options, local lighting, and window-shade settings. It provides on-demand audio and video; supports Blu-rays, DVDs, and CDs; and features 40-inch displays, 4K picture quality, and surround sound. The full-spectrum lighting system has preset options from up to 200 shades with day/night simulations to mitigate jet lag. The system is built on a high-bandwidth fiber-optic backbone with two wireless dual-band access points and incorporates three Bluetooth 4.0 modules plus USB 3.0 ports at each seat that enable passengers to charge devices or transfer content to or from the airplane. It is compatible with iOS and Android devices and supports standard Ka-band cabin connectivity.
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Embraer’s Phenom 100
This light jet received justifiable criticism when it debuted, but the manufacturer addressed its problems. Today, it deserves high marks for its speed, comfort, and economical operation.
by Mark Huber
Embraer first stuck its toe in the corporate jet world in 2002 with the Legacy 600, a denuded ERJ135 regional jet refitted with an executive interior. The exercise shouldn’t have been much of a stretch, but there was a learning curve and the airframer got a few things wrong out of the gate: there were interior-fit-and-finish and cabin-noise issues and airworthiness directives that covered everything from the passenger seats’ floor tracking to leaking fuel.
As Embraer built more airplanes, it implemented fixes and by the time the Legacy 650 rolled around in 2010 the company had corrected most of the problems. Although the aircraft’s early flaws helped to limit its success, Embraer’s expertise in the airliner world helped its business jet line achieve dispatch reliability above 99 percent.
While one would have thought Embraer would have taken the lessons learned on the 600 and applied them to its first “clean sheet,” purpose-designed business aircraft, the Phenom 100 light jet, the new model was not without its own set of problems.
When deliveries of the then-$3.18 million Phenom 100 began in 2008, they faced a series of quality and fit-and-finish issues. Let’s start with the cabin. The first iteration of passenger seat, with its signature askew headrest, was widely and justifiably derided on all counts—for styling, comfort, function, and reliability. The complaints were significant. As former Embraer Executive Jets president Marco Tulio Pellegrini noted in 2016, “The seat is the customer touchpoint. If he feels comfortable, he is pleased. If he is not, he complains a lot.”
There were other cabin irritants as well, such as the unpleasant noise level of the two-zone environmental-control system fans and trim pieces that fell off periodically. One husband-and-wife pilot couple who were early Phenom 100 customers praised its flying characteristics, but when asked about the cabin said, “We never sit back there, anyway.”
Its problems notwithstanding, the cabin did have a lot going for it. Embraer had taken a quantum interior-design leap, hiring BMW DesignworksUSA to create a light and airy space that felt considerably bigger than it was. The cabin design incorporated upscale automotive-style accents and featured conveniences typically found in larger aircraft. It included a genuine airstair door, LED lighting, single-piece sidewalls and headliners, and retractable cup holders that were wide enough to fit personal electronic devices and cell phones. Storage nooks, AC power outlets, headset jackpoints, lighting and temperature controls, MP3 plugs, and speakers were integrated into the side-ledge. Audio on demand and satellite
radio were available. In the forward cabin, you could install a modestly sized refreshment center that was adequate for small beverage containers, a limited amount of glassware, ice, and snacks.
But the cabin issues paled next to the early systems problems, which included air-conditioner compressors, generators, and trim motors that died prematurely, cockpit windows that tended to fog up during descents, an erroneous flap-fault indicator, and a brake-by-wire system that required some redesign, having contributed to a handful of runway overrun incidents and blown tires.
Embraer addressed these faults and continues to improve the Phenom 100 series. The company developed a new passenger seat with supplier DeCrane Aerospace, featuring improved lumbar support and cushioning, a retractable armrest, and a partially folding seat next to the cabin entry door. Later-model Phenom 100s come with Embraer’s in-house-manufactured seats. Embraer also equipped Phenom 100s with a new flap-controller unit. It quieted the cabin fans. It also solved problems with the brake-by-wire system and errant brake-warning CAS (crew alerting system) messages with a software fix, by redesigning the brake-control unit and by altering the pedal position and feel to bring it in line with the feedback pilots get with conventional mechanical/hydraulic brakes. Beginning in 2013 with the 100E model, Embraer began equipping the aircraft with multifunction wing spoilers that enable slower descents, enhance maneuverability, and improve braking on the ground.
Despite its many teething problems, the Phenom 100 has sold relatively well, owing to its larger cabin, which can seat six passengers, and faster, 390-knot cruise speed—a good 50 knots faster than a Cessna Citation Mustang. (The latest version, the 100EV, cruises at 405 knots, climbs faster, and has better high/hot runway performance.) You can also option features on the Phenom that you cannot get on most other aircraft in its class—like a lavatory with a solid privacy door. The engines and avionics make for attractive economics and operational simplicity.
Power comes from Pratt & Whitney PW600 series engines rated at 1,695 pounds of thrust each. They incorporate engineering and manufacturing advances that make them cheaper to build and easier to fix than engines on older light jets, such as Cessna’s CJ series. For example, mechanics can perform a midlife inspection on a PW600 without removing it from the wing, which means they can do the job in one eight-hour shift rather than over several days.
The 100’s “Prodigy” glass-panel avionics system is built around the Garmin G1000 suite, which is now found on everything from piston singles to midsize jets. It features three interchangeable 12-inch flat-panel displays—primary displays for each pilot position and a center multifunction display. The system integrates all primary flight, navigation, communication, terrain, weather, engine-instrumentation, and crew-alerting data.
You can buy good used Phenom 100s for $2 million or less, make minimal upgrades, and have a solid performer that is only 10 years old or less. Improvements to consider include premium slide, swivel, and recline single executive seats, similar to those aboard the larger Phenom 300; the GoGo Biz Wi-Fi airborne connectivity system; and updating the Garmin-based Prodigy glass-panel flight deck to the G1000 NXi configuration with new displays, faster processors, and a host of new safety and convenience features that significantly reduce pilot workload. This is particularly important if you plan on operating single pilot.
Today an updated, used Phenom 100 is tough to beat in terms of acquisition and operating costs, speed, and—finally—comfort. The aircraft is widely used in the air charter business and posts excellent dispatch and high utilization rates, both helped along by superior support and Embraer’s history as a manufacturer of commercial airliners. (Embraer received the top score in the most recent annual product-support survey in our sister publication Aviation International News.) While it may have had a rocky start, the aircraft, and Embraer, ultimately found redemption.
Mark Huber (email@example.com), an aviation industry veteran, has reviewed aircraft for BJT since 2005.
Visit BJTonline.com for a searchable aircraft guide that contains detailed performance, specifications, and expense data for this and all other popular business aircraft.
### Specifications & Performance
| Specification | Value |
|-------------------------------|----------------|
| Range* | 1,064 nm |
| Max cruise speed (early models)| 390 ktas |
| Cabin dimensions | |
| Height: | 4.9 ft |
| Width: | 5.1 ft |
| Length: | 11 ft |
* with four passengers (200 lb each, including baggage); NBAA IFR 200 nm reserve
### Economics
| Cost | Value |
|-----------------------------|-----------|
| Total variable flight cost/hour | $1,120 |
| Total fixed cost/year | $233,514 |
| Total cost/year** | $841,772 |
**Includes variable and fixed costs plus market depreciation and assumes usage of 175,000 nautical miles and 543 flight hours
Source: Conklin & de Decker, Orleans, Mass.
### Embraer Phenom 100 compared with other aircraft
| Model | First year produced | Variable cost/hour | Seats exec/max | Range (nm) | Normal cruise (kt) | Max takeoff weight (lb) |
|--------------|---------------------|--------------------|----------------|------------|--------------------|-------------------------|
| Phenom 100 | 2008 | $1,120 | 5/7 | 1,064 | 390 | 10,472 |
| TBM 850 | 2008 | $777 | 5/6 | 1,173 | 320 | 7,394 |
| Citation Mustang | 2006 | $1,123 | 4/5 | 743 | 340 | 8,645 |
Assumptions: Aircraft are 2010 models; Jet fuel $4.30/gal; variable cost: fuel plus maintenance reserves; four passengers; NBAA IFR 200 nm reserve fuel; passenger weight 200 lb includes baggage; one pilot; Max cabin altitude, 8,000 ft.
Sources: Conklin & de Decker Life Cycle Cost, Conklin & de Decker Aircraft Performance Comparator.
A prebuy crunch
The good news is that preowned-aircraft sales activity is on the rise. But that has helped to lengthen the time it takes to get a prepurchase inspection.
by James Wynbrandt
If you think finding the airplane of your dreams or a buyer willing to pay the asking price for your aircraft presents a challenge, try locating a facility where you can get a prepurchase inspection. The uptick in preowned-market activity, demand for ADS-B installs, and a technician shortage are among the factors creating a prebuy crunch.
“It’s very, very difficult right now to get slots,” says Brian Proctor, CEO of the Mente Group brokerage, and president and chairman of the National Aircraft Resale Association (NARA). “The biggest threat to transactions is [the lack of] prebuy facilities,” he says.
Debi Cunningham of West Star Aviation confirms the crunch. “The only advice to give right now is to attempt to preschedule any event when possible and prepare for longer down times,” says Cunningham, a vice president of marketing at the maintenance, repair, and overhaul (MRO) company.
Adding to the strain: operators that typically perform scheduled maintenance in-house but need ADS-B installations are having both done simultaneously at MROs to minimize downtime. “That’s consuming capacity [that could otherwise be used] for prepurchase inspections,” says Michael Parrish, vice president of maintenance, paint, and interior sales at Elliott Aviation. “It’s not just a question of manpower, it’s also hangar capacity,” he adds.
Even if you can get a slot, a facility might prove unable to complete inspections in the agreed-upon timeframe, leaving potential deals in limbo. Janine Iannarelli, president of the Par Avion brokerage, says a Falcon she’s representing is undergoing a prebuy at a well-regarded facility, and the inspection has extended beyond its scheduled completion date. “They are overwhelmed in their shop, and they are borrowing people from one project to work on another,” Iannarelli says.
When shopping for an inspection facility, Iannarelli suggests, principals should ask, “How do you manage communication with your clients so they have access to data about what is being done on the aircraft in a timely fashion—meaning today or tomorrow—without having to pick up the phone every day?”
If you can get a slot, also, keep in mind that MROs typically lack the resources to perform upgrades and refurbishments that prospective purchasers often schedule in conjunction with a prebuy. You may have to postpone such improvements, and if you’re considering a project airplane purchase, pay careful attention to a shop’s estimated timeline.
Parrish expects ADS-B–driven work to prolong the slot deficit to the Jan. 1, 2020 equipage mandate date and beyond. West Star believes “a shortage of technicians is the primary issue right now,” Cunningham says, and the company puts its hopes in efforts like Senate Bill 2506, an aviation tech-development program, “to ensure that the 120,000 new technicians that the industry will need over the next two decades are available.”
Meanwhile, with guaranteed inspection slots for 2018 mostly spoken for, Proctor says NARA is in discussions with MROs about reserving slots in 2019 for its members. In addition, he says, NARA—whose members include some of the industry’s largest brokers—is developing guidelines that would simplify prepurchase inspections and make them “minimally invasive.”
“We may see a change in the way people buy airplanes,” should prepurchase protocols become less intrusive, Proctor acknowledges. “The market for pristine preowned airplanes will be better [demand-wise], because buyers can accept risk there,” he says. “But buyers of older airplanes will be less willing to pay full price. If you think the worst case downside risk on a Challenger 300 is $350,000, I believe that will impact the way you negotiate the purchase.”
SOME POPULAR PREOWNED MODELS
| | PHENOM 300 | LEARJET 40 | GULFSTREAM G200 | FALCON 7X | GLOBAL EXPRESS XRS |
|------------------------|------------|------------|-----------------|-----------|--------------------|
| **Number in Service** | 450 | 132 | 247 | 278 | 165 |
| **On the Market** | | | | | |
| Number for sale | 16 | 10 | 25 | 20 | 14 |
| Avg. days on market | 235 | 297 | 399 | 334 | 447 |
| Avg. model year | 2013 | 2006 | 2005 | 2011 | 2009 |
| Avg. asking price (millions) | $6.91 | $2.20 | $4.61 | $24.09 | $19.05 |
| **Sales in 2nd Quarter 2018** | | | | | |
| Number of aircraft sold| 5 | 2 | 11 | 15 | 5 |
| Avg. days on market | 256 | 90 | 202 | 341 | 290 |
| Avg. model year | 2013 | 2004 | 2006 | 2011 | 2008 |
| Avg. sale price (millions) | $6.55 | $1.80 | $4.15 | $23.50 | $17.02 |
Data as of June 14, 2018. Source: AircraftPost.com
Bizav’s climate-change response gets back on track
Sustainable fuel leads to renewed calls for carbon neutrality.
by James Wynbrandt
Efforts to reduce business aviation’s carbon footprint—loudly promoted a decade ago but seemingly soon forgotten—are back on track. The most visible sign of this is a report-cum-guidebook on sustainable alternative jet fuel (SAJF) that an industry consortium released at the 2018 European Business Aviation Convention and Exposition (EBACE) in Geneva in May.
Meanwhile, the scheduled implementation in 2021 of a plan by the International Civil Aviation Organization for reining in carbon emissions has renewed a focus on upcoming regulatory requirements and costs. (The ICAO plan is known as CORSIA, an acronym for Carbon Offsetting and Reduction Scheme for International Aviation.) Concurrently, carbon-offset programs continue to evolve and provide ways for individuals and organizations to compensate for their emissions of greenhouse gas (GHG), which contribute to climate change.
One important step came in 2009, a year after the first test flight using SAJF. That’s when industry representatives, led by the General Aviation Manufacturers Association (GAMA), committed to achieving 2 percent annual improvements in efficiency from 2010 until 2020, carbon-neutral growth from 2020 onwards, and a 50 percent reduction in carbon emissions by 2050, relative to 2005.
Meeting these goals will require upgrades in operations, infrastructure, and technology, as well as market-based measures. Operational changes will need to include better flight planning, one-engine taxiing, and reductions in aircraft weight. As for infrastructure, modernization of air traffic control and air traffic management is the focus. We’ll also need to see technology advances, such as more efficient engines and airframes and sustainable alternative fuels; and market-based measures, like emissions-trading plans and carbon-offset programs and subsidies.
Among all of these advances, the development and deployment of SAJF (see sidebars) has the potential to offer the biggest bang for the buck in reducing GHG emissions, according to the *Business Aviation Guide to the Use of Sustainable Alternative Jet Fuel*. At the guide’s release, the consortium members—GAMA, the International Business Aviation Council, the National Air Transportation Association, the National Business Aviation Association, and the European Business Aviation Association—signed a declaration of commitment to the goals the industry set for itself in 2009.
Currently, you’ll find SAJF at only a few airports, including Los Angeles International; Oslo and Bergen, Norway; and Stockholm, Sweden. This year, Geneva Airport will add SAJF to all jet fuel supplied there and its continual availability will spread to Australia, with Brisbane’s airport pledging to dispense SAJF in all its jet fuel sales.
SAJF is now used in blends with conventional jet fuel, not just because of its limited supply, but to maintain “a minimum level of aromatics,” whose content varies with the SAJF product. Aromatics, hydrocarbons derived from crude oil, improve performance of fossil-based fuels. It’s expected that “higher blend limits will be approved in the future, and that some alternative types may contain a full suite of hydrocarbon molecules that fully mimic those found in jet fuel,” and may not require any blending, according to the guidebook.
Technical barriers to producing SAJF in quantity have been overcome; there are now five approved “pathways” for converting feedstocks into jet fuel, and more methods are under review. But a big stumbling block, says the coalition, is lack of commercial-scale investment. The guidebook aims to create pressure to step up such investment.
Meanwhile, the consortium’s message is that SAJF works, is compatible with Jet A and current delivery systems, and is approved for use by all engine and business aircraft manufacturers. (This differs markedly from the status of an FAA-led effort to develop an unleaded fuel to replace 100LL for piston aircraft, a program recently halted temporarily, reportedly because of issues with the fuels.)
In fact, more than 100,000 flights operated by aircraft manufacturers, airlines, and other parties have used a blend of conventional fuel and SAJF. Gulfstream Aerospace and United Airlines both inked three-year purchase agreements with Alt Air for SAJF that began in 2016. Meanwhile, manufacturers such as Bombardier, Embraer, Dassault, Gulfstream, and Textron Aviation are helping their operators increase their use of SAJF, according to the consortium, with several undertaking high-profile SAJF-powered flights to promote the fuel’s availability and efficacy.
While the world awaits a greater supply of SAJF, market-based measures to mitigate aviation’s impact on climate change continue. In 2016, the ICAO reached a global agreement on the aforementioned CORSIA plan, which seeks to reduce aviation’s carbon emissions as part of a larger program focused on new technologies, air-traffic-management modernization, and operational improvements. The plan aims to limit the growth of GHG emissions from 2021 onward via a carbon-offsetting mechanism.
Under the CORSIA requirements, some operators will have to offset carbon emissions from international operations above their 2020 levels by purchasing emission credits, or by buying alternative fuels to lower their emissions and resulting offset costs. (Most business aircraft emissions and usage fall below allowable emissions levels, rendering them “small emitters” exempt from these requirements.) CORSIA, which takes effect in 2021, is expected to preempt the European Union Emissions Trading Scheme, which requires aircraft operating into or within the EU to track and report their emissions and pay for emissions credits if they exceed limits set by the EU.
Some fuel companies offer additional ways for customers to reduce their carbon footprints. Air BP’s Target Neutral carbon-emissions program, for example, combines emission reduction and offset strategies. “Once we’ve helped our customers to reduce their
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**What Is SAJF?**
Sustainable alternative jet fuel (SAJF) is a general term for non-petroleum-based jet fuels, which have two key characteristics:
1. They are sustainable, capable of being continually and repeatedly created without depleting natural resources, while mitigating contributions to climate change.
2. They are truly alternative, in that they are processed into jet fuel in an alternative manner, including via thermochemical, biochemical, and catalytic production methods, and are made from renewable materials—such as used cooking oil, plant oils, solid municipal waste, purpose-grown biomass, and agricultural residues. (Not all alternative fuels are sustainable. Corn-derived ethanol, for example, is an alternative but non-sustainable fuel, as its use impinges on corn’s availability for food or increasing its supply, which creates a net GHG increase.)
Of course, SAJF must have the same characteristics and qualities—for example, energy density, freezing point, volatility, viscosity, and thermal stability—as conventional fuel. That’s to ensure that it provides equal performance and doesn’t compromise engine operations, and that it’s compatible with fuel-distribution-system requirements. SAJF is envisioned as a drop-in replacement, meaning that it can be blended with conventional fuels, as it is now, or can be used by itself, and standards have been established to ensure it meets these benchmarks.
SAJF creates a net reduction in carbon dioxide emissions across its life cycle, even when you take into account emissions generated during its production, transport, refinement, and distribution. Compared with fossil fuels, moreover, it provides significant reduction—typically 50 to 80 percent—in overall carbon dioxide life-cycle emissions. Additionally, with fewer impurities, such as sulfur or complex hydrocarbons, SAJF results in even greater reductions in sulfur dioxide and particulate matter emissions.
As for how much difference SAJF can make, a large-cabin business jet on a 1,000-nautical-mile mission might burn enough fuel to produce nearly 22,800 pounds of carbon dioxide. If the 30 percent SAJF/70 percent conventional fuel blend currently produced at the Alt Air refinery in California were used for the same mission, emissions would drop about 4,100 pounds, or 18 percent, on a life-cycle basis. —J.W.
carbon impacts, then we move to the carbon-offsetting element,” says Neil McGuinness, global offer development manager for Air BP.
Through offset programs, customers fund environmentally and socially beneficial programs shown to lead to long-term reduction in carbon emissions. Global standards and watchdog groups such as the Gold Standard have been created to audit and certify programs that purport to meet these goals. If you’re considering an offset program as part of a carbon-reduction plan, ensure that it has been certified by an accredited standards agency.
“Over the past decade, the standards, the best practices, and the framework [of offset projects] have all matured, and there are internationally recognized best practices and audited processes for high-quality offsetting,” says Robert Stevens, head of partnerships at U.K.-based ClimateCare, a major provider of carbon-offset programs and services. ClimateCare has been the International Air Transportation Association’s carbon-offset partner for the last decade, and “within that context, we have seen a steady increase in the number of airlines offering voluntary offset programs to passengers.”
Air BP itself is “independently certified carbon neutral in our inter-plane fueling operations around the world,” according to McGuinness; and it recently signed carbon-offset agreements with Signature Flight Support and U.K.-based charter broker Victor. Customers purchasing Air BP fuel at a Signature FBO will now receive offsets for the fuel, as will anyone who books a charter flight through Victor.
The actual costs of SAJF can vary greatly, and providers hesitate to give exact numbers, but the price is generally “higher than [for] traditional fuel, and this impedes its wider use,” the consortium’s guidebook notes. However, costs are expected to decline as more is produced and distribution channels are optimized. Then again, the true cost of conventional jet fuel is largely unknown. We see the price per gallon at the pump, but what is the cost in climate change and the disruption it can cause?
As an end user, you can’t do much now about SAJF besides lobby for its use and talk up its benefits. According to the guidebook, these include the fact that it can be a more efficient than conventional jet fuels, and that it can help meet personal or corporate social-responsibility objectives.
Bizav’s Skeptical View of SAJF
If supplies of sustainable alternative jet fuel are limited, so is the business aviation community’s confidence that it will play a role in operations in the near term. A JetNet iQ survey of some 500 business aviation professionals in about 50 countries released in the first quarter of 2018 found that 60 percent of respondents disagreed either strongly or somewhat with the statement that they would “seriously consider flying with alternative jet fuels in 2018.” More than 15 percent were uncertain while only 12 percent strongly agreed. The responses were strikingly similar from operators of small, medium, and large jets.
—J.W.
James Wynbrandt (firstname.lastname@example.org), a multiengine instrument-rated pilot, is a longtime BJT contributor.
This recurring editorial feature spotlights aircraft that are for sale at press time. For this issue, we asked dealers to tell us about aircraft they’re currently offering that they consider bargain-priced. BJT’s editorial department selects aircraft for inclusion and the magazine receives no compensation in exchange for coverage. Brokers wishing to have their inventory considered for this department should email email@example.com.
Recently Upgraded Aircraft
1999 Boeing Business Jet
This low-flight-time aircraft (just 4,070 hours) has had more than $11 million in recent upgrades, including a cabin refurbishment in 2017, a low-cabin-altitude upgrade, an Inmarsat SwiftBroadband upgrade, and FANS 1/A and ADS-B Out upgrades. In addition, it now has nine PATS tanks, making it the longest-range preowned BBJ on the market.
Asking price: $34.995 million
Broker: The Jet Business
1994 Gulfstream IV-SP
This Wi-Fi- and ADS-B-equipped Gulfstream, which has accumulated only 4,189 flight hours, received a paint job and new interior in 2018. The cabin includes forward four-place club seating; four-place mid-cabin conference table seating; and, in the aft cabin, two-place club seating and a four-place divan. There are forward and aft LCD monitors, an aft galley, and two lavatories.
Asking price: $5 million
Broker: Dumont Aviation
THE RESULTS ARE IN!
BJT’S 8th annual Readers’ Choice Survey attracted significantly more responses than any of our previous polls. Keep an eye out for our October/November issue, where you’ll find all the results, including how our subscribers rate aircraft manufacturers and models as well as charter, jet card, and membership providers. (And if you participated in the survey, watch your email inbox for the promised prepublication copy of the results, coming in September.)
Jaguar’s new I-Pace makes a compelling case for electric vehicles. It is among the most impressive cars I’ve driven because of its blend of practicality and performance on and off road. Electric propulsion makes it that much cooler. At the moment, it is the only EV that’s comparable to Tesla’s Model X and Model S for performance and range. Its 90 kWh lithium-ion battery pack provides a 240-mile range, and you can charge it up to 80 percent in 40 minutes with a 100 kW DC fast charger.
Electric vehicles have already moved from curiosities for early adopters, who mostly charged at home, to practical mainstream transportation. It was only six years ago when Tesla introduced its Model S, showing what a premium EV could be and waking up established automakers. Charging networks have since sprung up and continued to expand, and drivers can now take long trips without worry in many areas.
While it’s clear that electric vehicles benefit the environment, other bonuses result from how designers and engineers can package them. Since they don’t need to work around internal-combustion drivetrains, they’re freed up to move interior spaces, components, and weight. Electric motors can also provide plenty of performance flexibility with their abundance of torque.
For a day, I hustled the 394-hp, 512-lb-ft all-wheel-drive I-Pace along twisty mountain roads, diverted off road, waded through a stream, scaled steep inclines, and lapped a track at racing speeds in the Algarve region in southern Portugal. The car was thrilling to drive in every situation, even for an auto enthusiast like myself who still loves the smell of gasoline. It shows what an established luxury automaker is able to do with EV technology, and where the future lies for vehicles overall.
The packaging of the I-Pace differs from that of Jaguar’s traditional models. Because they didn’t need to accommodate an internal-combustion drivetrain, the designers used a cab-forward design reminiscent of the C-X75 concept car from 2010. They also pushed the wheels to the far corners, which allowed for an interior volume comparable to that of a long-wheelbase Jaguar XJ, the company’s flagship sedan. The
body structure is 94 percent aluminum, with the battery pack arranged below the floor of the passenger compartment, between the axles. This configuration provides a center of gravity that’s lower than that of the Jaguar F-Pace SUV and a 50:50 weight distribution. The large interior, which is appointed with beautiful materials, exudes the quality you’d expect from a luxury car.
The designers utilized clever aerodynamic details, such as a slot at the top of the grille that flows back through a vent in the hood. This keeps the airflow clean against the windshield and over the roof. The underside of the car is smooth and leads to a functional diffuser that sits at the base of a Kamm tail design. The rear-end treatment helps air flow off of the body, minimizing turbulence and drag. The car’s drag coefficient is .29, according to Jaguar designer Wayne Burgess, lower than that of any other Jaguar up to this point. While Tesla’s Model X claims .24, Burgess says that that car’s aero creates lift at high speeds and that lack of airflow to the cooling system can result in overheating in some conditions, while the I-Pace can run on the track for sustained periods.
I drove the car on a route that tested its abilities in varied conditions. The navigation screen showed what the expected level of charge would be at each waypoint. When setting a destination, the navigation takes into account factors like topography, traffic, weather, and available charging stations. The car will also learn your driving style so that it can improve expected range estimates over time.
As I rolled off, one feature I noticed was the energy regeneration on deceleration. Take your foot off the accelerator and the car immediately slows, as though the brakes have been applied. The effect is much more apparent than on any hybrid vehicle that I’ve driven, and it delivers up to .2g of deceleration. In fact, you can drive almost completely with one pedal, hardly ever using the brakes. If needed, the brakes will add another .2g of deceleration. After only a few minutes behind the wheel, I got used to the feel and enjoyed it. You can turn this setting down, but I’m not sure why you’d want to because doing so would reduce the amount of kinetic energy that the motors can harvest back to the battery.
After navigating some tight village roads, I got onto the motorway to see what the I-Pace could do there. Its dual electric motors provide 394 hp and 512 ft-lb of torque in total to both axles. Those are big numbers, and because electric motors produce their full torque from zero rpm, the effect of tipping into the accelerator is immediate. There is no waiting for revs to build and reach a power band. Smooth power surged as long as I kept the pedal down, and that feeling was intoxicating.
The car is capable of sprinting to 60 mph in 4.5 seconds, and because it’s so quiet, it’s easy to drive a lot faster than you think you’re going. There’s only a slight electric motor whoosh on acceleration and whine on deceleration. To provide some aural feedback, a subtle blend of internal-combustion rumble and Jetson’s flying-car warble is piped into the cabin. You have a few settings to choose from, and the system provides a bit of active noise cancelling at the lowest setting.
Once I reached the mountain roads, the dynamic ability of the vehicle came to the fore. The I-Pace weighs 4,784 pounds, making it much heavier than any sports car, but Jaguar has managed to hide its bulk. The variable air dampers with optional Adaptive Dynamics keep body roll to a minimum as it senses the road surface and continuously adjusts to suit your driving style. The front double wishbone suspension is pulled from the F-Type sports car. The I-Pace handles tight bends well at speeds that most drivers will likely never ask it to tackle. Torque vectoring helps to send power where it’s needed to enhance agility, and the car rockets out of corners. Dynamic mode tightens up the steering, stiffens the air suspension, and amps up the response from the accelerator pedal, but even in Comfort mode, the I-Pace always remains composed in spirited driving. Steering feel is quite good, providing more feedback from the front end than I was anticipating, inspiring plenty of confidence. I didn’t expect the car to be as entertaining as it was on such curvy roads, but this setting was where I enjoyed it the most.
The next phase of my route was off road, and the I-Pace had no problem hooking up on loose surfaces, even with summer tires. On inclines that would be difficult to walk up, all I had to do was raise the air suspension, which went up nearly two inches, and maintain a steady speed. The optional Adaptive Surface Response software controlling the motors on both axles did an amazing job of sorting out the surface and finding grip.
Take your foot off the accelerator and the car immediately slows, as though the brakes have been applied. In fact, you can drive almost completely with one pedal, hardly ever using the brakes.
Finally, I ended up at the Algarve International Circuit in Portimão. An I-Pace is unlikely to find itself lapping a racetrack, but the circuit allowed me to stretch the car’s legs without breaking the law. Pushing the I-Pace at racetrack speeds revealed its weight a bit more than the public roads did, but it still gripped without drama on long sweepers and tight turns. The car stayed neutral until the limit, where a touch of understeer showed itself. The instant response from the electric motors was even more noticeable as I managed my line through challenging corners. I drove for only a few laps, but the track setting showed that the I-Pace is capable of sustained hard driving without overheating or reducing power output.
The I-Pace is a well-rounded vehicle that can tackle almost any scenario while providing a luxurious experience for its occupants. Aesthetics are subjective, but I think this car’s interior—even in the base model—surpasses those in the Teslas. It also undercuts them in price. The I-Pace starts at $69,500 before you deduct any government incentives. That’s $5,000 less than a Model S and $10,000 less than a Model X. Moreover, Jaguar is an established automaker and shouldn’t have any trouble scaling up production as needed, which contrasts with Tesla’s production challenges as a startup.
Tesla arguably retains an edge, for some buyers, on a few points, however. One is its Supercharger charging network, which has had a head start. Jaguar isn’t planning on developing its own network and instead will rely on third-party CCS charging stations. There is a growing network, but not all stations are ready to deliver full 100 kW DC fast charging yet. As more EVs come to market, network expansion should accelerate.
The next point is self driving, which Tesla has been developing with its Enhanced Autopilot system. Jaguar didn’t talk about this while I was in Portugal, but the company offers optional semi-autonomous features such as adaptive cruise control with steering assist, traffic-sign recognition, emergency braking, and park assist. Could a future over-the-air update unlock more functionality? Autonomous driving is on Jaguar’s radar as shown by its commitment to build 20,000 I-Paces for Google’s Waymo driverless taxi service. The cars should appear in Waymo’s fleet in 2020.
Finally, if you need a vehicle that fits seven, Tesla’s Model S and Model X can accommodate you, while the Jaguar fits five in total.
That said, the I-Pace is a great car that will help expand the electric-vehicle segment by offering more choices to buyers and further normalizing the concept. Other manufacturers like BMW, Audi, Porsche, and Mercedes do have EVs in the pipeline. The I-Pace won’t be the only EV to come from Jaguar, moreover, as the company and sister brand Land Rover plan to offer an electrified model in every product line starting in 2020.
The acceleration of EV acceptance has been a long time coming until recently, but the newfound commitment by automakers to get into the market means there’s no turning back. Cars like the I-Pace prove that an EV can get an old-school auto enthusiast’s blood pumping. I’ll take one as long as I can still drive my 1987 Porsche 911 on the weekends.
**Jaguar I-Pace at a Glance**
| Price | Available in four trim levels, from $69,500 to $85,900 |
|-------|--------------------------------------------------------|
| Powertrain | Dual permanent magnet electric motors, one at each axle |
| Battery | 90 kWh Li-ion, nickel-manganese-cobalt chemistry, liquid cooled |
| Range | 240 miles |
| Charging time | 80 percent in 40 minutes using a CCS 100-kW DC fast charger, or 10 hours using a 7-kW home charger |
| Power | 394 hp, 512 lb-ft of torque |
| 0–60 acceleration | 4.5 seconds |
| Top speed | 124 mph |
| Curb weight | 4,784 lb |
| Cargo capacity | 25.3 cu ft / 51.0 with rear seats folded, plus .95 cu ft “trunk” |
| Warranty | 5-year/60,000-mile basic, 8-year/100,000-mile battery (up to 70 percent state of health) |
*Source: Jaguar*
The NBAA San Jose Regional Forum will bring current and prospective aircraft owners, operators, manufacturers, customers and other aviation professionals together for a one-day event on September 6. The forum incorporates exhibits, a static display of aircraft and education sessions to help current operators, as well as those considering using an aircraft for business. Any current issues in the region will also be addressed. Visit the website to learn more and register.
REGISTER TODAY: www.nbaa.org/2018sjc
Antique-airplane aficionados often refer to the 1930s as the golden age of aviation. It was an era that saw a proliferation of aircraft builders and a time when airplanes were meticulously and laboriously assembled by hand; materials were expensive and labor was not. Airports, while growing in number, were still a relative rarity—the number of public airports in the U.S. has grown tenfold since then—and the aircraft of the day reflected that: many models were seaplanes (see box), be they amphibious or built solely for off-land operations, to take advantage of the fact that water covers 71 percent of the Earth’s surface.
Technology and economics largely made business and commercial seaplanes irrelevant by the end of World War II, save for places like Alaska and Vancouver. However, today’s urban land gridlock and global economic development are conspiring to make seaplanes relevant again.
Blade—an on-demand helicopter service—has a seaplane base on the banks of New York’s East River. Its contractor, Tailwind Airways, provides service from the river base to executive airports at White Plains, New York and Teterboro, New Jersey, and, on New York’s Long Island, to the Hamptons, Montauk, Sag Harbor, and Shelter Island. There’s also service between Boston and Nantucket, and Tailwind is looking at expanding service to Washington, D.C.; Pittsburgh, Pennsylvania; Montreal; and Toronto. Tailwind flies Cessna Caravans on amphibious floats.
St. Paul-based Wipaire, meanwhile, has been equipping seaplanes since 1960 and does a healthy business in Cessna Caravans and Twin Otters. “We’re seeing increased interest in outfitting aircraft on floats with VIP interiors internationally, with a smaller uptick domestically,” says Clint Clouture, Wipaire’s vice president of sales and marketing. “Individual owners and aircraft operators that provide last-mile service to exclusive properties are finding that they can improve the passenger experience by adding high-end finishes and appointments similar to what you’d find in jets. In aircraft used as luxury resort transportation, an upgraded interior smooths the transition from jet travel to seaplane and offers an enhanced customer experience. The interior can really set the tone for how enjoyable the flight is. No matter how rugged the aircraft or how far off the beaten path the destination, you don’t have to feel that [you’re roughing it] when you sit down inside.”
Seaplanes never fell out of favor with certain resort destinations such as Bimini; Cape Air provides daily flights between that island and Fort Lauderdale and Miami and flies from its San Juan hub to St. Thomas, St. Croix, Tortola, Vieques, Mayaguez, Culebra, and Virgin Gorda. Harbour Air Seaplanes has long been a mainstay in Vancouver, with service within that market as well as to the Canadian cities of Victoria, Nanaimo, Comox, and Whistler, and to the Gulf Islands and Sechelt.
Now seaplanes are gaining popularity in other parts of the world, too. Seawings offers seaplane service in Dubai, once a “flying boat” stop on the route from the U.K. to India. Seawings service cuts travel time from the UAE airport to the Dubai World Central complex by 30 minutes to an hour, depending on time of day. In Mumbai, India, Maritime Energy Heli Air Services operates seaplanes to the Aamby Valley and islands in the Bay of Bengal and plans to add two dozen more aircraft to service destinations along the country’s 6,000 miles of coastline. Setouchi Holdings, parent of Idaho-based Quest Aircraft, has formed a joint venture with Island Aviation Services in the Maldives to run a seaplane service.
featuring Quest Kodiak aircraft on Aerocat floats. Consisting of 1,200 coral islands, the Maldives hosts more than 45 seaplanes.
The worldwide seaplane resurgence has prompted aircraft manufacturers to take another look at the market. Viking Aircraft, holder of the type certificate for the Twin Otter twin-engine turboprop, began offering a dedicated floatplane version of the model, called the 400S, last year. The $5.995 million aircraft features straight floats (no wheels) with Honeywell VFR avionics, less-powerful Pratt & Whitney Canada PT6A-27 engines (620 shaft horsepower each), and a 17-place interior.
The 400S will have special maritime-use anticorrosion features, including drains, seals, and protective coatings. Amphibious floats are available on the 400 and add slightly more than $500,000 to its base price. The Dornier Seastar, a $7.21 million twin-engine turboprop amphibian certified in 1991, has been resurrected with Chinese financial backing: an updated prototype rolled out last August. The 12-passenger Seastar cruises at 180 knots and has a 900-nautical-mile range and a service ceiling of 15,000 feet. Dornier Seaplane Company founder Conrado Dornier notes that China, due to its long coastline, large inland bodies of water, and comparatively scarce airport infrastructure, is a natural market for seaplanes. The Chinese government seems to think so as well, as it is bankrolling development of the world’s largest amphibian, the 117,700-pound AG600.
While seaplanes will never replace modern jets, they can make remote or congested destinations more convenient and accessible and offer a cost-effective alternative to helicopters. A new golden age of seaplanes may be just over the horizon.
Mark Huber (firstname.lastname@example.org), an aviation industry veteran, has reviewed aircraft for BJT since 2005.
The First Golden Age of Seaplanes
As the accompanying story notes, seaplanes first enjoyed popularity in the 1930s and early 1940s. In fact, Terminal A at New York City’s La Guardia Airport was once known as the “Marine Air Terminal” and was built, in 1939, to handle seaplanes. In the 1930s, seaplanes were landing in Chicago’s Burnham Harbor, next to Northerly Island, where Meigs Field would open in 1948. Los Angeles and Miami also had thriving seaplane bases.
Amphibians built for corporate use were elegant affairs. For example, the Sikorsky S-38—a 10- to 12-seat, twin-engine flying boat built beginning in 1928—featured wicker-backed seats upholstered in mohair and leather in a cabin finished in teak and brass. The passengers drank from crystal decanters. S-38 pilots and owners included billionaire entrepreneur Howard Hughes, Charles Lindbergh, and “Colonel” Robert McCormick, owner of the Chicago Tribune. Back then, airplanes that landed on water captured the romance of the day—both the glamor and the zest for unbridled go-anywhere exploration.
They were not fast, because their pontoons or boat-hull fuselages imposed enormous drag penalties. World War II triggered not just a massive airport-building program worldwide but also numerous aerodynamic and engine advances that hastened the march of much slower amphibious business and commercial aircraft toward obsolescence.
Boeing’s massive transoceanic Model 314 Clipper, introduced in 1938 and flown by Pan Am, had a range of 3,600 miles but typically cruised at just 155 mph with a full load of 36 passengers in sleeping berths—nice to have on the 19-hour flight from San Francisco to Honolulu—and required a crew of 11. The late author Ernest K. Gann, himself a seaplane pilot, called one poky amphibian “the only airplane I ever owned that you could put in a dive, lose a cylinder, and stall out.” —M.H.
Is bitcoin the wave of the future or an investment bubble? And if it’s the latter, should you rush into it or other cryptocurrencies before the bubble pops?
Those are questions that some investors are asking as they watch the volatile prices of these currencies zigzag upwards, with the total value of all cryptocurrencies rising some 400 percent last year. Gains like that certainly sound appealing, but experts caution that you should research the asset class before buying either shares in a security linked to a cryptocurrency or digital coins themselves. And some advisers suggest avoiding cryptocurrency altogether until it’s less volatile and government regulators have agreed on how to treat it. At the moment, it’s not clear which of the thousands of cryptocurrencies will survive long enough for you to recoup an investment.
“It’s hard to figure out who’s going to be winners, who’s going to be losers, who’s going to be disruptive,” says Michael Casey, a senior adviser at the MIT Media Lab’s Digital Currency Initiative.
Like many people, you might not yet even be dealing with the question of whether or not to invest; you may simply be asking, “What the heck is cryptocurrency?” Answer: it’s a side effect of something called the blockchain, which is a decentralized digital ledger that allows for transactions that don’t have to be verified by a central authority. Instead, each transaction has to be confirmed by people on the network, working independently.
After they verify it, and solve some complicated math puzzles, they receive cryptocurrency as a reward. Because transactions can’t be changed, there’s no possibility of disputes about them. And because transactions are anonymous, they can’t be tracked by the Federal Reserve or any other central authority. “Once we keep a log of transactions—it doesn’t have to be money; it can be exchanges of value in many forms, like our data on the internet—we can start to take charge of our data and our assets,” Casey says.
Because information recorded on the blockchain is immutable, experts think this technology could reinvent the way we manage rights, permissions, and payments. Potential applications for blockchain are unlimited, ranging from online privacy to land records in the developing world.
The biggest and best-known cryptocurrency is bitcoin, which launched in 2009, during the global financial crisis. Today there are about 2,000 cryptocurrencies, all of which are designed as rewards to enable the functioning of a network that does a specific thing, such as Filecoin, which allows people to spread digital files across the internet.
Cryptocurrency systems use cryptography—think spy codes based on complicated math—to generate the coins. (That’s why they’re called “cryptocurrencies”—not, as some people think, because they’re not really currencies.)
Once a niche idea, cryptocurrency has become the subject of rampant hype as companies rush to figure out what blockchain might mean to the economy. While most mainstream financial advisers don’t hold them on behalf of their clients, some investors are trading cryptocurrency, particularly bitcoin, on their own.
For some, blockchain has become their singular focus. Consider Nithin Eapen, chief investment officer at Arcadia Crypto, a New York City fund that backs new token issues and cryptocurrency-related startups: he sold his entire investment portfolio, liquidated his retirement accounts (paying penalties to do so), and put the balance into bitcoin. The only major asset he has aside from bitcoin is his house, he says. The plan is to use his firsthand knowledge as a cryptocurrency holder to learn more about the market.
“You have to be in the space to know what is happening, or you’re going to miss the whole revolution,” he says.
Few financial advisers would recommend anywhere near this degree of investment in cryptocurrency. They worry that risks abound, even beyond what’s expected in the securities markets.
A major danger for investors is that, unlike securities such as stocks and bonds, cryptocurrencies aren’t regulated. The agencies that supervise financial markets have yet to agree on a framework for which of them will regulate which aspect of cryptocurrencies. The Commodity Futures Trading Commission has said it thinks cryptocurrencies should be considered commodities, the Securities and Exchange Commission has said initial coin offerings may be regulated as securities, and the Internal Revenue Service taxes cryptocurrency holdings as property. The uncertainty and overlapping jurisdictions can
be confusing, and potentially risky, for investors.
If you wish to get involved in cryptocurrency investing despite all the caveats, you can choose from several methods. Buying digital coins is the simplest, although getting access to the tokens can be difficult, and so can storing and trading them.
You can trade existing cryptocurrencies on online exchanges. Stick to well-known markets with strong trading volume or your trades might not execute quickly. Be prepared to pay higher fees than you would for stock trades.
If you want to hold cryptocurrencies directly, you’ll need to safeguard your digital wallet, the place you store the digital keys, or passwords, to your crypto holdings. Anyone who gains access to these keys will be able to steal your money. You may want to keep those keys on a hard drive and place the drive in a safe-deposit box, says Richard Levin, the chairman of the fintech and regulation practice at Polsinelli, a Denver law firm.
If you prefer to invest in a security linked to the price of cryptocurrency and subject to securities regulation, one option to consider is buying shares in a private placement. You’ll need to hold the shares for 12 months before you can trade them legally, Levin says.
One of these private placements, Grayscale’s Bitcoin Investment Trust, trades at a premium to bitcoin’s price, says Michael Sonnenschein, managing director of the firm, which oversees investment trusts based on cryptocurrencies. Grayscale, which has been trading since 2013, also offers shares of trusts linked to other cryptocurrencies, including bitcoin cash, ethereum classic, ethereum, litecoin, ripple, and zcash.
Grayscale charges a 2 percent annual management fee, and investors will also pay a trading commission of 1 to 2 percent to the brokerage firm they use, Sonnenschein says.
Because the companies that issue cryptocurrencies are mainly still private, it’s not possible to buy shares in a public market. You could invest in venture-capital funds that back cryptocurrency startups and those in related industries, Casey says.
Another investment strategy is to buy shares of public companies that stand to profit from a blockchain explosion. IBM and Microsoft are among the fastest movers in this area, Casey says, although their exposure to blockchain is only a small part of what the companies do. Also poised to benefit are businesses like Nvidia that make high-powered graphics processing chips, which cryptocurrency miners use to soup up their computers.
The type of cryptocurrency investment that has received the most attention recently is initial coin offerings, or ICOs, of which some 2,000 have been held. Despite the name, this is nothing like an initial public offering, in which a company sells shares on a public stock market. Instead, a company is selling tokens of its own new cryptocurrency, often before the blockchain system that uses this token as a reward mechanism is even built.
“When you’re buying in an ICO, you’re not investing in a company; you’re buying the utility token those companies will use to operate their system,” Sternberg says. If the company turns out to have a useful system, the tokens you buy may have value one day (as bitcoin does), but there’s no guarantee. If not, your investment will be worthless, since it doesn’t represent the debt or equity of the company.
“Failure is a likely outcome here because you’re looking at highly speculative, startup-type ventures,” says R.A. Farrokhnia, a professor at Columbia’s business and engineering schools and the executive director of the Fintech Initiative there.
Another risk: although ICOs are typically sold without any government regulation, the SEC has said it may regulate them as securities offerings, which could invalidate these sales or result in the imposition of penalties.
“Most will likely get hit with SEC actions because they’re looking like they’re unregistered securities,” Casey says.
One thing you shouldn’t do, experts say, is become a bitcoin miner yourself, joining the network to verify transactions and receiving cryptocurrency as a reward. When bitcoin first started and the reward for verifying transactions on the network was higher than it is now, mining was an easy way to make money. But it’s impossible to make a profit from mining today without understanding what hardware to buy and how to join a mining pool, a collective of miners around the world that splits all profits, says Joseph Sternberg, an adviser to several blockchain and security companies.
There’s also a high risk of getting scammed—for instance, by buying an expensive mining-specific computer that the seller surreptitiously uses himself nonstop for several weeks before shipping it to you, wearing out the processor faster, he says.
If you do make an investment in cryptocurrencies, you should include information in your estate documents about how your heirs can find your digital wallet or other crypto assets, says Mindy Stern, an estate-planning attorney at Schwartz Sladkus Reich Greenberg Atlas in New York City.
Cryptocurrency may be how we’ll pay for things in the future, but it’s a risky way to make money now, Farrokhnia says. He recommends investing only what you’re comfortable losing and being prepared to wait five years or longer to realize returns.
“For crypto to enter the mainstream, it will take some time, certainly beyond the investment horizon of many accredited investors,” he says.
Chana R. Schoenberger (email@example.com) has been an editor at Forbes, a reporter for Dow Jones and the Wall Street Journal, and a news editor at Bloomberg News.
**Bitcoin in the Sky**
The blockchain boom has come to business aviation.
Someday, jet owners and operators might use blockchain to keep track of aircraft registrations, fractional-ownership shares, and flight plans. But it’s already possible to pay for at least some flights with cryptocurrency.
Monarch Air, a charter and fractional-jet-share jet company based in Fort Lauderdale, Florida, started accepting bitcoin and ether in November as payment for flights. So far, it’s a curiosity, not a trend: fewer than 10 flights have been booked with cryptocurrency, all by American customers, says executive director David Gitman.
Clients choose a flight on the company’s app or by phone, and don’t pay extra fees for using cryptocurrency, Gitman says.
Having clients pay for flights in bitcoin signifies a change in the market, Gitman says: “Now you have people who are buying cryptocurrency and using it to get real value, as opposed to just waiting for it to go up so they can sell it.”
But the volatile price of bitcoin means that there’s only limited interest in spending it, rather than holding onto it in hopes that its value will rise. Monarch clients’ desire to use cryptocurrency as a payment mechanism waned after the value of one bitcoin dropped from a high of $19,783 in December to a low of less than $6,500 at presstime.
“If you’re holding cryptocurrency, you think it’s going to go up, so you’re not going to sell it now,” Gitman says. Most clients who hold cryptocurrency would rather pay for their flights in dollars, rather than sell out of bitcoin at a relatively low valuation, he says. —C.R.S.
Making the switch from passenger to pilot
Tired of sitting in back? Here’s what to do about it.
by James Wynbrandt
If you’ve been feeling an urge to turn left instead of right when you step aboard a business aircraft, you’re not alone. Transitioning from passenger to pilot is more common than you might think, and whether you aspire to fly for recreation or take command of your own business jet, it’s likely simpler—especially since you probably don’t face the financial constraints that can keep many aspiring pilots grounded.
“Successful, mid-career professionals are absolutely an important part of the student pilot population,” says Elizabeth Tennyson, vice president, aviation program operations, at the Aircraft Owners and Pilots Association (AOPA). She adds that earning a pilot’s license today “is easier and more convenient than it’s ever been.”
If you’re interested, but not thoroughly committed, “don’t underestimate how easy it is to call up your local airport and schedule an introductory flight with an instructor,” says Flagship Foods CFO Patrick Moulder, who earned his pilot’s license in 2014. “An hour up in the air can be a pretty cool experience, even if you don’t want to pursue the whole license,” adds Moulder, who got interested in flying while accompanying his CEO in a Cirrus SR22 piston single on frequent business trips.
Among the requirements for an FAA private pilot license or certificate: you must be at least 17 years old and have a minimum of 40 hours of flight time, including at least 20 hours with an authorized instructor and 10 hours of solo flying; you must also hold a third-class medical certification and a student pilot certificate and pass a practical knowledge test—aka the flight test—and a written exam.
Today, a host of interactive tools and online programs improve the learning experience and make it convenient to work toward your rating just about anywhere. If you’re interested in flying only sport aircraft, or have a medical condition that precludes earning a private pilot’s license, you can seek a recreational pilot’s license, which requires less time and training.
Though the path to the pilot’s seat has been eased, many would-be aviators still drop out en route to earning a license. Identifying the appropriate aircraft type to fly, choosing a good training facility and instructor, and establishing goals help ensure success.
“Create a schedule and stick to the schedule,” advises Matt Gelfand, a Nashville businessman. Introduced to business aviation after buying a NetJets Marquis Card and Wheels Up membership following the sale of a company he’d founded, Gelfand immediately became enamored with the idea of flying himself and earned his license in early 2016. “I was hooked,” he says. “I really wanted to use it to travel not just on business but with my family.”
You should train in the type of airplane you plan to fly. If you intend to own an aircraft, buying it to train in can make sense, because doing so will ensure you know your airplane well and maximize the economic benefits of ownership. For business and family travel, a range of single- and multi-engine aircraft make ideal platforms. If you’re interested in aerobatics, exploring the backcountry, or using a floatplane to get around the lakes near your summer home, aircraft suited to your needs are available.
Pilot organizations like the Experimental Aircraft Association, the Seaplane Pilots Association, and AOPA have staffs available to answer questions about ownership. Join a type club for the aircraft you plan to fly. All major airplane models have such clubs, which are organized and run by owner groups. The clubs are founts of valuable information and camaraderie, and many of them sponsor safety clinics and other specialty-instruction programs.
Look for a flight school with a modern, well-maintained fleet and a standardized training curriculum. Ask pilots you currently fly with and your lift providers for recommendations. The AOPA, which lists flight schools across the U.S. on its website, recognizes superior schools and instructors with its annual Flight Training Experience Awards. The Flight School Association of North America, which has an accreditation program, lists member facilities on its website.
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Train with a senior career instructor, suggests Rick Todd, president of the National Association of Flight Instructors. Such an instructor “may cost a little more, but it’s money well spent,” Todd says, especially today: working as a flight instructor has long been a venerable tradition among pilots aspiring to airline jobs, but with hiring by commercial carriers on the upswing, such instructors may land an airline job before they finish your training. “You don’t want if you plan to fly a heavier aircraft or even a jet.
Moulder, who flies a Cirrus, earned his license in about six months, “basically taking lessons every weekend.” His training also benefitted from flying with his boss. “We’d bring instructors with us on business flights, and I would get some [flight] time that way,” Moulder says.
Gelfand, who also owns and flies a Cirrus, completed his primary training with an intensive three weeks at the Flight Academy in Seattle, which specializes in training for the composite single. Gelfand now uses his Cirrus SR22T for business and family trips, and is second-in-command type-rated in a Beechjet 400XP twinjet that he leases for trips beyond the range of his Cirrus. (He hires an instructor to serve as pilot in command for those flights.)
“It’s a passion for me, not just a tool,” says Gelfand. “It’s a second profession. It changes the whole experience of travel for me.”
Both Moulder and Gelfand point to the Cirrus Airframe Parachute System, which can deploy a parachute to lower the aircraft to the ground in emergency situations, as a primary reason they choose to fly that aircraft type.
Moulder’s boss, meanwhile, has upgraded to an Eclipse 500 twinjet. Moulder has no interest in a jet rating, but as the Eclipse is approved for single-pilot operation, he can sit in the right seat and help with radio work, learning more with every flight.
With dedication, you can earn your pilot’s certificate in six to nine months, at a cost in the neighborhood of $10,000.
Maintain a positive attitude. “I see people have a bad experience with an instructor or a school, and they lose interest,” says Gelfand, noting that he flew with several instructors before choosing one whose teaching style meshed with his needs.
Finally, commit the required time and effort. Earning a pilot’s license is a serious endeavor. “I did a lot of book studying on my own, at night after I put the kids to bed,” says Gelfand.
With dedication, you can earn your certificate in six to nine months, at a cost in the neighborhood of $10,000. You may want to continue with your instrument and multi-engine ratings, earn a commercial license, or get a type rating
James Wynbrandt (firstname.lastname@example.org), a multi-engine instrument-rated pilot and regular BJT contributor, has written for the New York Times, Forbes, and Barron’s.
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Hiking through New Hampshire’s magical mountains
The views are spectacular, and meals and lodging are available on the way up and down.
by Thomas R. Pero
When Courtney and James Wrigley put on their hiking boots this summer and start up the trail leading to their favorite hut in New Hampshire’s White Mountains, their two-year-old and their zero-year-old will be tagging along. Courtney is pregnant. And James will have the satisfaction of guiding yet another generation of his family into the magic mountains that his father introduced him to in 1988, when James was three.
Wrigley isn’t just any mountain lover. He is huts manager and search-and-rescue coordinator for the eight backcountry huts operated by the venerable Appalachian Mountain Club (AMC), which two renowned professors from Harvard and the Massachusetts Institute of Technology founded in 1876.
“They’re still a little rustic,” says Wrigley of the huts, “but we do our best to make them comfortable.” There are no showers, nor is there heat or electricity. But there are clean outhouses. And hikers needn’t burden themselves with cumbersome packs. AMC staff and summer volunteers man the huts and pack in provisions daily. You’ll find clean beds and sleeping bags with warm wool blankets waiting, although you may wish to bring your own pillowcases. For dinner you might dine on traditional New England roast turkey, complete with fresh bread. In the morning you’ll rise to oatmeal, bacon, and eggs.
The huts—three of which are above treeline—offer a range of experiences. They are connected by a network of well-maintained trails of varying steepness and difficulty. For first-timers, James Wrigley recommends an easy three-day hike of 2.8 miles up the Crawford Path to Mizpah Springs Hut, which is nestled between two peaks of 4,000 feet. That’s where you spend the first night. Then the next day you hike five miles to
the Lake of the Clouds Hut, which is 5,012 feet above sea level. On the third day of your adventure, you hike the three miles down the tumbling, leafy headwaters of the Ammonoosuc River.
The trails are interspersed with spectacular views of Mount Washington, the tallest in the Northeast. Its granite dome soars 6,288 feet. Washington is famous for fierce, erratic weather. Snow covers the stunted firs and spruces—sometimes even in August. Last January wind-chill temperatures approached minus 100 degrees Fahrenheit.
The huts host visitors from all over the world from June through October. (For reservations, call 603-466-2727.) This year more than 45,000 guests will stay overnight at these classic New England hiking huts, the most ever. That’s encouraging to James.
“This is unique for the Northeast,” he says. “There won’t be any new places this beautiful and rugged found on the East Coast. We can all contribute to conservation by treading lightly.”
**A Bit of History**
Congress established the White Mountain National Forest in 1914. It started with 7,000 acres of remnant greenery bought with federal funds for $13 an acre, surrounded by a logged-over, burned, and blackened landscape. During the last century these protected public recreational lands have expanded to 800,000 acres. The land has recovered. The trees have grown back. The mountains are green again.
—T.R.P.
**Thomas R. Pero** (firstname.lastname@example.org) is publisher of Wild River Press. His latest book is *Turkey Men*.
Making “impossible” vacations possible
Increasingly popular curated private jet tours come loaded with perks and pleasures.
by James Wynbrandt
You’ve probably seen advertisements for grand world tours sponsored by the likes of the *New York Times*, *National Geographic*, and Four Seasons Hotels and Resorts aboard luxury converted airliners, their itineraries packed with curated experiences and insider access to exotic destinations. If the trips sound enticing, but rubbing shoulders with 50 or so other travelers puts you off, you’ll be glad to know that the same aircraft, along with a variety of well-appointed business jets from these and other high-end tour organizers, are often available for private luxury guided tours. And demand for such tours is growing.
“People are increasingly starting to value experiences over things, meaning that they are putting a higher priority on travel and looking for unique experiences,” says Elisabeth Nelson, managing director for private travel at TCS World Travel, which offers tours aboard business jets in partnership with veteran U.S.-based luxury tour organizer Travcoa. The mass-media advertisements mentioned above could also be influencing the market.
“Now that Four Seasons and *National Geographic* are doing it, it’s made it seem a bit more accessible,” says Elizabeth Ellis, founder of luxury travel consultancy Blue Marble Private in the U.K. “Now it might not feel so extravagant to clients.”
It’s not simply the chance to travel onboard a luxury converted airliner or a business jet that draws customers to these tours. “Many of the guests on our private jet journeys have their own planes,” says Jean Fawcett, media relations manager for bespoke tour outfitter Abercrombie & Kent (A&K). But, she adds, “The logistics of trying to do it on their own can be overwhelming.”
A&K began the luxury jet tour trend, hosting its first such trip in 1989 aboard a retrofitted Lockheed L-1011 TriStar. Today the company (like the *New York Times*) uses an Icelandair Boeing 757-200ER for its world tours; the aircraft, with its 50 custom-designed Italian leather berthable seats, is also available for families and private groups.
If you don’t need a platform that large, A&K can source a jet that matches the size of your group (16 guests maximum) and itinerary for one of its Wings Over the World journeys. If you want to use your own jet, A&K and other tour organizers can handle all the other arrangements.
Having onboard gourmet meals instead of dining on traditional airplane food is surely part of the appeal of these jaunts. The Four Seasons’ 52-passenger B757-200ER carries an executive chef who uses fresh ingredients gathered at each stop for every in-flight meal, for example. But what most sets private luxury air tours apart are the customized itineraries and on-ground activities designed around each client’s demands and desires. These purveyors have the contacts and clout to arrange unusual and otherwise unavailable activities, from private performances by world-acclaimed artists to off-hours access to Egypt’s Pyramids of Giza, so you can explore the wonders in solitude.
China’s Deer Jet recently offered a weeklong Cannes Film Festival tour on its Gulfstream G550 that included access to the red carpet for the opening-night gala, mingling with artists and celebrities, and invitations to the official after-party.
U.K.-based Air Charter Services (ACS) provides customized tours designed around events like the Monaco Grand Prix, European Fashion Week, and the Super Bowl, along with more traditional offerings like African safaris and themed regional tours. The shift toward this kind of travel is “palpable,” says Christian Lee-Fatt, ACS’s jet card sales manager for the Americas.
“The bigger they dream, the better,” says Ellis of those considering such journeys. “There’s generally a way of making possible things they don’t think are possible.”
Blue Marble Private recently introduced a selection of tours with “off-the-beaten-path experiences only possible when flying by private charter,” including a “top-to-tail”
exploration of South America and a Greenland-to-Iceland adventure. As the latter journey may suggest, these tours can sometimes be brief. Nelson at TWC notes their tour customers “tend to book shorter trips to fit around their work schedules,” to maximize the value of their leisure time. (TWC has also partnered with Four Seasons on private jet tours.)
If you prefer to mix your forms of transportation, note that the U.K.’s Air Partner has allied with yacht broker Camper and Nicholsons to offer packages that include roundtrip jet charter travel to Fort Lauderdale, where passengers embark on a yacht for a one-week cruise.
The big names in the business are responding to the demand for these private, individually curated tours. Four Seasons last fall teamed with NetJets to offer vacation packages using the fractional provider’s fleet and Four Seasons properties. In introducing the tours, J. Allen Smith, president and CEO of Four Seasons, noted that “many of our guests are already NetJets owners.” The offerings include a ski trip in the American West, a Hawaiian getaway, and a European jaunt that hits the Continent’s gastronomic hot spots.
Crystal Cruises made waves last year when it introduced Crystal Skye, a B777-200LR, the newest and largest of the dedicated VIP tour platforms, under the banner of its new Crystal AirCruises division. The 88-passenger jet is available for private charter—design your own itinerary or choose one of Crystal’s global journeys—but the company also offers, through its new Crystal Luxury Air branch, tours on “a curated fleet of sophisticated aircraft” led by its 12-passenger flagship, a Bombardier Global XRS.
These tours aren’t limited to journeys of self-fulfillment and indulgence. TCS World Travel/Travcoa, for example, can organize itineraries that involve charitable causes and volunteerism.
“If you want to make a difference, or just learn more about how you can make a difference while traveling, we can help,” says Nelson.
Costs of these tours vary based on the aircraft, accommodations, on-ground activities, and itinerary. (Group world tours organized by the *New York Times* and A&K start at about $135,000 to $150,000 per person, double occupancy.) If you’re considering a charter like this, look for a company with proven experience in the high end of the travel market, and deep knowledge and contacts in the locations you want to visit.
James Wynbrandt (email@example.com), a multi-engine instrument-rated pilot and regular *BJT* contributor, has written for the *New York Times*, *Forbes*, and *Barron’s*.
Navarra is little—and little-known—but it offers big pleasures. Here, an ex-resident returns to explore its history, food, culture, and wilderness.
by Mark Eveleigh
Province
The first time I came across them, I was stunned to see a uniformed band of three pipers and a drummer walking down a deserted street soon after sunrise. I encountered them as I went out one morning in search of an early coffee in Pamplona, the capital of Spain’s northern Navarra Province.
Every Sunday, for longer than anyone can remember, the *txistularis* (as the pipers are known) have been heading out from the baroque town hall here to serenade in the old quarters. This is one of many timeless aspects of life in Pamplona—as reliable as the chiming of the cathedral bell or the soft swish of a street sweeper’s broom. I lived here for over a decade and whenever I return to this lovely city to visit my daughter, Lucia, we go out on Sunday to watch the *txistularis*.
We also often walk along Calle Nueva. (Only in Pamplona could a road with six centuries of history be known as “New Street.”) Many of the balconies here drip with bunting in the form of the red, white, and green flag of the Basque country, and newly arrived visitors frequently jump to the erroneous conclusion that that’s where they are. Even the red, yellow, and purple of the Republican flag (emblematic of the 1936–1939 civil war) are present yet, strangely, the red and the gold of the Spanish flag are absent.
Pamplona is one of the most peaceful places in Iberia these days, yet this city, just a stone’s throw from the Basque highlands, still feels like frontier country in many ways. Perched on its impregnable ledge—which is embossed in granite with the star-shaped battlements of one of Europe’s most intact medieval citadels—it is easy to imagine the Casco Viejo (old town) in the medieval days when it was besieged by enemies.
Those days have long since passed and for 51 weeks of the year Pamplona could qualify as Spain’s most invisible provincial capital. Then, annually on July 6, a modern-day army of more than a million devotees invades this city of 200,000 inhabitants for the Fiesta of San Fermin. Pamplona takes a few long pulls at a wineskin—eventually consuming an estimated total of almost 70,000 gallons of booze during the eight-day fiesta—and turns into the hell-raising capital of the world.
Pamplona during “peacetime” rarely features in tourist itineraries, however; and, apart from the foot-sore modern-day pilgrims who pass through on the famous Camino de Santiago, the province as a whole sees few visitors. It is as if Navarra has become a victim of the fame (many would say notoriety) that is connected with the running of the bulls. Ask the locals what they think of Hemingway’s legacy and the real-life
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From the rocky ledge on which I perch, I can imagine armies of mounted barbarians wielding razor-edged scythes.
*Death in the Afternoon* re-runs that draw crowds of almost 20,000 to the world’s fourth-largest bullring and you risk inciting tempers: after all, Navarra has so much more to offer than just the world’s greatest party.
An hour south of Pamplona, cut off from northern Navarra by the Aragón River, you find the great desert wilderness of Bardenas Reales Natural Park.
The entire province of Navarra is considerably smaller than Death Valley National Park, yet this mountain kingdom at the foothills of the Pyrenees boasts its own spectacular version of California’s famous desert canyons. I’m sitting astride a mountain-bike, gazing from the lip of a great limestone crest across a tangle of dry barrancos, crested with wind-sculpted sandstone. While this mysterious semi-desert is barely known even to Navarrans, it became familiar to millions worldwide as the Dothraki Sea when desert scenes were filmed here in 2015 for the sixth season of *Game of Thrones*.
From the rocky ledge on which I perch, like Don Quixote astride my aluminum Rocinante, I can imagine armies of mounted barbarians wielding razor-edged scythes. Instead of flame-coughing dragons, however, something potentially even more terrifying frequently crosses the sky over Bardenas Reales; part of this UNESCO Biosphere Reserve serves as an air-to-ground target range for bombing practice (without explosives). In 1970 the U.S. Air Force moved here after it lost access to its El Uotia gunnery range in Libya. Over the next 15 years, Bardenas Reales became the biggest European training ground for American pilots who must have thought it did indeed look a lot like the Libyan desert as they streaked across an area that had been the peaceful wintering grounds for migrant shepherds for thousands of years. Shepherds still use this area for wintering their flocks but usually avoid the soaring temperatures of the summer months here.
“This area remains truly wild, and few people—even locals—ever come here,” says Stephanie Mutsaerts, as she stops her bicycle next to me. “You can often see golden eagles and Egyptian vultures riding the thermals up here.”
Stephanie left her home in Vancouver 20 years ago and now knows northern Spain better than most locals. She first fell in love with Barcelona but soon discovered the excitement of Navarra. She quit her job as an English teacher at Navarra University to dedicate herself to regional tourism—focusing not only on VIP visits to San Fermín Fiesta but also on promoting the province to travelers who are looking for something even more unpredictable than the fiesta.
Our morning ride has fostered an appetite and by the time we’ve freewheeled down the rutted tracks back to Stephanie’s car, the hot dust in my mouth is spawning desert mirages of that first lunchtime sip of Navarran wine. So, from the road back towards Pamplona, Stephanie takes a detour through the ancient town of Olite and onto a tiny country road that leads to the little village of Ujué.
“‘Ujué’ means pigeon,” says Juana María Rosauro, as she leads us to a table in Casa Urrutia, the restaurant that bears her husband’s family name. “Legend has it that two
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shepherds, lost in a storm, saw a pigeon flying into a cave. They went inside to shelter and found the statue of the Virgin Mary that now stands in the Church of Santa María on the hill. The village of Ujué grew around the spot.”
It’s hard to imagine today that this sleepy hamlet with fewer than 100 inhabitants was in the 12th century a fortified community of about 1,500 people that boasted one of Europe’s first universities. Juana shows me into the kitchen where her husband José Manuel Urrutia is preparing a dish that would surely have been known (although perhaps in humbler style) to the two shepherds who inadvertently founded what was one of the great spiritual and strategic centers of northern Spain a thousand years ago.
“Migas is an ancient shepherd’s dish,” explains José Manuel, who started baking in his father’s shop when he was 14. Although it’s a secret family recipe, he agrees to give me the basics: “First, it must be made with the crumbs of very good bread… but the bread must be four or five days old. You fry the bread crumbs in lard with garlic, pork belly, serrano ham, mushrooms, and tomatoes.”
By the time I return to the dining room, the table is groaning over moist, delicious migas, txistorra sausages, succulent roasted peppers, and the best sourdough bread in the region. We sip full-bodied red wine that has traveled just 20 kilometers through the rolling hills from the Pagos de Araiz vineyard.
Driving homeward in a crystal-clear Spanish evening, we’re suddenly aware of what seems to be a swirling black tornado against the blushing skyline. It is a murmuration (as these mass meetings of birdlife are called) of what looks like several million starlings. They move in an ever-changing shadow above the waters of Laguna de Pitillas, shifting and swirling in a haunting aerial ballet, until they finally come to rest on the ranked lines of grapevines in such numbers that the plants sag under their weight. The avian plague seems to provide a fittingly biblical end to our day in the Navarran desert.
“It doesn’t seem logical for such a small area as Navarra to boast both a desert and a jungle,” enthuses Stephanie as Lucia and I jump into her car in Pamplona one morning.
From the city it’s about an hour’s drive through villages with names that seem to clang like the bells on the Basque oxen: Oroz-betulu, Orbaizeta, Ochagavía, then the Selva de Irati (Irati Jungle). This pristine wilderness is the second-biggest beech and fir forest in Europe (after Germany’s Black Forest) and an area of incredible beauty that glows a fiery orange in the fall. Irati is an enchanted forest haunted by foxes, wild boar, deer, and even, according to legend, a local yeti.
In the ancient Basque religion, Basajaun was a benevolent giant who roamed the forests, warning shepherds of coming storms and guarding flocks from wolves. Some experts have hypothesized that the myth of Basajaun as the great teacher who showed the local communities how to construct mills and smelt metals could, in fact, have evolved from the supposedly advanced Neanderthals who
**Traveler Fast Facts**
**WHAT IT IS:**
If tiny Navarra (just 10,391 square kilometers) were an American state, this province in northern Spain would rank 48th in size and population, yet it is arguably Spain’s most fascinatingly diverse region. In 824 the Basque Iriigo Arista was elected king of Pamplona and the city remained Basque until it was annexed by Castile in the 16th century.
**CLIMATE:**
Summer temperatures climb to 30 degrees C (about 86 degrees Fahrenheit) but in winter the city occasionally sees snow. No months can be guaranteed to be rain-free but, even in the depths of winter, there are often sun-blessed days to lure you out for a pintxo (tapas) lunch on a terrace.
**GETTING THERE:**
Pamplona Airport accommodates private jets but airline connections are limited and most people travel to Navarra via Madrid or Barcelona (four and five hours away, respectively, by train). Bilbao Airport serves many European destinations and is just two hours by bus from Pamplona.
**WHAT TO KNOW BEFORE YOU GO:**
To really get under the skin of this part of Spain, you should take time not only to soak up the atmosphere of the old town but also to explore the rural villages and valleys.
had one of their last bastions in this area. Circles of prehistoric stones still mark sacred spots on the peaks (such as the 123 monoliths at Azpegi); and in nearby Abauntz Cave, archaeologists have unearthed the remains of a Neanderthal settlement that dates back 50,000 years.
Traditions die hard in the highland villages of Navarra. If you drive north alongside the crystal-clear headwaters of the Bidasoa River (where Hemingway once terrorized the trout) and into another chain of valleys with names that ring like a wind-chime—Urritzokieta, Lurriztiederra—you come to the highland village of Etxalar and what might be the world’s most unusual community of “fishermen.”
“The villagers here have been trawling with nets on the highest mountain passes for centuries,” local guide Alfonso Bermejo tells us as we gaze at the northern slopes of the Pyrenees sweeping down into France. “But rather than trawling for fish, these men are fishing for pigeons.”
Apparently the first-known recorded mention of *la palomera* (literally “the pigeoning”) was from a 650-year-old letter in which the villagers of Etxalar complained to the church authorities about their local padre, who was holding mass at 4 a.m. so that he’d be free to go “pigeoning” at dawn.
Even at that date the tradition had already been around for more than a thousand years, and these days the giant pigeon nets are still hoisted between the highest trees on the peaks to catch wild pigeons that have fattened up for the long migration to North Africa.
“The season is a short one—only October and November,” Bermejo explains, “but during that time as many as 100,000 pigeons fly over these passes in a single day.”
When the pigeons get close, hunters on high wooden watchtowers throw whitewashed bats which, to panicked pigeons, look fleetingly like hawks. The pigeons evade them by diving low and fast towards the tree line…and straight into the nets.
It’s hard to believe that yesterday we were dining on delicious shepherd’s breadcrumbs in a village near the desert and today we’re feasting on wild pigeon with chocolate sauce in a cozy wood-beamed *asador* (roasting house) in a Pyrenean village less than 20 kilometers from the Irati Jungle. We take our time over a bottle of Basque cider and by the time we emerge the afternoon mist has started to descend among the red-tiled roofs of Etxalar. It is time for us to head back down to the sunny plains of Pamplona.
The next day is Sunday, so Lucia and I wake for our traditional rendezvous with the pipers. We step out onto our balcony at sunrise and gaze down the ancient canyon of Calle Nueva. This might be late fall in Navarra, but as we wander out into the early-morning crispness we’re reassured by the knowledge that, even in the depths of a Spanish winter, the sun also rises.
**Traveler Report Card**
**ACCOMMODATIONS:**
*La Perla* (B+), Pamplona’s most famous five-star hotel, is perfectly located on the beautiful Plaza del Castillo. The room where Hemingway stayed was left unchanged, even during extensive renovations. *Muga de Beloso* (B) is a chic modern four-star hotel overlooking the Arga River in a peaceful location at the edge of the old town. For those who want to live like the locals *Heart of Pamplona* (A+) offers a range of beautiful self-catering apartments in the city’s historic center.
**CUISINE:**
Navarra is renowned by the Spanish for its hearty country food. The vegetables—especially asparagus and peppers—grown on the sun-blessed Pamplona basin rank among the world’s finest, as does Navarran wine. One of the best ways to sample the endless variety of local produce is to dine on *pintxos* (as the local style of tapas is known). *La Cocina de Alex Múgica* (A+) is where the city’s most famous chef works his magic. *Bar Gaucho* (B+), while less salubrious, has won countless awards as the best of the traditional *pintxo* bars that date back to Hemingway days. *Café Iruña* (B), overlooking the main plaza, offers a hearty three courses plus wine for US$19. To sample country cuisine as you might never have had it, try *Casa Urrutia* in Ujué (A). Don’t miss the specialty *migas* and pick up some of José Manuel Urrutia’s freshly made confectionaries, such as iconic *rosquillas*, *magdalenas*, and *txantxigorris*.
**ACTIVITIES:**
Options range from cultural trips and visits to highland villages to mountain-biking journeys in Bardenas Reales and trekking expeditions in the magical forest of Irati.
---
*Mark Eveleigh* (firstname.lastname@example.org), who wrote about South Africa for our June/July 2016 issue, has contributed to more than 80 publications, including the *New York Times*, *National Geographic*, and *Esquire*. For this article, he traveled to Pamplona at his own expense but was hosted with an apartment there by Heart of Pamplona and experienced the Navarran wilderness courtesy of Northern Spain Travel.
August 8–10
SANLUCAR HORSE RACES
Sanlucar de Barrameda, Cadiz, Spain. The horse races on the beach, which officially started in 1845, are free to attend; and the party in Sanlucar—with flamenco and vino—is not to be missed.
Info: andalucia.com
August 14–16
LABACE
São Paulo, Brazil. The Latin American Business Aviation Conference and Exhibition (LABACE) is celebrating its 16th year. Sponsored by ABAG (the Brazilian Association for General Aviation), the event attracts attendees from around the world who gather to do business in this growing market.
Info: abag.org
August 17–September 9
U.S. OPEN TENNIS CHAMPIONSHIP
Flushing Meadows-Corona Park, New York. Join in on the 50th anniversary celebration and watch electrifying tournaments played by some of the sport’s greatest players.
Info: usopen.org
August 29–September 8
VENICE INTERNATIONAL FILM FESTIVAL
Venice, Italy. Highlights of the 75th annual festival include Best Restored Film and Best Documentary on Cinema.
Info: labiennale.org
September 6
NBAA REGIONAL FORUM
San Jose, California. Held at the San Jose International Airport (SJC), this event incorporates exhibits, static displays of aircraft, and educational sessions with the goal of introducing bizav to local officials, prospective owners, and operators, and addressing current issues in the region.
Info: nbaa.org
September 6–14
NEW YORK FASHION WEEK: THE SHOWS
New York. Celebrities and businesspeople garner exclusive access to the next season’s hottest trends from A-list designers and their models.
Info: nyfw.com
September 8–9
THE ELITE NEW YORK
Fairfield, New Jersey. Get a close-up look at a wide array of luxury products—from business jets to prestigious boats, supercars, fine art, and fashion.
BJT is a media sponsor of this event, which will take place at Essex County Airport.
Info: theeliteevents.com
September 8–9
LUXURY & SUPERCAR WEEKEND
Vancouver, Canada. This event will include fine dining, a fashion show, and a supercar auction.
Info: luxurysupercar.com
September 18–October 14
NEW YORK CITY BALLET
New York. The season will open with 30 productions by George Balanchine, including Jewels and A Midsummer Night’s Dream. A Fall Fashion Gala will feature world premiere ballets on September 27.
Info: nycballet.com
October 4–7
FRIEZE LONDON
London. View and buy from the world’s most exciting emerging and iconic artists.
Info: frieze.com
October 31–November 1
FORT LAUDERDALE INTERNATIONAL YACHT SHOW
Fort Lauderdale, Florida. More than a thousand high-performance boats, sailing yachts, motor yachts, and superyachts will be on display at the 59th annual show in the “Yachting Capital of the World.”
Info: flibs.com
November 4
NEW YORK CITY MARATHON
New York. Cheer on more than 50,000 runners, many of whom are raising money for charity via the event.
Info: tcsnycmarathon.org
For a long-range events calendar, please visit bjtonline.com/calendar.
BUSINESS AVIATION’S BIGGEST EVENT
Orlando. The National Business Aviation Association’s annual Convention & Exhibition, held this year from October 16 to 18, brings together aircraft manufacturers, airplane owners, equipment suppliers, and others with connections to the industry. This year’s event—which is expected to attract more than 25,000 attendees—will feature over 1,100 exhibitors and 100 aircraft on static display.
Info: nbaa.org
—Lysbeth McAleer
A continually updated listing of business aviation charter providers, caterers, insurance brokers, manufacturers, and more.
**THE BJT YELLOW PAGES**
This directory contains the most up-to-date listings and links to all websites. Please send updates, corrections and suggestions to email@example.com
| CHOOSE COMPANY TYPE | |
|---------------------|----------------|
| AIR CHARTER PROVIDERS | |
| CHOOSE COUNTRY | |
| SORT BY | |
**AAAC**
(814) 463-6500
Subsidiary of Skowronsky Aircraft operates 16 8-74 turboprops in Northeast U.S.
Wayneburg, Pa., New York, Central Illinois
**Air Asia**
(913) 669-3711
Charter fleet ranges from turboprops to large-cabin jets. Also sells aircraft and provides maintenance, FBO, and refreshment services.
Hialeah, Oregon, United States
**Air Charter Service**
+90 911 19 30 963
Fleet includes Cessna C14 and Learjet 45XR and 60.
Munich, Bavaria, Germany
**Aerobusines Ejercitivos**
(805) 72-64-66
Operates more than 25 aircraft, from Leonardo-Finmeccanica (formerly AgustaWestland) helicopters to Hawker and Learjet midsize business jets.
Tehuacán, State of Mexico, Mexico
**Air Partner**
Company with offices worldwide offers access to operators.
Budapest, Hungary +36 1 999 14 60
Cologne, North Rhine-Westphalia, Germany +49 221 80 80 80
England, United Kingdom +44 1295 84 44 44
Frankfurt am Main, Hesse, Germany +49 69 95 95 95 95
Houston, Texas, United States +1 713 84 44 44
Lombardy, Italy +39 0208 825 15 15
Madrid, Community of Madrid, Spain +34 9124 431 99
Milan, Lombardy, Italy +39 02 48 18 18 18
New York, New York, United States +1 212 78 78 78 78
Paris, Île-de-France, France +33 1 40 40 40 40
Singapore +65 68 68 68 68
Perth, Western Australia, Australia +61 8 92 92 92 92
Zurich, Zürich, Switzerland
**Air Transat**
+49 221 80 80 80
Fleet includes Bombardier Challenger 604 and Global 5000, Embraer Legacy 600, Beechcraft Premier 1A, and Cessna Citation CJ1+. Based in Switzerland, with second office in Malta. Also flies aircraft management services.
Kloster, Switzerland
**Nomad Aviation**
+41 31 960 2000
Fleet includes Bombardier Challenger 604 and Global 5000, Embraer Legacy 600, Beechcraft Premier 1A, and Cessna Citation CJ1+. Based in Switzerland, with second office in Malta. Also flies aircraft management services.
Kloster, Switzerland
**Northern Jet Management**
(800) 462-7709
Michigan-based provider’s fleet includes Learjet 40XR, 45XR, and 70; Citation Bravo; and Hawker 800A.
Michigan, United States
**Pentastar Aviation**
Michigan firm operates light, midsize, super-midsize, and heavy jets.
Michigan, United States
**Priester Aviation**
(888) 323-7887
Founded in 1945. Operates more than 30 aircraft, from turboprops to large-cabin models, across eastern half of the U.S. Provides N-registered aircraft for customers in Asia through partnership with TAG Aviation Asia.
United States
**Privaira**
(844) 778-2472
Yesterday’s view of today
Some predictions in a 1970s report on aviation’s future have proven to be clairvoyant. Many others missed the mark completely.
by Mark Phelps
I was dragging six boxes of musty aviation magazines to the curb for recycling when nostalgia got the better of me. I grabbed a 1977-vintage Aircraft Directory off the pile for a last look.
One article summarized a NASA Outlook for Aeronautics report (“Aero Outlook” for short), compiled by “a great many experts in government, industry, universities, and other segments of the aeronautical research community.” It addressed prospects for civil and military aviation through the end of the millennium and beyond. I couldn’t wait to have a look.
The experts couldn’t prognosticate about air transportation without guessing at how humanity overall would handle the next few decades. So, even as the first great energy crisis was gathering steam, NASA took this stab at it: “Population expansion will be accompanied by increased per capita income and greater leisure time, as Japan and the nations of the West experience continued economic improvement.” I’m still waiting for that “greater leisure time” to kick in.
However, the report was clairvoyant in several areas. For example, “Serious questions arise as to whether a single commercial airframe manufacturer is financially able to undertake, alone, the development of the next new commercial aircraft.” NASA accurately predicted that such programs would require consortiums, including international ones, and that “new commercial aircraft ventures will probably also require substantial government funding support to offset the risks…”
In Europe, the British/French Concorde program was the first major inter-governmental cooperative effort, and the Aero Outlook also cited the then-new Airbus consortium and its developmental A300 “subsonic long-haul transport.” In the U.S., consolidation took the form of major airline manufacturers slowly either selling out (McDonnell Douglas to Boeing in 1996) or refocusing on military programs, as Lockheed did when it abandoned its L-1011 in 1984, later merging with Martin Marietta to form Lockheed Martin. In 2018, it’s hard to remember a world with more than two major players in the airline airframe business.
The Aero Outlook also guessed correctly that efficiency and cleanliness would become the mantra of aircraft development. “The quest for greater fuel efficiency and reduced operating costs of civil airliners will depend for the most part on technical advances in engines, lightweight composite materials, and improved aerodynamics.”
NASA’s crystal ball clouded, however, when it came to projecting how airport infrastructure would develop. The Aero Outlook surmised that, by 1995, “With the advent of very quiet VTOL aircraft that can operate from small landing sites, perhaps 10 acres in area or four city blocks, the potential exists for using small city airports as the nuclei for redevelopment and for creating centers of commerce that would revitalize our cities.”
In 2018, it’s tough to imagine a politician trying to sell the idea of a 10-acre vertiport in the middle of a city as a nucleus for urban redevelopment.
The Aero Outlook also fogged up regarding supersonic flight. “The year 1995 is the target date for a second-generation, commercial supersonic transport.” It would be much larger than Concorde, NASA wrote, fly up to 8,000 statute miles, and “incorporate significant advances in technology that would permit clean and efficient flight at cruise speeds up to 2,000 mph and quiet operation in terminal areas.”
Aerion is targeting some of those capabilities in its AS2 supersonic business jet, but with the demise of the Concorde, supersonic airliners not only haven’t progressed, they’ve literally become museum pieces. If there is to be a rebirth of supersonic airliners, perhaps business aviation is leading the way.
Conspicuous by its absence in NASA’s report is any mention of avionics development. If you had shown one of today’s instrument panels to any 1977 pilot (including me), they would have thought it was fanciful science fiction.
Mark Phelps (firstname.lastname@example.org) is the executive editor of AIN Publications, publisher of BJT.
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Rise Up and Step Out
By Steve Huston
Where’s the church on important cultural issues and social problems that affect us as a nation and as Christians? Where is the outrage against the mockery of holiness? Where is the weeping before God for a nation—our nation—that has embraced a culture of death and has replaced its Biblical building blocks of family and the Bible with the unsteady and crumbling blocks of rebellion that have printed upon them the letters “L,” “G,” “B,” “T,” “Q,” with more letter blocks of rebellion being added. This brings a national crisis as our culture rebuilds on sinking sand; yet mostly there is silence from the Church. Why do so few take a bold stand for righteousness, a willingness to stand against evil regardless the personal cost? John Calvin once said, “A dog barks when his master is attacked. I would be a coward if I saw that God’s truth is attacked and yet would remain silent.” By and large, the church’s bark has become a mere “yip” at best; instead of standing steadfast, we run back to our cushion in the corner smugly satisfied with our Chihuahua-like bravery; or our righteous indignation is replaced with either personal anger or a fear of being called a racist, some form of “—phobe,” or a fear of being seen as unloving and unkind.
Such a stand only comes from the grace and mercy of God burdening the heart. Pray; for the church needs to love God and her neighbor enough to bark loud and long with righteous indignation. The church needs to stand firm against deception, giving words of warning and compassionate communication that has the fiery boldness of righteous indignation at its core, birthed by the grace of God and fueled by the power of the Holy Spirit.
American Decency has righteously (to the best of our understanding) and boldly spoken into many issues over the last three decades. Some of the more recent ones have been Chick-fil-A, Netflix, the Super Bowl/human trafficking, interfaith dialogue attacking the supremacy of Christ, the search for justice, drivers licenses and entitlements for illegals, FGM, and the mockery of all that is holy. We warn of the Leftist policies that attack life, the church, the Bible, and the heart of freedom through socialism. The list goes on but the response has waned!
Again, where are God’s people when it comes to standing for and teaching the difference between the holy and the profane? But how can we be holy—separated unto God—when the profaneness of this world largely describes our existence? We’ve lost our fire; we need repentance for a rekindling of God’s holy righteousness in our daily lives. We need to cry out for God to burden us until we will stand in the gap with a bold warning against sin!
In writing to the Corinthians Paul exhorts: “Awake to righteousness, and sin not; for some have not the knowledge of God: I speak this to your shame.” So, I ask again, “Where are you, O church?”
We must be about the business of studying the Scripture and of training our children, building into them and others a Biblical conviction of what’s pleasing to God and what is not pleasing to Him and taking a courageous stand.
Righteous indignation must first be aimed at our own hearts, before we “Cry aloud, spare not, lift thy voice like a trumpet, and shew my people their transgression…” (Is. 58:1) Make no mistake, the church (you and I—the body of Christ) are in desperate need of righteous indignation. The world is in need of us having righteous indignation.
William Gurnall was blunt: “A minister, without boldness, is like a smooth file, a knife without an edge, a sentinel that is afraid to let off his gun. If men will be bold in sin, ministers must be bold to reprove.” Each of us is called to be ministers in this sense.
Above all … LOVE! Without love we will be no more than a noisy gong or a clanging cymbal. History writer Wilfred M. McClay rightly states, “Love is the foundation of the wisest criticism, and criticism is the essential partner of an honest and enduring love.”
As a wood fire warms the whole room, so the flame of holy zeal will warm the Christian’s whole life. May the zealous fire of righteous indignation burn the carnality out of my own heart, give the warmth of compassionate warning to those about, and light the way to He who is Faithful and True. Pray to this end.
Personal Note from the President
I believe that because the church has been prosperous and at ease for many years, we are largely untested compared to millions upon millions of Christians who stand up for the Word of God every day around the world, who are being persecuted right now.
How can we stand for holiness, hating what is evil and loving what is good?
Let’s look at the Super Bowl half time event on Sunday, February 2. Dr. James Dobson wrote an article on February 4 sharing our lamentation – marking the difference between the holy and the profane and exhorting America and true believers.
"On Sunday, Fox Sports and the NFL offered up a sexual smorgasbord, and the halftime show was the main course.
"In the last two days, I’ve seen outrage from a few select commentators and Christians. But overwhelmingly, I’ve witnessed the Super Bowl shoulder shrug. Responses range from the timid justification, ‘it wasn’t that bad,’ to the defiant proclamation, ‘it’s a celebration of Latino culture.’
"Let me be clear: pole dancing, sex simulation, and crotch shots are not a celebration of Latino culture; they are a celebration of our hypersexualized culture...
"Parents, are you content to allow your children to be swept into this abyss? How many of you sat open-eyed and close-mouthed as your children partook of this sex-saturated show? How many of you are allowing your children to adopt an unhealthy and dishonoring view of women and sexuality?
"...We should demand better from the NFL, networks, sponsors and entertainers. But may God help us if we don’t first demand more from ourselves as parents and as citizens. We have the truth and we must stand for it."
Many churches even yet host Super Bowl Sunday events either at their church or in their homes – gathering around their big screens en masse compromised and available to be conformed to this world.
Can we return where we ought to be?
Would it be that we would urge our local church not to participate! Would it be that in our hearts and minds we would truly be troubled about what was about to be aired and we would prayerfully express our concern with our children and grandchildren, explaining to them why we don’t watch the Super Bowl.
Let’s look at another very serious matter, formerly one of the few truly Christian corporations in America bringing hope and strength to the many who applauded their Christian stance before a watching world: Chick–fil-A.
Chick-fil-A is open six days and closes its doors on the Lord’s Day. As they prospered, there were groups that met their corporate advances with hatred for their Biblical convictions that marriage was between a man and a woman. Yet, the more hostility they met, the more their customer base expanded and their profits rose to the point where they became the third most prosperous fast food restaurant.
The great tragedy is that Chick-fil-A put profit above principle. They aligned with pro-homosexual groups and with the hate-filled Southern Poverty Law Center.
Quoting Curtis Bowers, producer of the award winning documentary movie “Agenda: Grinding America Down:”
"An event took place a couple of months ago that almost went unnoticed by many and I think it was a turning point for America. I think 30 years from now it will be seen as the day we seceded to the left as definers of what is moral from here on out...
"It is a key event and I want you to understand why it is so key and what we must do to try to turn back what has happened so that we can gain the moral authority again as we have been in this culture war for the last 50 years - to continue to stand on the Biblical principles, the time-tested principles, the principles that cause a people to be blessed because they are following and adhering to those same principles that every civilization in the history of the world that has chosen to ignore and turn from them has been cursed and has eventually collapsed from within.
"A couple of months ago Chick-fil-A decided they were no longer going to give money to the Salvation Army, the Fellowship of Christian Athletes and other organizations that upheld the Biblical position of marriage...
Notice: Curtis Bowers marks the difference between the holy and the profane. He’s saying it’s a big deal if Chick-fil-A moves on with no repercussions. Should Christians care? Should the church be informed and be encouraged to pray and take action? How can we be salt and light here? Should we speak out?
Some of you received a letter from Dan Cathy where he glossed over the fact that Chick-fil-A had pulled their support from nonprofit organizations that stood for biblical marriage only and yet made it appear as though all was well since they supported some Christian ministries, after all. Of course, Dan Cathy said nothing about the fact that Chick-fil-A now was financially supporting the likes of the Southern Poverty Law Center with its long list of Christian organizations that they energetically declare to be hate groups.
We are heading into increasingly harsh, treacherous days, but let’s not kid ourselves: we are already well immersed in treacherous, may I say, Satanic days. We often see firsthand what the world teaches through its education systems, its so-called art, its entertainment, its sports, advertisement, movies – even weakened, sickly churches’ church leadership. We see its impact up close and sometimes we speak into it with seemingly no affect. Still we MUST speak and we must live godly lives in Christ Jesus for the sake of the Kingdom and to bring glory and honor to His name. And this we must never underestimate. God is faithful to His children.
The Kansas City Chiefs won Super Bowl LIV; but the 49ers aren’t the only ones who lost there. When one factors in the human trafficking that takes place, the stirring up of lust that perpetuates these heinous crimes, and the great number of Americans, businesses, and churches that support this event—either by the yard or the full hundred—there are a great many losers. Will you open your mind long enough to consider these losses with me?
The trafficked children, teens, and young adults who are demeaned and desecrated image bearers of God:
According to a 2018 USA Today article, adults purchase children for sex at least 2.5 million times a year in the United States. It also reported that “In 2016, a Department of Justice-commissioned study, Youth Involvement in the Sex Trade, found that boys make up about 36% of children caught up in the U.S. sex industry (about 60% are female and less than 5% are transgender males and females).”
A MLive January 2019 updated article states, “‘Children exploited through prostitution report they typically are given a quota by their trafficker/pimp of 10 to 15 buyers per night,’ according to the 2009 National Report on Domestic Minor Sex Trafficking: America’s Prostituted Children. ‘Utilizing a conservative estimate, a domestic minor sex trafficking victim would be raped by 6,000 buyers during the course of her victimization through prostitution.’” Another source reports from the same report, “some service providers report girls having been sold to as many as 45 buyers in a night at peak demand times, such as a sporting event or convention.”
I could fill your screen with mind-blowing statistics regarding children 8 years old (and even younger) who are kidnapped, coerced, sold by relatives, and deceived into trafficking circles; or that this is a $9.5 billion industry in the US alone; and—according to a DC Dirty Laundry article—"In Georgia alone, it is estimated that 7,200 men (half of them in their 30s) seek to purchase sex with adolescent girls each month, averaging roughly 300 a day.” Reading article upon article and researching various reports left my head swimming, my heart aching, and my spirit praying for God to step in and intervene. Should He choose to use this article in some small way, all glory to Him.
These children (and older trafficked individuals) are first and foremost image bearers of the Most High God. They are also somebody’s sons, daughters, and grandchildren; they are loved (at least by their Creator) and cared about. These are the biggest losers at large sporting events, such as the Super Bowl, as they lose their innocence, their sense of self-worth, and have lost their ability to say no without dire consequence.
We should hate sin all the more as we recognize that it is the sinful, fallen state of man that moves men to such unthinkable and heinous actions. But these are not the only losers … Who else?
The viewers (adults and younger) whose minds are desensitized and some whose lusts scream to be fed:
First, I see the half-time show as little more than an advertisement for the traffickers. As the smell of popcorn excites the senses to eat popcorn, so the frenzied sexualized “dancing,” objectification of women and sex, the driving music, and this year’s inclusion of children in cages, all serve to stir up a powerful lust that screams to be fed. These flesh-peddling traffickers are more than ready to feed those with uncontrolled base animal instincts with no more thought than the hotdog vender plying his wares.
Some will say that I overstate my case, that this isn’t so. Really? While it is true that not every individual will be driven to rent and rape a child there, it does affect the viewers. The Federalist reports, “Pornhub searches for ‘Shakira’ and ‘Jennifer Lopez’ skyrocketed, increasing 1,401 percent and 381 percent, respectively. According to Pornhub Insights, ‘The per-minute data also shows us that as soon as halftime began, a large number of people immediately headed to Pornhub before returning to the show. Then just before the beginning of the third quarter, we see more people return to Pornhub for a quick break.’ ‘Super Bowl’ and ‘Superbowl’ searches shot up 5,000 percent on game day, with huge spikes in searches for cheerleader-related content.”
Secondly, viewers become further desensitized as they put things before their eyes that at one time was relegated to back alley sleazy “gin joints,” places where respectable men would loathe to be found and most women and children wouldn’t be allowed. I don’t suggest that every person who watches the Super Bowl (and its halftime show) will become a sex-crazed degenerate, but what we put before our eyes will affect us. Often, we may not even be aware of their effects; that should bother us greatly.
As such, the viewers of the Super Bowl are also amongst the list of losers. But wait, there are more…
The “church” that refuses to come out and be separate, neglects to teach the difference between the holy and the profane, and identifies (intentionally or not) more with the sins of this world than the Savior who is its sacred Head:
At what point does the church say, “ENOUGH!” Considering the broad range of sin that is clung to and seen as “okay” or “no big deal” by what is identified as “the church” today, the answer will inevitably vary. We must at least agree that not being a part of—or supporting the rape of—children and others would be common ground, that we could all agree that at least this is ENOUGH!
The church loses when it gives up its distinctive of holiness (separateness) and
[Continued on Page 4]
stops sharing the saving, sanctifying, and sin-overcoming grace of God with others. When we cling to the profane (worldliness), holding loosely to the exclusivity of Christ and the sanctifying power of the Holy Spirit, we not only lose our witness to a watching world, but we also stand to lose our children to the enticements of the world.
Esau should have questioned the high cost of his birthright and we must question the inconceivable worth of our witness and the invaluable worth of our soul. Let’s also ask how our varied actions may help to continue the sin of human trafficking/child rape or help to diminish it. (There are many things non-Super Bowl related; but there is the Super Bowl as well—be sure to check out the link at the end of this article).
As for our children and our witness, I think Dr. James Dobson summed it up well: “Let me be clear: pole dancing, sex simulation, and crotch shots are not a celebration of Latino culture; they are a celebration of our hypersexualized culture. I regret the need to be so graphic, but have we collectively lost our minds? Objectifying women—whether they willingly participate or not—is wrong. Failing to oppose such an affront to women is equally blameworthy.”
“Parents, are you content to allow your children to be swept into this abyss? How many of you sat open-eyed and close-mouthed as your children partook of this sex-saturated show? How many of you are allowing your children to adopt an unhealthy and dishonoring view of women and sexuality? The Bible proclaims that we are fearfully and wonderfully made in God’s image, created for relationship with our Creator. That message isn’t coming from our society… is it coming from you?”
Yes, the church joins the ranks of Super Bowl losers when it isn’t careful to love not the world or the things of this world. It loses when it looks with glee upon that which furthers the kingdom of darkness rather than fully supporting the Kingdom of Light. As if all the previous weren’t enough, there is still one more category of loser that we will look at.
You and I lose: According to ABC News (in 2013), The National Center for Missing and Exploited Children reported that nearly 800,000 children go missing every year (roughly 2,185 children a day).
This demand for young flesh has neither been satiated nor diminished; and those who get dragged into this nightmare of endless rape, forced drugging, humiliation, disease, endless pregnancies, abortions, torture, and fear of being killed or those they love being killed, have an average life expectancy of only seven years.
As co-created members of the human race and citizens of this great nation, what affects the least of these has an effect on each of us. The ways are too numerous to count, from desensitization of sin and horror to a greater numbness toward other sins, and opening the door to further sin within our own personal lives. The things we never thought we’d see in America are now commonplace for our children and grandchildren. Aren’t we shocked by at least some of the things that are accepted today? Next year the shock will be gone, replaced by a sad disapproving shake of the head, while something more heinous will take its place to shock us.
The only way to minimize that effect is to feel a burden in prayer over these things and to consciously take steps to either stop them or do away with some of the conveniences we use that lend support to these atrocities. You may not be able to stop this satanic war (given the name human trafficking) against these precious image bearers of God but you can be a conscientious objector by not being involved in those things that feed the supply line for Satan’s minions.
You and I can take a personal stand and say, “NO MORE!” No more of my finances and no more of my time will go to help the enemy destroy the innocent. Sports are not intrinsically evil and there are several players that are good men and who will give God the glory; yet, the NFL has also given us plenty of reasons to think twice before supporting their organization. Anti-family half-time shows and the peddling of flesh should be enough for most compassionate people to say “NO” to the Super Bowl. But beyond that I urge you to read the Dirty Dozen list found at endsexualexploitation.org/dirtydozen-2020/. They list the top 13 offenders of human trafficking and tell you how you can make a difference. How much convenience or cost are you willing to give up to say, “For me personally, ENOUGH! I won’t support things which support the rape of children and the devaluation of God’s creation.”
Don’t just be shocked; don’t just feel badly. Real compassion requires action: do something, take a stand, and encourage others to do likewise.
Once upon a time, when fiscal conservatism was the hill upon which the Republican party had chosen to pretend to be willing to die, Elmo, Bert, and Ernie were in grave danger. When the TEA party, which at its inception, it should not be forgotten, stood for “Taxed Enough Already,” was the vehicle for opposition to President Obama, prominent Republicans were actually actively looking for programs to cut to throw sand in the gears of the national debt clock (which is still at USDebtClock.org and more terrifying every second). Big Bird, for a brief moment, had his neck on the chopping block when conservatives began to question, “why do our taxes fund a notoriously liberal propaganda slinging ‘news’ and ‘education’ channel like the Corporation for Public Broadcasting (PBS) again?”
Of course, President Obama immediately jumped into action, grabbing Big Bird’s knobby orange legs and yanking him to safety before the axe could fall, stating, “These aren’t really budget items; these are political statements,” as if budget items and political statements were mutually exclusive.
Obviously, funding (meaning it’s a budget item) a lefty news organization (meaning making political statements) is both, which makes PBS’ receipt of $465 million dollars of taxpayer’s money inappropriate on two levels and we’ll get to a third level in a minute.
First let’s look back at something President Thomas Jefferson famously said to his Secretary of the Treasury, Albert Gallatin, “Congress had not unlimited powers to provide for the general welfare, but were restrained to those specifically enumerated; and that, as it was never meant they should provide for that welfare but by the exercise of the enumerated powers, so it could not have been meant they should raise money for purposes which the enumeration did not place under their action; consequently, that the specification of powers is a limitation of the purposes for which they may raise money.”
It should be noted that Sesame Street is currently produced by HBO Kids and licensed to PBS, so while PBS isn’t creating the show any more, they are buying the rights to show it. Sesame Street is still a major part of PBS’ brand and they still have a major financial interest in it.
In brief: PBS ain’t in the Constitution. PBS ain’t getting no money, at least not from President Jefferson.
Then there’s the issue of PBS’ obvious leftward bias. One extreme example can be found in one of last year’s episodes of Arthur – yes, the Aardvark cartoon – which went out of its way, after 22 seasons on the air, to suddenly make the titular character’s teacher a homosexual.
Then there was the former writer for Sesame Street, who revealed in 2018, that, “I always felt that without a huge agenda, when I was writing Bert and Ernie, they were [gay.]”
In January 2017, the outgoing Vice President of PBS, Toby Chaudhuri, presented at a lawyers’ conference held to organize, “legal resistance to the incoming Trump Administration and Republican controlled Congress.”
Doubtless, if you’ve consumed much of what PBS has aired or published online, you could share your own examples.
Here’s the most recent one and one of the more egregious: In an upcoming episode, Sesame Street will foist Drag Queen Billie Porter on the unsuspecting children in their audience. Along with their letters and numbers, little Sesame Street fans will also be exposed to the idea inherent to Drag culture - that it’s normal behavior for a man to dress as a woman and dance for an audience in a sexually suggestive way.
That’s the idea that little Desmond Napoles, the twelve year old “Drag Kid” fell for and how many will be exposed to this distorted thinking through the trusted vehicle of Sesame Street?
It should be noted that Sesame Street is currently produced by HBO Kids and licensed to PBS, so while PBS isn’t creating the show any more, they are buying the rights to show it. Sesame Street is still a major part of PBS’ brand and they still have a major financial interest in it.
So, I teased a third issue with the taxpayer funding of PBS, and here it is. It’s a violation of the current, constitutionally misinterpreted, standards by which our government denies funding to proselytizing religious institutions, the mythical “separation of church and state.”
The consistent preference of atheistic morals over Christian, traditional morality is as much a violation of that principle as, say, funding an adoption agency which only wants to place kids in a home with a mother and father.
That Arthur’s teacher is able to marry a man is a religious idea; that normalizing Bert and Ernie as gay lovers is a good thing is a religious idea; that gender norms are a social construct and it’s ok for a boy to dance around pretending to be a glamorous women is a religious idea. And that religion – Humanism – is not merely being established, it has been firmly ensconced as the ruling idea of our government and culture at large – which is an actual violation of the First Amendment.
Humanism is defined as “an outlook or system of thought attaching prime importance to human rather than divine or supernatural matters…” Does that not perfectly describe the principle which allows a government to fund a network like PBS, but not a charity faithful to Biblical ideals?
People are made to worship and if they’re not worshipping their Creator, they’ll find something else. Increasingly, our idol is ourselves. Our culture is built on autonomy – we are free to be who we want to be, no one can stand in our way. We decide who we are.
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Ever hear of a “throuple?” You might think it’s a nonsensical word from a Dr. Seuss book. Rather, it’s a new slang word in our English lexicon. The word may be new, but not what it represents – rebellion. Rebellion against God and His design. “Throuple” is our culture’s cutesy term for polygamy, or polyamory. Give sin an innocuous sounding name and it becomes more acceptable. Fornication became “sleeping together,” sodomy became “same-sex relationships,” adultery becomes “an affair,” and polygamy becomes a “throuple.”
Polygamy has been in the news lately. Just recently a Utah Senate committee unanimously approved a bill decriminalizing polygamy. In 1890 the federal government, protecting the God-ordained institution of marriage, mandated that the territory of Utah outlaw polygamy as a prerequisite for joining the United States. Now the Utah state legislature is considering reversing that very law.
Then, right in time for Valentine’s Day, HGTV on its show “House Hunters” gave legitimacy to deviancy by featuring a “throuple” – in this case a man and two women. As People magazine reported, “Brian and Lori, who are legally married, fell in love with Geli after meeting her at a bar. The trio entered into a relationship with Brian and Lori exchanging vows with Geli in a commitment ceremony attended by their (Brian and Lori’s) children.”
It shouldn’t come as a surprise. Years ago when LGBT forces sought to legalize gay “marriage,” we at American Decency and other pro-family leaders warned that it was just a matter of time before there’d be a push to normalize polygamy.
When a people reject objective truth, subjective morality is inevitable. If man rebels against His Creator and deems himself the arbiter of what is right and what is true, if “marriage” can be redefined to mean whatever we want it to mean, than marriage becomes meaningless. As Dr. Michael Brown wrote: Put simply, if marriage is not the unique union of one man and one woman, then what is so sacred about the number two? As I asked in a 2015 article, “If Love Is Love, Why Not Three Men ‘Marrying’?”
For that matter, if love is love, why not four or more? If marriage can be so fundamentally redefined as to include no member of the opposite sex (think of it!), then why not?
It’s like saying a duet can have one singer (or three). Or twins can refer to three babies (or one). That’s just like saying marriage can refer to two men or two women. It fundamentally redefines the very meaning of the term. And once that is done, then there’s no reason you can’t have throuples (or more).
In 2004, polyamory proponent Jasmine Walston stated, “We’re where the gay rights movement was 30 years ago.” “Love is love” was the argument used by gay ‘marriage’ advocates and is the same rationale now being used by polyamory (polygamy) advocates.
IF “love” or “personal happiness” is the basis for what constitutes marriage, than it would make sense that marriage could encompass any gender or any number of people – whatever makes us happy. But that’s not what marriage is. Marriage isn’t for our “personal fulfillment,” but for the fulfillment of God’s design as He ordained it at creation and affirmed by Christ in Matthew 19.
May we be tireless in our efforts to tell the next generation of the One who is the only arbiter of what is right and true, fulfilling the commands of Psalm 78. By God’s grace, may He use our efforts to raise up a generation that will “set their hope in God and not forget the works of God, but keep his commandments; and that they should not be like their fathers, a stubborn and rebellious generation, a generation whose heart was not steadfast, whose spirit was not faithful to God.” (Psalm 78:7-8)
Strolling Down Sesame Street … In Drag?
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The Lord laughs in derision (Psalm 2:4,5).
PBS is a symptom. A Drag Queen on Sesame Street is only the beginning. In fact, in the time it’s taken me to write this article thus far, I’ve heard rumblings of the next Spiderman movie making the title superhero bisexual. This is the way our culture is headed, and barring an actual miraculous work of God, it will be the undoing of our society.
When each individual is worshipping themselves, attempting to create their own reality, there will be conflict. Government will continue to attempt to assuage the conflict with programs and propaganda until the money is gone and then it’s every man (or whatever you identify as) for themselves.
America’s only hope is not the next election. It wasn’t the last election either and it won’t come in 2024. The only hope is and always has been repentance and reliance on the righteous life and sacrificial death of Jesus Christ. Our only way out, is the way of Ninevah.
Jonah 3:8,9 shares the decree of the king of Ninevah, “Let everyone call urgently on God. Let them give up their evil ways and their violence. Who knows? God may yet relent and with compassion turn from his fierce anger so that we will not perish.”
Let us take the king’s message to heart.
Have you ever been attacked by a chicken?
By Steve Huston
Americans are a forgetful people. 9-11 came, we said we would never forget; but look at our Congress and our nation. America was violently attacked and we, collectively, have forgotten. Last year, America was attacked again, this time by trusted Chick-fil-A. Make no mistake, this IS an attack on our civilization.
There are many Americans who remain ignorant of this attack, some who have already forgotten or thought it not such a big deal, others who thought the Chick-fil-A nothing burger letter made everything all right, and then there are those who recognize the dangers of a major restaurant chain that purposely duped its customers while aligning with the Leftist cultural shift that is bent on attacking the church, stealing our children, undermining conservatives, and destroying our nation. Yes, America, it is a big deal and we must neither forget nor ignore what has happened. As Christians, we must forgive and pray for all those involved in CFA’s decisions, Christ demands it; but until there is real change, the letter Dan Cathy sent appears more like an attempt at manipulation than a real apology.
In moving support from organizations that uphold Biblical marriage, like the Salvation Army, to pro-LGBT organizations, like Covenant House, Chick-fil-A has 1) told the Left that they get to define our culture and our morals 2) They’ve told America that you can’t be a Christian and be in business (after all, if the number three fast food restaurant, CFA, can’t make it without succumbing to the pressures of the Left, how can anyone?) and 3) They’ve told Salvation Army that to get donations you must abandon your Biblical principles. 4) They’ve told their customer base that our years of standing by them, when the Left regularly attacked them, means nothing.
Sadly, CFA’s attack against the church and our civilization is largely going unanswered by the Right. Chick-fil-A drew a line of demarcation and we must decide where we will stand. Instead of allowing this attack to go unanswered, let this demarcation line—that they drew—affect their bottom line.
Let me address just a few things from the “Nothing-Burger letter” sent by Dan Cathy to a large Christian-voice organization:
He states that his company is not waning in its corporate purpose “to glorify God…” But as the adage goes, “Actions speak louder than words;” and sometimes, more can be learned by what is NOT said than what IS said. Nowhere in his letter did Dan Cathy reaffirm their position that marriage is only between one man and one woman. Has CFA abandoned their belief in the Biblical stand on marriage? Neither does he explain why they are supporting Covenant House, which affirms LGBT related issues.
How does this glorify God? And what about their support for the YMCA (supporting abortion and LGBT+ agenda) and the Southern Poverty Law Center (SPLC) which targets Christian and conservative groups, labeling them hate groups?
Actually, in the letter he writes, “The intent of our corporate giving has always been to have impact – not to make a statement or support a political or social agenda.” Yet, that is exactly what CFA has chosen to do. It isn’t possible in today’s political/social climate to not take sides—the Left has seen to that. Mr. Cathy’s next sentence was, “In the future, our company will seek to make a greater impact by addressing the challenges of hunger, homelessness and education.” Again, these things were already being addressed through Christian organizations. If education were a real concern, why not fund something/someone that educates the LGBT+ community on the physical, emotional, mental, and spiritual dangers that their lifestyle brings to them?
Ought Christians to slink off into the woods to quietly abandon our purpose? No, we are to stand firm and shine truth for the sake of a lost and dying world.
Chick-fil-A is privately owned; they answer to no one but their customers. They have total authority over their choices; yet they are abandoning Christian organizations that are doing good work in hopes that the LGBT+ community will stop making trouble for them and they can open a few more restaurants. Apparently, being the number three fast-food chain (financially) isn’t good enough for them. It would appear that for Chick-fil-A, it’s all about their lust for money.
What should we do? Curtis Bowers, producer of “Agenda: Grinding America Down,” has a new podcast that can be heard here: https://anchor.fm/Curtis-Bowers. In his first program he addresses this topic and suggests that we 1) Stop going to CFA restaurants. 2) Stop by the local CFA and kindly explain why you and your family won’t be eating their anymore. 3) Encourage others to not frequent there and tell them why.
Are you willing to give up your chicken sandwich for principle? According to Curtis Bowers, if CFA’s sales were to drop 10% to 15% they might turn around and do right again.
What are you willing to give up for the sake of American civilization? I understand that it will take more than a chicken sandwich; but until, by the grace of God, we start taking a stand somewhere, we may not find our country anywhere anymore. An attack on the Bible, the family, and the culture mustn’t be forgotten. Let Chick-fil-A know that you remember this attack by standing in a different fast-food chain as you stand for Truth.
We urge you to visit your local Chick-fil-A and speak to the manager or hand them the enclosed postcard. Thank them for their good food and great service. Then let them know that regrettably you will no longer be spending your money there as a matter of principle. Encourage others to do so by passing along to them a postcard that they can hand to the manager. Call us at 231-924-4050 to order extra copies of the postcard. These are available from us in a package of 25 for $5.00.
I remember when the telephone went from being on the wall to being cordless and what a big deal that was, going from having a long cord that limited you, to taking the cordless phone anywhere in the house. When the phone was on the wall you didn’t have much privacy like you did when you could take it anywhere. **But was that a bad thing not to have privacy?**
Now we have cell phones and everything seems to be “smart.” You have smart phones, televisions, appliances, thermostats and even cars. With all this technology and easy access to things, are we gaining or losing? I think both.
On the gaining side, it is surprising how far technology has come. It is far above what it was like when I grew up. Back in the ‘80s and ‘90s, I remember my school raising money for a computer lab. That was a big thing for our small private school. Computers were basically in businesses and colleges at that time. Now it seems that everyone has a computer or tablet at their fingertips.
Technology can be very useful. It is easy to type a question into Google and get an answer right away. **You can get caught up on the news, chat with friends or family, and even live stream with people in another country.** It can be a very useful tool.
But like some things, **there can be a downside of technology.** Now most people have cell phones. Yes, it is nice to be able to get a hold of anyone wherever they are. But most cell phones have capabilities and abilities that some of us don’t even know that they have.
I talked with an older lady who had gotten an updated cell phone. She was telling me that she had asked the guy at the store to install a Bible app on her new phone. That Sunday, when she was sitting in church, she decided to try out the new app. When she opened the app up, it came right up to the passage that the Pastor had said. She was kind of freaked out by that.
Then a few days later, she was talking to a friend about a topic and when she got home, that topic came up on her phone asking if she wanted more information on it. Now she was again freaked out. She asked me how this could be. Well after talking to her, she told me that she has “Siri” (Siri is a virtual assistant that is part of Apple). With Siri, you can just speak to your phone and it will do it or answer you. She said that she liked this feature because she could say “Siri call …” and it will call that person.
Apple is not the only one that has this. Amazon has “Alexa”, Microsoft has “Cortana” and Google has “Google Assistant”. They can all look and sound like great features and can be useful, **but to what cost?** Do you want someone listening to all your conversations and, with some, seeing you at all times? **Who is doing the listening and what are they doing with the information?** They say that you have to say a certain word for the microphone to turn on, but how do we really know that is the case. **We have heard that story before and then in a year or two later we find out that was not the case.**
**Why are we so willing to trade in our privacy for easiness?** We need to start thinking some of this through and ask ourselves – “Do I really need this feature?” and “What are the possible dangers?”
Most of the chips and devises are made in China and we have seen in the past that we really can’t trust their government and how they can possibly use and manipulate the information. **If they are in the background listening and watching what else can they do to control all the devises and chips?**
I talked with our technology guy after having a discussion with this lady. I asked him if I had those features on my phone. He was able to go through and turn off some of the microphone and other op-
The world’s technology is changing at a rapid pace and sometime it is hard to keep up with it. **We can know for sure that our ultimate security comes from God.** He is our Creator and He is always there for us. We should be concerned with who is listening to us and watching us through technology, **but we should be more concerned with what God sees and hears us do and say even when we don’t think anyone is around.**
Are we watching shows/movies that are appropriate? Are the magazines or images that we look at edifying to God? Or are they filled with sexualized material? Why is it that we say it is ok to watch or look at in the name of “entertainment” but not in real life? As a believer, we should always remember that God is always with us and He sees what we see and listens to what we hear. **Would He be honored or be ashamed?**
**Comments from our Supporters**
*Thank you all for the hard work you do every day; for fighting the battles that we are fighting every day; for exposing evil and for defending us against it. Our prayers are always with you and I wish we could help out more than we do financially. We stand with you, for our country’s sake and for our children and grandchildren and great grandchildren. May you all feel God’s peace and presence ... R.S. M*
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Face anti-spoofing systems optimal threshold selection criteria
Ostap Stets\textsuperscript{1,*}, Ihor Konovalenko\textsuperscript{1,†}, Tomasz Gancarczyk\textsuperscript{2,†} and Artur Mykytyshyn\textsuperscript{1,†}
\textsuperscript{1} Ternopil Ivan Puluj National Technical University, Ruska str. 56, Ternopil, 46001, Ukraine
\textsuperscript{2} University of Bielsko-Biala, Willowa St. 2, Bielsko-Biala, 43-300, Poland
Abstract
This article is devoted to the problem of criteria definition for optimal threshold selection in face anti-spoofing systems based on common conventional metrics in the area. Analysis of previous studies has shown that live applications of presentation attack detection methods most often rely on common methods of threshold selection while tending to ignore domain and problem-specific requirements. Therefore, the main purpose of this research is to determine the criteria for optimal threshold selection in production-applied biometric authentication systems.
To address these limitations, the paper proposes an approach for automated threshold selection that incorporates an “Environmental Adjustment” factor. This factor takes into account the specific context of the PAD system’s deployment, including security needs and user experience considerations.
Keywords
Face anti-spoofing, presentation attack, person identification
1. Introduction
Biometric identification systems have become ubiquitous in today's technological landscape, introducing both convenience and problems to solve. With the rise of automated or semi-automated biometric authentication processes, such as face recognition, the possibility of attacks on this particular aspect increases too. One of the significant attack types is the presentation attack (PA), which has become more prevalent due to the ease of execution. Face anti-spoofing, a critical component of biometric security systems, plays a pivotal role in safeguarding against such fraudulent activities. Its applications span across various domains where accurate facial recognition is paramount for authentication and access control. Such solutions are widely used across different
domains. Among those some security-critical areas relying on biometric authentication are facing heightened risks, due to a wide set of possible attacks, e.g. videos, printed pictures, masks, and especially from sophisticated attacks like morphing, where fake identities can be generated by blending images of genuine and fraudulent subjects. These attacks pose significant threats requiring robust countermeasures to ensure secure and reliable identification processes.
In less security-critical environments, such as social media platforms or online shopping websites, the problem of presentation attack detection (PAD) still holds importance but is approached differently. Here, the focus is more on general user experience and convenience rather than stringent security measures. This imposes a problem of balancing security measures with user friction at least until the moment when used PAD solution performs perfectly on relevant datasets.
2. Problem formulation
While no face anti-spoofing system is error-prone, researchers and developers are forced to select the optimal error threshold. Setting thresholds too high for biometric authentication may result in increased user frustration and abandonment of the authentication process where it is not critical to him. On the other hand, setting thresholds too low may compromise security by allowing unauthorized access which is unacceptable in certain cases.
Another consideration is the trade-off between security and computational resources. Higher thresholds often require more computational power for accurate authentication, potentially increasing processing times and costs. Balancing the need for security with resource efficiency is crucial in these environments to provide a seamless user experience without compromising on security standards.
Whenever a person passes a face recognition-enabled biometrical identification system, their biometrical data is passed to the PAD subsystem. This data is most commonly analyzed in a pre-trained convolutional neural network (CNN) to distinguish real identity from attackers. The result of the PAD subsystem is a confidence score on whether this data was genuine or fraudulent. The final decision is made by comparing this score with a classification threshold. This value depends on special metrics described by ISO/IEC 30107-3:2023 on training datasets [1]. Two central parameters to ensure that test results are accurate are:
- Attack presentation classification error rate (APCER). It measures the error rate in classifying attack presentations as genuine.
- Bona fide presentation classification error rate (BPCER). It measures the error rate in classifying genuine presentations as spoofed.
This metric's purpose is to assess the PAD subsystem's ability to identify bona fide presentation attacks, its instruments, attack frequency, and error rate [1]. They cover such factors as presentation attack instruments and species (PAIS), artifacts and present nonconformant characteristics, and description of output information provided by the PAD subsystem.
The APCER for a given PAIS is calculated using the formula:
\[
APCER_{PAIS} = 1 - \left( \frac{1}{N_{PAIS}} \right) \sum_{i=1}^{N_{PAIS}} Res_i
\]
(1)
where \( N_{PAIS} \) is the number of attack presentations for given PAI species; \( Res_i \) takes value 1 if the corresponding presentation is classified as an attack presentation and value 0 if classified as a bona fide presentation [1, 2].
As mentioned in the papers [1, 2], performance metrics for the set of bona fide presentations captured with the evaluation target shall be calculated and reported as BPCER using the formula:
\[
BPCER = \frac{\sum_{i=1}^{N_{BF}} Res_i}{N_{BF}}
\]
(2)
where \( N_{BF} \) is the number of bona fide presentations; \( Res_i \) takes value 1 if the corresponding presentation is classified as an attack presentation and value 0 if classified as a bona fide presentation.
The overall accuracy of the PAD subsystem is measured by using the Average Classification Error Rate (ACER) defined as [1]:
\[
ACER = \frac{APCER + BPCER}{2}
\]
(3)
As with all biometric identification systems, both error rates, APCER and BPCER, can’t be minimized at the same time, as a decrease of one means an increase of another because it is impossible to completely separate responses of bona fide presentations as presentation attacks.
As the outcome of the PAD system purpose, attack presentations tend to receive lower scores while bona fide presentations receive higher scores. However, because these scores overlap in most cases, a specific threshold should be selected. This paper is devoted to the research of the selection method of this threshold value in different environments where security importance can vary. The purpose of the analysis is to determine criteria, which would allow easier balancing between PAD safety and general user experience and convenience.
3. Comparative analysis of known solutions and suggested improvements
3.1. ABC4EU
In paper [2] followed by research [3] authors describe the pilot of a new Automatic Border Control (ABC) system which was developed in the ABC4EU European project and conforms to the laws established in the Schengen zone. These new ABCs have specific characteristics, such as a structural configuration divided into two devices: self-enrolment kiosk and biometric gate, one for enrolment and the other for verification, which entails two capture stages and two weaknesses where it is possible to attack the system [1, 2]. Researchers describe three different presentation attack types in their experimental setup:
• “Enrolment PA, when a presentation attack occurs at the self-enrolment stage. For example, an attacker provides the system with documentation that belongs to someone else and therefore tries to impersonate the true holder of the documents” [1].
• “Verification PA, when a presentation attack occurs at the verification stage. An attacker tries to impersonate a traveler who has previously enrolled in the system. For example, a correctly registered traveler loses or steals his/her documents between the self-stage and the verification stage. Then an attacker uses those documents to try to pass the verification” [1].
• “Enrolment and Verification PA. In this case, an impersonation has occurred at the enrolment and the attacker continues impersonating the true traveler at the verification stage (double attack). For example, an attacker presents travel documentation that belongs to someone else and gets successfully enrolled. After that, in the verification stage, the attacker continues to impersonate the true holder of the documents to cross the e-gate” [1].
As mentioned by the authors, security is a top priority in ABC systems while convenience and user experience are secondary, so they decided to set a threshold value that returns a low APCER value even if it increases the BPCER [1]. In this case, it is not critical as ABC systems are controlled by an agent, who can verify and correct bona fide presentations which were considered as an attack. They came up with an experimental setting of threshold values which led to a threshold of 80 at self-enrolment and a threshold of 95 at the biometric gate. Results of these experiments are displayed in Table 1 and Table 2.
**Table 1**
APCER, BPCER, and ACER values for different thresholds at self-enrolment [1]
| Threshold | 40 | 70 | 80 | 90 | 95 |
|-----------|------|------|------|------|------|
| APCER | 0.7609 | 0.3261 | 0.1739 | 0.1087 | 0.0217 |
| BPCER | 0.0 | 0.0 | 0.0667 | 0.7333 | 1.0 |
| ACER | 0.3804 | 0.1630 | 0.1203 | 0.421 | 0.5217 |
Even considering ABC4EU PAD as a security-critical subsystem, a BPCER value of 0.7333 is too high for the automatic system to be effective. This could indicate a discrepancy between training datasets and real-life bona fide presentations.
**Table 2**
APCER, BPCER, and ACER values for different thresholds at the biometric gate [1]
| Threshold | 40 | 70 | 80 | 90 | 95 |
|-----------|------|------|------|------|------|
| APCER | 0.8276 | 0.6552 | 0.5862 | 0.4483 | 0.206 |
| BPCER | 0.0 | 0.0 | 0.0 | 0.0 | 0.1429 |
| ACER | 0.4138 | 0.3276 | 0.2931 | 0.2241 | 0.1749 |
As displayed, BPCER value at the biometric gate is much better, however, the APCER of 0.206 at a threshold value of 95 is still too high to consider the system effective. Considering article [3] we could assume that these values were improved since the first project piloting, however latest data on PAD subsystem efficiency is not publicly available. However optimal threshold selection remains an issue in ABC4EU because manual setting during training with the dataset is imperfect for the following reasons:
1. The pre-trained model with a static dataset is limited from updates in bona fide presentation changes happening due to passenger flow shuffling (because of variable reasons, e.g. climate changes [4], economic reasons, infrastructural changes or conflicts arising [5]) imposing shifting in genuine presentation age, gender, and race, ethnicity, and other demographic PAD biases [6, 7].
2. Project scalability becomes challenging as different border control points would require different training datasets due to the same demographic reasons [5]. Additionally, specific domain considerations like different environments and devices complicate optimal threshold selection in the scenario of ABC reimplementation [8].
Considering the above, we could conclude that the optimal threshold selection process should be automated based on specific methods and parameters.
### 3.2. RIAPAR
The 2023 revision of ISO/IEC 30107-3:2023 [1] includes new metrics that provide better insight into the real-world performance of a complete biometric system [9]. One new metric is called “RIAPAR”, used to measure how well a biometric system detects attacks without interrupting legitimate users. It is calculated using the formula:
\[
RIAPAR = BPCER + FNMR + IAPAR \tag{4}
\]
where \(FNMR\) is the proportion of the completed biometric mated comparison trials that result in a false non-match; \(IAPAR\) is the impostor Attack Presentation Accept Rate defined as the proportion of impostor attack presentations using the same PAIS that result in an accept [2, 4, 10, 11].
The previously common approach used by most of the PAD subsystems selected threshold minimizing equal error rate (EER), equalizing APCER and BPCER, which ignores the PAD operational environment. While the RIAPAR metric which is mandatory for PAD product certification places user experience and convenience higher in the process selection optimal threshold it is not suitable for security-critical areas and not consider the PAD system area of usage.
To mitigate this problem, optimal threshold selection automation following formula could be implemented:
\[
Threshold = BT + EA \tag{5}
\]
where \(BT\) is the Base Threshold defined during training with initial dataset APCER and BPCER; \(EA\) is Environmental Adjustment is the factor that accounts for variations in
environmental conditions that may impact the performance of the face anti-spoofing system.
Environmental Adjustment can be expressed as a function of environmental parameters such as general security conditions and requirements, availability of human intervention to the identification process, biometric presentation-specific conditions, and other PAD product-specific criteria. It can be further defined as:
\[
EA = \sum_{i=1}^{n} W_i \times F_i
\]
(6)
where \( n \) is the number of environmental factors considered; \( W_i \) is the weight assigned to each environmental factor based on its importance and impact on the system's performance; \( F_i \) is the value of the environmental factor (positive or negative) at a given moment.
By incorporating environmental conditions into the threshold definition, the face anti-spoofing system can dynamically adapt its threshold to optimize performance under varying conditions, enhancing overall accuracy and robustness.
**Conclusion**
This article is devoted to the research of the aspect of selecting the optimal threshold in face anti-spoofing systems to bolster security while ensuring user convenience. While common methods often prioritize minimizing equal error rates (EER) [12, 13, 14], this approach fails to consider the diverse operational environments and varying security requirements.
Most existent production-ready PAD systems use metrics defined in ISO/IEC 30107-3:2023, which makes them compliant with principles and methods of performance assessment of biometric presentation attack detection. Metrics like APCER, BPCER, and ACER described in the article are essential for the successful utilization of any face anti-spoofing system. When testing biometric systems for security vulnerabilities, the sheer number and variety of potential tools used to spoof the system (PAIS) can be overwhelming. It’s often impractical, if not impossible, to create a model that encompasses every possible spoofing method. Consequently, leveraging between these and fine-tuning the PAD system becomes a challenge.
The analysis of existing solutions like ABC4EU demonstrates the limitations of static threshold selection based on pre-trained datasets. Therefore, this paper proposes a formula for automated threshold selection that incorporates an “Environmental Adjustment” factor (EA). This factor accounts for the specific context of the PAD system’s deployment, including security needs, and user experience considerations. By dynamically adjusting the threshold based on these environmental parameters, the face anti-spoofing system can function more effectively and securely when deployed in real-world settings.
References
[1] ISO/IEC JTC1 SC37 Biometrics. ISO/IEC 30107-3. Information Technology - Biometric presentation attack detection - Part 3: Testing and Reporting. International Organization for Standardization, 2023.
[2] D. Ortega-Delcampo, C. Conde, A. Serrano, I. M. Diego, E. Cabello: Face Recognition-based Presentation Attack Detection in a Two-step Segregated Automated Border Control e-Gate - Results of a Pilot Experience at Adolfo Suárez Madrid-Barajas Airport. 10.5220/0006426901290138 URL: https://www.scitepress.org/papers/2017/64269/64269.pdf.
[3] D. Ortega-Delcampo, C. Conde, D. Palacios-Alonso, E. Cabello: Border Control Morphing Attack Detection with a Convolutional Neural Network De-Morphing Approach. IEEE Access, vol. 8, pp. 92301-92313, 2020, doi: 10.1109/ACCESS.2020.2994112. URL: https://ieeexplore.ieee.org/document/9091520.
[4] N. Matei, D. Garcia Leon, A. Dosio, F. Batista E Silva, R. Ribeiro Barranco, J.C. Ciscar Martinez: Regional impact of climate change on European tourism demand, EUR 31519 EN, Publications Office of the European Union, Luxembourg, 2023, ISBN 978-92-68-03925-0, doi:10.2760/899611, JRC131508. URL: https://publications.jrc.ec.europa.eu/repository/bitstream/JRC131508/JRC131508_01.pdf.
[5] L. Gabrielli, E. Deutschmann, F. Natale: Dissecting global air traffic data to discern different types and trends of transnational human mobility. EPJ Data Sci. 8, 26 (2019). https://doi.org/10.1140/epjds/s13688-019-0204-x.
[6] ChaLearn: 2020 Looking at People Fair Face Recognition challenge ECCV. URL: https://chalearnlap.cvc.uab.cat/challenge/38/description.
[7] N. Alshareef, X. Yuan, K. Roy, M. Atay.: A Study of Gender Bias in Face Presentation Attack and Its Mitigation. Future Internet 2021, 13, 234. URL: https://doi.org/10.3390/fi13090234.
[8] K. Srivatsan, M. Naseer, K. Nandakumar. FLIP: Cross-domain Face Anti-spoofing with Language Guidance. URL: https://arxiv.org/pdf/2309.16649v1.pdf.
[9] IDR&D: What’s New in the Recent Update of ISO/IEC 30107 for Biometric Presentation Attack Detection. URL: https://www.idrnd.ai/iso-30107-2023-liveness-updates.
[10] M. Ibsen, L. J. Gonzalez-Soler, C. Rathgeb, C. Busch: TetraLoss: Improving the Robustness of Face Recognition against Morphing Attacks, da/sec - Biometrics and Security Research Group, Hochschule Darmstadt, 64295, Germany. URL: https://arxiv.org/pdf/2401.11598v1.
[11] H. Lypak, A. Rzheuskyi, N. Kunanets and V. Pasichnyk, "Formation of a consolidated information resource by means of cloud technologies", 5th International Scientific-Practical Conference Problems of Infocommunications. Science and Technology PIC S&T'2018, October 9–12, 2018.
[12] Y. Brice Wandji Piugie. Performance and Security Evaluation of Behavioral Biometric Systems. Computer Science. Université de Caen Normandie, 2023. URL: https://hal.science/tel-04397160/document.
[13] L. J. Gonzalez-Soler, M. Gomez-Barrero, C. Busch: Toward Generalizable Facial Presentation Attack Detection Based on the Analysis of Facial Regions. IEEE Access, vol. 11, pp. 68512-68524, 2023, doi: 10.1109/ACCESS.2023.3292407. URL: https://ieeexplore.ieee.org/document/10173519.
[14] Yevsieiev, S., Ponomarenko, V., Laptiev, O., Milov, O., Korol, O., Milevskyi, S. Synergy of building cybersecurity systems. Kharkiv: PC TECHNOLOGY CENTER, 2021, 188. doi: http://doi.org/10.15587/978-617-7319-31-2
|
Climate Change and Agriculture Production: An Overview of Risks and Opportunities
ENGAGE the CHAIN
engagethechain.org
September 2019
Impacts of Climate Change on Agriculture
Although climate change is likely to affect agriculture differently from region to region, the scientific consensus is that it will have major, generally negative impacts on food systems. As highlighted by the Intergovernmental Panel on Climate Change (IPCC) Report on Climate Change and Land\(^1\), climate change has already impacted food production in many areas, and the impacts will become more severe as the world continues to warm. Water scarcity, heat waves, storms, and sea level rise are already compromising agricultural productivity and will continue to destabilize agricultural supply chains unless we take action.
Climate change harms agricultural production in the following ways:
- Warmer mean temperatures and hotter extremes result in **reduced crop yields** and increased animal loss from heat stress and disease.
- Increased probability of drought and precipitation deficits increases **crop stress** and reduces livestock yield.
- Increased frequency, intensity and/or amount of heavy precipitation degrades and inundates farms and livestock operations.
In addition to harming agricultural production in the short term, some climate impacts can have long lasting or irreversible effects:
- Salt water intrusion and the rise in sea levels in some coastal regions of the world result in a **reduction in usable cropland**.
- Disruption of the movement of water in the atmosphere as a result of the dieback of tropical forests could cause major shifts in precipitation in key agricultural areas.
- Climate change reduces biodiversity, such as by reducing the populations of pollinating insects, which can threaten agricultural resilience and crop productivity.
Impacts of Agriculture on Climate Change
While climate change affects agriculture, the conversion of natural habitats and the practices used in agricultural and livestock operations also contribute to climate change. Agriculture, forestry, and other land use changes are the largest greenhouse gas (GHG) emitting sector after energy. Currently, the sector accounts for 23% of net anthropogenic GHG emissions: 11% come directly from agricultural production and an additional 12% from land use change\(^1\).
Direct contributions from agricultural production include:
- Land use change from commodity crop and subsistence agriculture. Agriculture drove up to 88% of forest loss in Latin America and 81% in Southeast Asia between 2001 and 2015\(^2\).
- GHGs generated during livestock production and manure management. Methane from the digestion of carbohydrates by cattle is the *largest single source of agricultural GHGs*\(^1\), and methane is 25 times more potent in the atmosphere than carbon dioxide over a 100-year period).
- Production of nitrous oxide from synthetic fertilizer used to grow crops for both human consumption and, disproportionately, livestock feed.
- Methane produced during the cultivation of rice in flooded conditions.
- Fossil fuel emissions from powering machinery and irrigation pumps.
The contribution of agriculture as a source of emissions varies widely by country due to the efficiency and type of agricultural systems. For example, the amount of GHGs emitted for the production of each pound of beef in developed countries in 2016 was less than half the amount emitted in developing countries the same year\(^3\).
Projected Growth in GHG Emissions from Agriculture
Emissions from crop and livestock are expected to increase by 30-40% between 2019 and 2050, considering both efficiency improvements and dietary changes\(^1\).
**Population Growth: Feeding 2.2 Billion More People in 2050**
The world population was 7.6 billion in 2017, representing an increase of one billion people over the last 12 years. Though fertility rates have started to decline and are expected to continue to, the global population is nonetheless expected to grow to 8.6 billion in 2030, 9.8 billion in 2050, and 11.2 billion in 2100. If production continues along the same emissions trajectory, rising food demand and production growth is expected to dramatically increase agricultural GHG emissions.
**Income-Driven Dietary Changes**
Shifts in diet will also strongly affect future GHG emissions from food production. Compared to the average diet in 2009, the average diet in 2050 will have 15% more total calories\(^4\). This reflects a shift predicated on global economic growth and associated increase in household income. Dietary changes include shifts towards higher calorie consumption, particularly from animal-based protein, sugar and fat.
In developing countries, the rate of growth in consumption of calories from animal-based protein is projected to increase much more quickly than overall calorie consumption (123% compared to 31%)\(^4\). While livestock products provide protein and a wide range of essential micronutrients, their production, especially from cattle and other ruminants, is more emission-intensive than other food sources. Increased livestock production due to growing demand for meat products has also been linked to the destruction of forests and grasslands.
In the U.S. alone, the carrying capacity of existing agricultural land can support 402 million people given the current average U.S. diet, but could feed twice as many (807 million) if people adopted a vegetarian diet\(^5\). Halving meat consumption and avoiding meat from producers with above-median emissions around the world could free up 13 million square miles of agricultural land and reduce emissions by 5 billion tons of carbon dioxide, equivalent to 11.6 billion barrels of oil (or up to 10.4 billion tons of carbon dioxide, equivalent to 24.2 billion barrels of oil, if the vegetation on previously agricultural land is reforested)\(^1\).
Measuring and Disclosing GHG Emissions from Food Supply Chains
Ceres reviewed practices for measuring and disclosing GHG emissions at the top 50 food and beverage companies in the United States, based on their reporting to CDP. In 2018, Scope 1 emissions from companies’ facilities and vehicles and scope 2 emissions from purchased electricity, steam, heating, and cooling for facilities accounted for 6% and 5%, respectively, of large food and beverage companies’ emissions. Supply chain emissions, called scope 3 emissions, accounted for the remaining 89%, the bulk of which came from purchased goods and services and, significantly, from agricultural production. In 2018, emissions from 24 large U.S. food companies that fully disclosed scope 3 emissions accounted for roughly 692 million tons of carbon dioxide equivalents, comparable in magnitude to GHG emissions from 1609 million barrels of oil.
Nonetheless, despite the fact that scope 3 emissions represent an enormous portion of total company emissions, less than half of the top 50 food and beverage companies in the U.S. and Canada publicly disclosed scope 3 emissions in 2018. By not fully disclosing scope 3 emissions, companies grossly under-represent their emissions footprint and may not adequately account for substantial material risk, particularly in light of the growing necessity to assess and address the impacts of climate change.
While 32 of the top 50 food and beverage companies have emission reduction targets, most targets only cover scope 1 and scope 2 emissions. Only 9 of the top 50 food and beverage companies have set reduction targets on the full range of scope 3 emissions. This failure to set targets for scope 3 emission reductions poses substantial material risks to companies and investors. By not reducing emissions from purchased goods and services, especially from agricultural production, companies are neither addressing nor protecting supply chains from the potential impacts of climate change.
Measuring emissions from agricultural production and land use change involves complex interactions between natural and human processes and requires data on agricultural management, soil, and climatic factors at the site of production. It takes serious commitment for companies producing multiple products and sourcing from thousands of producers, but it is getting easier. The report “Measure the Chain: Tools for Assessing GHG Emissions in Agricultural Supply Chains,” provides investors and companies a science-based approach to increasing their disclosure of scope 3 emissions.
Explicit, science-based climate change mitigation targets for scope 3 emissions will likely become a non-negotiable requirement in long-range business planning. However, some companies are already making strides when it comes to measuring scope 3 emissions. Jeff Hanratty, applied sustainability manager at
General Mills, acknowledges that, “Reducing climate impact especially across our agricultural value chain is critical to the long-term viability of our business, and more important the Earth. Working alongside partners like The Nature Conservancy and Ceres is helping advance our climate work to more quickly have meaningful impact from farm to fork.”
Companies are not the only ones thinking seriously about measuring and disclosing scope 3 emissions. “It’s clear to us that if a food and beverage company is serious about reducing its climate impacts, it absolutely must be working to reduce the emissions associated with agricultural production of its products,” says Allan Pearce, Shareholder Advocate at Trillium Asset Management. “Working to measure and manage these supply chain emissions will help build supply chain resiliency and preserve shareholder value, which is why we at Trillium are interested in how food and beverage companies are addressing their scope 3 emissions.”
**Food Companies and Climate Change Mitigation Opportunities**
In order to limit average global temperature increase to 1.5 degrees Celsius, food companies must widen their focus beyond direct operations to work with their suppliers to report and reduce GHG emissions across supply chains.
**Conserve Forested Lands**
Conserving forested lands is essential in order to mitigate climate change. One third of all anthropogenic GHG emissions to the atmosphere since 1750 have come from land use change (deforestation and agriculture)\(^5\). Of particular importance is the conservation of tropical forested land. Tropical forests store 55% of global forest carbon stocks, more than that of boreal forests (32%) and temperate forests (14%) combined\(^7\). If tropical deforestation was a country, yearly emissions would only be behind those of China and the U.S\(^8\).
**Expand Agroforestry on Annual Cropland**
Investing in sustainable tree crops and adding an agroforestry component to annual cropping systems contributes to carbon sequestration, the process involved in carbon capture and long-term storage of atmospheric carbon dioxide or other forms of carbon. Additionally, adding trees on farms can increase the yields of annual crops, add income and nutrition from yields of tree crops, and sometimes provide fodder for animals. By expanding agroforestry systems, companies can play a critical role in reducing their GHG emissions.
MANAGE LIVESTOCK FEED, HERDS, MANURE AND GRAZING LAND
Since 2000, livestock production has accounted for 66% of agricultural GHG emissions\(^1\). Ruminant meat, especially, is emission-intensive, but providing it is even more intensive in developing countries because production and supply chains tend to be inefficient. Climate change mitigation options for livestock production in developing countries include improved feeding practices, dietary additives, animal breeding, improved manure storage and handling, anaerobic digestion of manure, and more efficient use of manure as nutrient for crops. In many areas, livestock producers may also have the opportunity to sequester carbon by restoring degraded grazing lands and incorporating trees into pastures. Globally, animal science is producing innovations in animal breeding, methane inhibitors, and alterations to ruminant microbiome that could reduce emissions further, even where production is already relatively efficient.
REDUCE METHANE IN IRRIGATED RICE
Rice is the staple food for more than 3.5 billion people worldwide, roughly half of the world’s population, and the second most produced cereal crop in the world. Most rice is grown in flooded conditions that cause high methane emissions. Simple changes to production, such as alternate wetting and drying of irrigated rice, switching to short duration varieties of rice, and improving nutrient use efficiency through urea deep placement, can significantly reduce methane emissions, while preserving yields and saving growers money on fertilizer and water inputs.
IMPROVE SOIL AND NUTRIENT MANAGEMENT
Many soil management best-practices can reduce GHG emissions and sequester carbon. For example, optimizing nutrient use by applying the right type of fertilizer at the right rate, time and place, contributes to higher yields and reduces fertilizer-induced nitrous oxide emissions. Reducing tillage while increasing organic matter inputs to soils also has the potential to sequester carbon in soils, if such practices are maintained long-term.
REDUCE FOOD LOSS AND WASTE
An estimated 25-30% of all food produced globally is never eaten – it is either discarded or lost at some point along the food value chain\(^1\). The global economic, environmental, and social cost of food wastage is estimated at $2.6 trillion. The impact of the food system on climate change can also be decreased by reducing the amount of food lost and wasted. Companies can reduce food loss and waste by changing food storage, handling and manufacturing processes, designing packaging to extend shelf life, changing date labeling on packaging to reduce post-consumer waste, and introducing new product lines made from food that would otherwise have been wasted.
Expand Alternative Protein Options
With two-thirds of U.S. consumers reducing meat consumption, alternative proteins present an opportunity for food companies to reduce GHG emissions and claim space in a new market. Alternative protein options include plant-based products (i.e. Impossible Foods, Beyond Meat etc.), emerging products (i.e. Protix, AgriProtein etc.) and lab-grown products (i.e. Mosa Meat, Memphis Meats etc.). The global plant-based meat market alone is expected to grow at an annual rate of 15% between 2019 and 2025, and companies such as Tyson, Cargill, Kellogg’s and Kraft are investing in and acquiring many emerging plant-based businesses. Increasing research and development efforts and adding alternative protein options can help companies do their part to mitigate climate change.
Investor Engagement
A trajectory of increased agricultural emissions will not limit average global temperature rise to less than 2 degrees Celsius above pre-industrial levels, the key goal of the Paris Climate Agreement, and it will certainly not limit it to no more than 1.5 degrees Celsius, as recommended by the IPCC. To limit the rise to 1.5 degrees Celsius, global carbon dioxide emissions will need to reach net zero by 2050. Delays in implementing climate change mitigation efforts will substantially decrease policy and economic options and increase the difficulties of transitioning to a low-emission economy.
Major investments in systemic change to supply chains are necessary to achieve substantial reductions in agricultural emissions. While public financing is often discussed as a solution in the international community, the private sector was responsible for two-thirds of all climate change mitigation finance globally between 2015 and 2016. Undoubtedly, both public and private financing will be necessary. Investors recognize the need to engage when it comes to agricultural emissions, and many are stepping up to the plate to address these issues.
Priority for Investor Engagement
Ceres’ Work to Drive Implementation of No-Deforestation Commitments
Corporate no-deforestation commitments are a critical step to ending deforestation in supply chains. Hundreds of companies have set 2020 as a deadline to meet their pledges, but have yet to disclose their progress in meeting these critical targets. As the deadline approaches, Ceres is supporting investors looking to drive corporate action at scale by providing information on progress, helping investors define outcome-based metrics and other key performance indicators to follow up on corporate commitments, and supporting a collective action ask from investors to companies. Read Ceres’ Investor Brief on Disclosure of No-Deforestation Progress.
Ceres Investor Network on Climate Risk and Sustainability
This network is comprised of more than 130 institutional investors who collectively manage more than $17 trillion in assets. It works to advance leading investment practices, corporate engagement strategies and policy solutions to build an equitable, sustainable global economy and planet. The network engages directly with portfolio companies on environmental, social and governance (ESG) risks and opportunities through investor engagement tactics via multiple working groups, including the Shareholder Initiative for Climate and Sustainability (SICS). Explore Ceres’ Climate and Sustainability Shareholder Resolution Database.
Ceres-PRI Investor Initiative for Sustainable Forests (IISF)
A joint initiative led by Ceres and PRI to transform industry practices to eliminate deforestation from cattle and soy supply chains. The IISF is led by an advisory committee of institutional investors across different geographies. Working groups within the broader initiative focus on individual commodities and enable investors to engage with companies in a collaborative manner alongside other investors. Read more about the Investor Initiative for Sustainable Forests.
Climate Action 100+
An investor-led initiative which engages the world’s largest corporate GHG emitters on taking necessary action on climate change. To date, more than 360 investors with more than $34 trillion in assets under management have joined the initiative. More than a dozen companies on the Climate Action 100+ list are in the food and beverage sector, and investors are focused on ensuring these companies set robust scope 3 GHG reduction targets that include commitments to end deforestation in their supply chains. Read more about Climate Action 100+.
Priority Commodities
Among the most commonly-sourced commodities profiled in Engage the Chain, climate change impacts are most significant in the production of beef, dairy, soy and palm oil. Of particular note are the deforestation and land use changes related to the production of beef, palm oil, and soybeans, which all also contribute to global climate change.
The following section summarizes how the production of beef, dairy, soy and palm oil contribute worldwide to climate change. It is important to consider that the scale of the impacts depends on the practices used by individual livestock operations and feed growers, as well as on regional and local conditions.
Global beef production has a significant impact on climate change:
- Cows contribute directly to GHG emissions when they digest their feed and produce large amounts of methane and manure. Fertilizers and energy used for growing the animals’ feed, as well as deforestation associated with the production of soy meal, also contribute to total GHG emissions.
- Between 43-51% of the global emissions from the livestock sector are related to beef cattle\(^1\).
- Globally, beef production is expected to increase by 9 million metric tons by 2028\(^{13}\).
Global dairy production has a significant impact on climate change:
- Dairy cows release methane, a GHG 25 times more potent than carbon dioxide, when they digest their feed (enteric fermentation).
- Dairy operations contribute GHG during manure management (anaerobic decomposition of organic matter in manure).
- Globally, yearly consumption of milk is expected to increase by 304 million metric tons by 2030\(^{14}\).
Global soy production has a significant impact on climate change:
- At least 8.4 thousand square miles in the Amazon and Cerrado biomes in Brazil were deforested between 2006 and 2017 to grow soy\(^{15}\). The carbon emissions associated to the Cerrado deforestation for soy in that period, 210 million tons of carbon dioxide equivalent, are comparable to 488 million barrels of oil.
- Despite efforts made to reduce deforestation in the Amazon (such as more intense monitoring and the Soy Moratorium in Brazil), the risk of land conversion for soy production continues to be significant. In fact, after a noticeable deceleration in deforestation rates between 2004 and 2012, there has now been a serious uptick\(^{16}\). Land conversion and deforestation in Brazil to grow soybeans in other biomes, such as the Cerrado (where 60% of Brazilian soy is grown\(^{17}\)), is also expected to remain a material business risk.
Global palm oil production has a significant impact on climate change:
- The rapid and poorly managed expansion of palm oil production is causing massive large-scale deforestation and significant associated GHG emissions from clearcutting and burning tropical forests.
- Palm oil production has been a major driver of deforestation in Indonesia and Malaysia. In Indonesia, from 2000 to 2010, the total harvested palm area grew dramatically, tripling to 6 million hectares.
Of this, 500,000 hectares was observed to be from peat swamp deforestation\(^{18}\). The draining and burning of these carbon-rich peat soils can emit up to 30 times more GHGs than simply clearing the forest. Due to its high deforestation rate, Indonesia is now one of the world’s biggest emitters of GHGs, contributing 5% of global emissions.
**Resources**
1. United Nations Intergovernmental Panel on Climate Change. Special report on climate change and land, 2019. [www.ipcc.ch/report/srccl/](http://www.ipcc.ch/report/srccl/)
2. Curtis et al. Classifying drivers of global forest loss. *Science*, 2018. [dx.doi.org/10.1126/science.aau3445](https://dx.doi.org/10.1126/science.aau3445)
3. Food and Agriculture Organization of the United Nations. FAOSTAT emission intensities, 2018. [www.fao.org/faostat/en/#data/EI/visualize](http://www.fao.org/faostat/en/#data/EI/visualize)
4. Tilman and Clark. Global diets link environmental sustainability and human health. *Nature*, 2014. [www.nature.com/articles/nature13959](http://www.nature.com/articles/nature13959)
5. Peters et al. Carrying capacity of U.S. agricultural land: ten diet scenarios, 2016. [dx.doi.org/10.12952/journal.elementa.000116](https://dx.doi.org/10.12952/journal.elementa.000116)
6. United Nations Intergovernmental Panel on Climate Change. Fifth assessment report, 2014. [www.ipcc.ch/report/ar5/syr/](http://www.ipcc.ch/report/ar5/syr/)
7. Pan et al. A large and persistent carbon sink in the world’s forests. *Science*, 2011. [dx.doi.org/10.1126/science.1201609](https://dx.doi.org/10.1126/science.1201609)
8. World Resources Institute. By the numbers: the value of tropical forests in the climate change equation, 2018. [www.wri.org/blog/2018/10/numbers-value-tropical-forests-climate-change-equation](http://www.wri.org/blog/2018/10/numbers-value-tropical-forests-climate-change-equation)
9. Neff et al. Reducing meat consumption in the USA: a nationally representative survey of attitudes and behaviours. *Public Health Nutrition*, 2018. [dx.doi.org/10.1017/S1368980017004190](https://dx.doi.org/10.1017/S1368980017004190)
10. Markets and Markets. Plant-based meat market, 2019. [www.marketsandmarkets.com/Market-Reports/plant-based-meat-market-44922705.html](http://www.marketsandmarkets.com/Market-Reports/plant-based-meat-market-44922705.html)
11. United Nations Intergovernmental Panel on Climate Change. Special report on global warming of 1.5°C, 2018. [www.ipcc.ch/sr15/](http://www.ipcc.ch/sr15/)
12. Climate Policy Initiative. Global landscape of climate finance, 2017. [https://climatepolicyinitiative.org/publication/global-landscape-of-climate-finance-2017/](https://climatepolicyinitiative.org/publication/global-landscape-of-climate-finance-2017/)
13. OECD-FAO. Agricultural outlook 2019-2028, 2019. [www.fao.org/publications/oecd-fao-agricultural-outlook/2019-2028/en/](http://www.fao.org/publications/oecd-fao-agricultural-outlook/2019-2028/en/)
14. Wyrzykowski, Reincke, Hemme. Long-term dairy outlook. IFCN Dairy Research Center, 2018. [https://ifcndairy.org/wp-content/uploads/2018/06/IFCN-Dairy-Outlook-2030-Article.pdf](https://ifcndairy.org/wp-content/uploads/2018/06/IFCN-Dairy-Outlook-2030-Article.pdf)
15. Stockholm Environmental Institute. Soy trade from Brazil’s cerrado driving climate emissions, 2018. www.sei.org/about-sei/press-room/press-releases/soy-trade-from-brazils-cerrado-driving-climate-emissions/
16. Instituto National de Pesquisas Espaciais. TerraBrasilis, 2019. http://terrabrasilis.dpi.inpe.br/app/dashboard/deforestation/biomes/amazon/increments
17. Critical Ecosystem Partnership Fund. Ecosystem profile: Cerrado biodiversity hotspot, 2017. www.cepf.net/sites/default/files/cerrado-ecosystem-profile-en-updated.pdf
18. Chris Malins. Driving deforestation: the impact of expanding palm oil demand through biofuel policy. Cerulogy and Rainforest Foundation Norway, 2018. www.cerulogy.com/palm-oil/driving-deforestation/
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August 24, 2017
The Daily Mississippian
Follow this and additional works at: https://egrove.olemiss.edu/thedmonline
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Welcome Week connects student body
Students "Lock the Vaught" during the New Student Kickoff Picnic held in the Grove Saturday.
Foreign language tours help prospective students
BRITTANY BROWN
NEWS WRITER
The Office of International Programs offered a new service this month for exchange and international students: campus tours in foreign languages.
The tours were given to international students who had arrived on campus a couple days prior. The languages of the given tours ranged from Japanese and Chinese to Hindi and Korean. Jiwon Lee, a senior music major whose native language is Korean, came up with the idea of foreign language tours.
"In January 2017, I looked up Ole Miss on a Korean website that's something like Google," Lee said. "There were posts on the blogs that said, 'I don't know what Rebel or Ole Miss means, but people here say that a lot.'"
Seeing these posts encouraged Lee to move forward with the idea.
"This helped make my decision of having a campus tour in Korean," Lee said.
SEE TOURS PAGE 3
University-sponsored Wiz Khalifa concert sparks debate
MADDIE MCGEE
NEWS EDITOR
JOHN TOULOUPIS
ASSISTANT NEWS EDITOR
While student excitement builds for Friday’s Student Activities Association-sponsored Wiz Khalifa concert, alumni have unleashed their own opinions on the artist, arguing that his music does not embody the values described in the Ole Miss Creed.
Ed Meek, a prominent Ole Miss alumnus, posted on his Facebook page the music video for Wiz Khalifa’s song “Something New.” The video features women in bathing suits drinking, promotion of derogatory slurs and references to sex and drugs.
In his post, he criticized the university’s choice to approve the concert, wondering why the university would promote an artist who he feels is not an appropriate role model.
His post quickly gained both positive and negative comments from alumni and current students.
“I expected people my age to agree with my post,” Meek said. “I was surprised when people called my post racist. This is not a race issue – it’s a sensitivity issue.”
Meek said he felt Wiz Khalifa’s music goes against the behavior standards outlined in the Ole Miss Creed. These values include integrity, fairness, civility and respect for the dignity of each person.
Wiz’s music contains abuse of women, minorities, by using the N-word and clearly promotes drug abuse,” Meek said.
He said for the university to bring a performer who espouses values contrary to the Creed seems counterproductive.
Current student Jonathan Lovelady cited the First Amendment in his argument against the post.
“My opinion on the First Amendment is to allow anything that isn’t violating it,” Lovelady said. “SAA planned it, and a good amount of the student body wants it.”
Among the other comments was a comparison of atmosphere at a concert to that of the Grove, saying people drink, use obscenities and dress scandalously there as well.
When choosing the concert, the SAA looked over several artists before deciding on Wiz Khalifa as the headliner.
“We were given some names to look at over the summer, and we thought, ‘Wow, this is awesome,’” Brady Griffin, SAA executive director, said. “When the executive council voted on it, it was almost pretty unanimous.”
SEE CONCERT PAGE 3
IN THIS ISSUE...
OPINION
Do we need required ‘multicultural’ courses?
Why a recent student petition is unnecessary and overly political
PAGE 2
LETTER TO THE EDITOR
‘Bring down that flag’
Mississippi historians weigh in on Charlottesville and the state flag
SEE THEDMONLINE.COM
LIFESTYLES
Sports, scandal, sugar
Find a new favorite with our resident podcast expert
PAGE 4
SPORTS
Who has a shot at the Heisman?
The race for the best player in college football is wide open, but we have a few ideas
PAGE 8
Petition forces one-sided politics on students
This summer, a petition floating around the Ole Miss social scene caught my attention. The petition accused the university of atrociously failing at its sacred duty to pack enough fluff into our general education requirements for students to shell out an additional $100 or $200 for textbooks because we haven’t been forced to take yet.
To my horror, I saw students proudly signing and sharing this petition in what I can only assume was either a masochistic cult ritual or a coordinated effort for our student body to become the new face of Stockholm syndrome.
The petition, shared on change.org in March, specifically addressed the College of Liberal Arts, which my major does not fall under. So, why do I care?
Well, eventually, these demands are going to spread.
The petition’s first order of business was the addition of six to nine hours of multicultural classes. Looking at the current general education requirements for liberal arts undergraduates, I don’t see what the big fuss is about.
With a required three hours of fine arts, six hours of social science, three hours of humanities and six hours of history, these general requirements are more than enough exposure for students to cultural and social worlds that they may not otherwise put much effort into knowing more about. If I wanted to know anything more about East Asia than what is necessary for my degree, I would minor in it.
The petition then went on to demand that students engage in a mandatory dozen hours of volunteer work for “diversity-related” projects. Hint for the less cynical: That’s code for social justice.
The point of volunteer work is that you, well, volunteer for it. The core value of volunteer work — aside from helping others and giving back to the community, of course — is that you do it on your own time and for a project or cause that you support.
But these organizations are often politically one-sided. For example, although I’ll support it until the day I die, not everyone supports gay marriage, and it would be morally wrong to force a student who didn’t into volunteering with a LGBT organization.
The petitioning party later takes a page from the Borg playbook and goes on to state that this change in curriculum will “institutionalize inclusion.” Another hint: That’s code for you will like who we like, and you will think how we think.”
Honestly, I was surprised to have finished reading the petition and not have spotted the phrase “resistance is futile,” but world domination in the modern age is a subtle art.
Embracing differences to enjoy the presence of others is a part of being a mature adult and building friendships; however, as college students, we are surrounded by a seemingly infinite number of impenetrable social circles.
I will be the first to admit that it’s probably easier to climb Mount Everest than it is to make friends in college. At least the Everest guide will have a conversation with you.
However, it is not the university’s job to make our friends for us.
So, unless you are going to pay my tuition for the extra semester you’re trying to keep me here, in which case I would still be furious, please do not try to hijack my college education.
Especially if it is just an attempt for you to cram your social agenda onto my degree progress report.
Matthew Dean is a senior criminal justice major from Possanneck.
TOURS
continued from page 1
wanted to inform everybody of the things I know about this campus that I love and the interesting things about this university.”
Following Lee’s idea of offering foreign language tours to students, the Office of International Programs contacted different international student organizations, such as the Indian Student Organization.
Prabhdeep Sandha, a doctoral student in nutrition and hospitality management and a member of the Indian Student Organization, helped lead the campus tour in Hindi.
“This never happened when we came over here, so we were actually excited,” Sandha said.
Because many of the students leading foreign language tours had never led a tour before, they underwent training about two to three days prior to the actual tours. Chikako Takehara, a master’s student in the Department of Modern Languages, was the guide of the Japanese tour.
“That was the very first time I led a tour,” he said. “After the sample tour, I felt more prepared.”
Takehara also said the students had many logistical questions, such as how to receive mail, how to pay the bursar and how to load money on their student ID cards.
“Even though they had orientation for international students, they still cannot understand very specific details,” Takehara said.
During the tour led in Hindi, there were approximately five students with their parents, who had traveled from India to participate in the tour.
“It was really good to know that Ole Miss is the safest in the U.S.A. after two or three military schools,” Sushant Marathe, a master’s student in pharmacuetics and drug delivery, said.
Marathe said the parents had many questions about food because many Indians are vegetarians. He also said the university’s academic rankings and research opportunities attracted Indian students to the University of Mississippi.
Many of the students who received these tours have stayed in contact with their tour guides.
“Most of the students wanted to exchange contact information,” Gauri Shadambikar, a master’s student in pharmacuetics and drug delivery, said. “I think they feel comfortable or safe if they have someone to keep in touch with.”
Many students who led the foreign language tours agreed the service should continue in the future.
“The students had a chance to ask questions and talk to somebody who’s already here,” Takehara said. “That’s one of the best parts. Having the tour in their own language.”
CONCERT
continued from page 1
SAA is funded by the Ole Miss Student Union. For the concert, it partnered with Ole Miss Athletics to secure the Pavilion as the location for the concert. Student feedback was largely positive when the show was announced.
Ruffin said SAA strives to choose events that will appeal to the entire student body, and even amid the concern from alumni, stand by their decision.
“Wiz Khalifa was the preferred artist by an overwhelming majority of the council,” Ruffin said. “The Executive Council felt that artist appealed to many of our students and our feedback thus far has been extremely positive from our constituents.”
“I want the SAA to provide opportunities for Ole Miss students to participate in or attend events that cater to all students on campus,” Bradley Baker, Student Union director, said.
The concert is just one element of a week full of activities, and SAA hopes students can find activities in which they are interested.
“Many components go into putting together Welcome Week,” Patrick Ramsay, the coordinator of student activities, said. “Our students work together as a team to make sure Welcome Week is a blast for all students on campus.”
No, Oprah Winfrey is not the reason I started adding podcasts to my morning ritual.
Well, actually, to be honest, she is.
I thought I was a morning person up until my junior year of college, when I started getting two hours of sleep instead of 15. That might be an exaggeration – kind of. I did, however, start questioning if I was ready for adulthood because of it. My insufficient sleeping schedule is a story of its own, though.
I needed something besides coffee and alternative rock to get me through my early mornings and lack of sleep. No offense to Red Hot Chili Peppers, but “Scar Tissue” wasn’t giving me the morning boost Oprah told me I needed in order to have a successful day. So, I settled for podcasts.
If you are new to podcasts or are interested in finding one, I hope this week’s podcast roundup serves as guidance for you. We are in the golden age of podcasts, and there are many platforms and topics to choose from. Go to Google Play, the Apple App Store or Soundcloud to listen and download new episodes.
Here is a list of this week’s podcasts for your listening pleasure:
**DEAR SUGARS**
Hosts Cheryl Strayed and Steve Almond team up every week to cover listener concerns, no matter how deep or dark they are. From body weight and romance to marriage issues, “Dear Sugars” provides advice for the lost and lonely. The podcast commits to featuring different people each week, welcoming guests like George Saunders, Oprah Winfrey and Ashley C. Ford.
TALK OF CHAMPIONS
What’s better than a sports podcast about Ole Miss football that covers everything sports-related? Hosted by Ben Garrett and former defensive end Kentrell Lockett, “Talk of Champions” brings you the latest information about what’s happening in Ole Miss sports. In recent months, Garrett and Lockett have focused on the NCAA investigation and given us information that we all are curious about.
REVEAL
In 2013, the Center of Investigative Reporting, best known for its investigative stories about scandals and more, launched a podcast, website and social media platform called “Reveal.” The podcast centers on uncovering hidden messages and stories impacting the world. A personal favorite has been “Nowhere to run,” which is about how the Texas foster care system is failing vulnerable children and leaving them without a place to live.
CONSTITUTIONAL
A follow-up of the Washington Post’s podcast “Presidential,” Lillian Cunningham goes back in time to explore the Constitution from its framers to presidents to abolitionists. Episodes in the past have talked about ancestry, race, nationality and the preamble.
SEE THE FULL ARTICLE AT THEDMONLINE.COM
Fantasy focus: Early picks to stack your team
ALEXIOS TOULOUPIOS
SPORTS WRITER
Jamaal Charles, Jameis Winston, Julius Thomas. Three men on the brink of greatness. Fantasy football greatness, that is.
I’d draft these three men in a heartbeat, not because of a biased love for them, but because of a feeling. A feeling that everything is going to be alright. A sense of security, trust and faith. Here’s why:
**Jamaal Charles:**
At 30 years old, I do not consider this fantasy work to be done. Sure, he tore his ACL, but players have come back from worse. Last year, I drafted this once-elite running back and kept him on the team all throughout his injury, not out of stupidity but out of respect. The man once scored 55 points in a single game.
Now with the Denver Broncos (and with no real numbers to show from last season), he’ll be looked over and missed by many. But I’m telling you that Jamaal Charles will produce numbers out of this world in 2017. The starter ahead of him, C.J. Anderson, is also coming off of injury from last season. Who knows how he will play. As the rushing game becomes more prominent in Denver, Jamaal Charles is probably the best backup in the game and a great add for your fantasy team and maybe even a low-grade FLEX position.
**Jameis Winston:**
Evans, the quarterback/receiver duo has turned Tampa Bay into a real NFC South threat. That doesn’t even include rookie tight end O.J. Howard. A consistent best at his position in college, this man is a must for FLEX with his dynamic abilities.
Ultimately, solid numbers and top-tier receivers will make Jameis a QB1 in fantasy football this season. If you haven’t drafted yet and prefer to focus on running backs and wide receivers, Jameis should be hanging around on the board until the later rounds. If he’s still around, snag him.
**Julius Thomas:**
Thomas was once the best and most feared tight end in all of fantasy football – unfortunately, the key word here is once. After Peyton Manning left the Broncos, so did Thomas and his fantasy relevance.
With the Jaguars, he had a slump season. In fairness, who wouldn’t slump in Jacksonville? (Side note, seriously – avoid Jaguars players. Drafting, trading or otherwise. Avoid them. One good week does not make them worth the add.)
With the Jaguars, Julius Thomas was unrecognizable. But this year, he has a new team in the Miami Dolphins and a new quarterback in Jay Cutler. As a Bears fan, I am not big on Jay Cutler. But coming from Blake Bortles, any upgrade is a huge upgrade. Cutler is a solid QB who can make tight throws and loves to hit his tight ends over the middle.
Julius has already proven that he can destroy your opponent’s chances of winning a game, and I don’t see that changing this year. He’ll remain a solid choice for FLEX or even your TE1.
The DM Classifieds WORK!
2017 M CLUB Homecoming Court NOMINATIONS
NOMINATION FORMS AVAILABLE at the FedEx Student-Athlete Success Center or www.OleMissSports.com
Nomination Forms Available: Thursday, August 24
Nomination Forms Due: WEDNESDAY, AUGUST 30 by 5pm
NO EXCEPTIONS WILL BE MADE
FOR MORE INFORMATION, please contact Jennifer Saxon at 662.915.1745 or by email at firstname.lastname@example.org
THIS WEEK IN OLE MISS SPORTS
TOMORROW
VOLLEYBALL
VS. LA TECH
FRIDAY • 11 AM
SEASON OPENER
REBEL REWARDS +20
VOLLEYBALL
VS. TUSCALOOSA
FRIDAY • 6 PM
REBEL REWARDS +20
SOCCER
VS. MICHIGAN
FRIDAY • 7 PM
REBEL REWARDS +20
SATURDAY
VOLLEYBALL
VS. CLEMSON
SATURDAY • 1 PM
REBEL REWARDS +50
SUNDAY
VOLLEYBALL
VS. LOUISIANA
SUNDAY • 1 PM
REBEL REWARDS +20
The greatest player in college football is a title held by an exclusive club and this year’s race for the Heisman is wide open. With the 2017 college football season on the horizon, find out who’s on Heisman-watch this Fall:
**Quinton Flowers**
Quarterbacks like Lamar Jackson and Johnny Manziel came out of nowhere to win the Heisman. They both did it by being completely unpredictable dual-threat weapons. South Florida’s Quinton Flowers can do the exact same. At the helm of an offense that returns 10 starters from an 11-2 team, Flowers will captivate college football fans across the country and fill highlight reels with his strong arm and running ability. Charlie Strong seems to have been gifted his next Teddy Bridgewater, maybe even someone who is better than Bridgewater.
Odds: *Unlikely*
**Derwin James**
Every year, one defensive player works his way into the Heisman conversation. Like Jabrill Peppers last season, Florida State star safety Derwin James will be all over the field. He may not be the offensive and special teams threat Peppers was, but James will do everything on the defensive side of the ball. One play, he will stuff the run, and the next, he will lock down the other team’s best receiver. His ball skills will lead to signature plays that will not only win games but also win over the fans. The only thing that could slow him down is his health, after missing most of last season due to injury. His matchup with Calvin Ridley, Allen Hurns and the rest of the Crimson Tide offense will make for compelling TV.
Odds: *Longshot*
**Saquon Barkley**
The biggest surprise in the Big Ten last year was that neither Michigan or Ohio State won the Big Ten Conference. Penn State grinded its way to a berth in the Rose Bowl, where it lost in an instant classic to USC. Do not expect last season to be a fluke. The Nittany Lions have a workhorse in the backfield who is capable of at least 3,000 rushing yards – Saquon Barkley. Barkley is a mix of the powerful, mean running of Leonard Fournette and the playmaking ability of Christian McCaffrey. Barkley is a generational player who can dominate any defense. Using stiff arms, jukes, spins and a powerful frame, he can single-handedly carry Penn State to the College Football Playoff. There should not be any doubt he will receive an invite to New York.
Odds: *Probable*
**Sam Darnold**
After taking over for Max Browne early in the season a year ago, USC’s Sam Darnold has garnered a large fanbase. For the first time since Mark Sanchez, the Trojans have one of the nation’s top quarterbacks. Darnold possesses a strong arm, better-than-average athleticism and exceptional football savvy that draws comparisons to Andrew Luck. His ability to stretch the field vertically with accuracy will torch Pac 12 defenses. The hype train for him this season started when he out-dueled Penn State in last year’s Rose Bowl. That performance has led to talk of him being the first player selected in the 2018 NFL draft. His ceiling is as high as he wants it to be. It is hard to imagine anyone else outplaying him this season.
Odds: *Highly Likely*
|
Please refer to the following documents attached:
1. Announcement relating to Annual General Meeting ("AGM") to be held on 26 June 2020;
2. Notice of AGM;
3. Proxy Form; and
4. Arrangements for the AGM to be held on 26 June 2020 (in FAQ format).
The 57th Annual General Meeting ("AGM") of the Company will be held by electronic means. Shareholders will not be able to attend the AGM in person. Please refer to the Announcement relating to AGM to be held on 26 June 2020 for details on how to participate in the AGM.
Attachments
- AGM_Announcement.pdf
- Notice_of_AGM.pdf
- Proxy_Form.pdf
- AGM_FAQs.pdf
Total size = 967K MB
ANNUAL GENERAL MEETING TO BE HELD ON 26 JUNE 2020
1. **Background.** HL Global Enterprises Limited (“HLGE” or the “Company”) refers to:
(a) its announcement on 2 April 2020 stating that it had applied to and received approval from the Accounting and Corporate Regulatory Authority for an extension of time of up to two months until 29 June 2020 to hold its Annual General Meeting (“AGM”) and had also sought and obtained a waiver from Singapore Exchange Regulation to comply with the Listing Manual for the holding of the AGM on a date not later than 29 June 2020;
(b) the COVID-19 (Temporary Measures) Act 2020 passed by Parliament on 7 April 2020 which enables the Minister for Law by order to prescribe alternative arrangements for listed companies in Singapore to, *inter alia*, conduct general meetings, either wholly or partly, by electronic communication, video conferencing, tele-conferencing or other electronic means; and
(c) the COVID-19 (Temporary Measures) (Alternative Arrangements for Meetings for Companies, Variable Capital Companies, Business Trusts, Unit Trusts and Debenture Holders) Order 2020 (the “Order”) which was gazetted on 13 April 2020, and which sets out the alternative arrangements in respect of, *inter alia*, general meetings of companies.
2. **Date, time and conduct of AGM.** HLGE is pleased to announce that pursuant to the Order, its AGM will be convened and held by way of electronic means, on **Friday, 26 June 2020 at 2.00 p.m.**
3. **Notice of AGM and proxy form.** With effect from today, the Notice of AGM and proxy form have been made available to shareholders solely by electronic means via (i) publication on the Company’s corporate website at the URL [http://www.hlge.com.sg/index.php/investor-relations/agm](http://www.hlge.com.sg/index.php/investor-relations/agm) and (ii) on the SGX website at the URL [https://www.sgx.com/securities/company-announcements](https://www.sgx.com/securities/company-announcements). Printed copies of these documents **will not** be sent to shareholders via post.
4. **No personal attendance at AGM.** Due to the current COVID-19 restriction orders in Singapore, shareholders will not be able to attend the AGM in person.
5. **Alternative arrangements for participation at the AGM.** Shareholders may participate at the AGM by:
(a) appointing the Chairman of the Meeting as proxy to attend, speak and vote on their behalf at the AGM.
(b) observing and/or listening to the AGM proceedings via ‘live’ audio-visual webcast or ‘live’ audio-only stream; and/or
(c) submitting questions in advance of the AGM;
Details of the steps for submission of the proxy form for voting at the AGM, pre-registration to obtain access to the ‘live’ audio-visual webcast or ‘live’ audio-only stream, and pre-submission of questions to be raised at the AGM are set out in the Appendix to this announcement. A copy of this announcement and the ‘Frequently Asked Questions’ relating to the AGM may also be accessed at the Company’s website at the URL http://www.hlge.com.sg/index.php/investor-relations/agm, and will also be made available on the SGX website at the URL https://www.sgx.com/securities/company-announcements.
6. **Persons who hold shares through relevant intermediaries.** Persons who hold HLGE shares through relevant intermediaries (as defined in section 181 of the Companies Act, Chapter 50), including CPF and SRS investors, and who wish to participate in the AGM by:
(a) appointing the Chairman of the Meeting as proxy to attend, speak and vote on their behalf at the AGM;
(b) observing and/or listening to the AGM proceedings via ‘live’ audio-visual webcast or ‘live’ audio-only stream; and/or
(c) submitting questions in advance of the AGM,
should contact the relevant intermediary (which would include, in the case of CPF and SRS investors, their respective CPF Agent Banks and SRS Operators) through which they hold such shares as soon as possible in order for the necessary arrangements to be made for their participation in the AGM.
7. **Annual Report 2019.** The Annual Report 2019 may be accessed at the URL http://www.hlge.com.sg/index.php/investor-relations/agm by clicking on the link for “Annual Report 2019”.
8. **Key dates/deadlines.** In summary, the key dates/deadlines which shareholders should take note of are set out in the table below:
| Key dates | Actions |
|-----------|---------|
| 4 June 2020 from 9.00 a.m. (Thursday) | Shareholders may begin to pre-register at https://www.meetings.vision/hlge-agm-registration for ‘live’ audio-visual webcast/ ‘live’ audio-only stream of the AGM proceedings. |
| 16 June 2020 at 5.00 p.m. (Tuesday) | CPF or SRS investors who wish to appoint the Chairman of the Meeting as their proxy, must approach their respective CPF Agent Banks or SRS Operators to submit their votes by this deadline. |
Annual General Meeting to be held on 26 June 2020
19 June 2020 (Friday)
Deadline for shareholders to submit questions to be raised at the AGM.
24 June 2020, 2.00 p.m. (Wednesday)
Deadline for shareholders to:
• submit proxy forms; and
• pre-register for ‘live’ audio-visual webcast/‘live’ audio-only stream of the AGM proceedings.
25 June 2020, (Thursday)
Authenticated registrants will receive an email which will contain a login user ID and password, the link to access the ‘live’ audio-visual webcast and a toll-free telephone number to access the ‘live’ audio-only stream of the AGM proceedings (“Confirmation Email”).
Individuals or corporates that have pre-registered but whose status as shareholders cannot be verified will receive an email by this date to inform them of this.
Shareholders who do not receive the Confirmation Email by 25 June 2020 at 3.00 p.m. but have registered by 24 June 2020 deadline should contact HLGE at email@example.com or alternatively at Tel No.: +65 6324 9500.
26 June 2020 (Friday)
Publication of answers to questions at the URL http://www.hlge.com.sg/index.php/investor-relations/agm and on SGX website at the URL https://www.sgx.com/securities/company-announcements.
26 June 2020, 2.00 p.m. (Friday)
Annual General Meeting
• Click on the link in the Confirmation Email and enter the login user ID and password to access the ‘live’ audio-visual webcast of the AGM proceedings; or
• Call the toll-free telephone number in the Confirmation Email and enter the meeting ID and password to access the ‘live’ audio-only stream of the AGM proceedings.
9. Important reminder. Due to the constantly evolving COVID-19 situation in Singapore, the Company may be required to change its arrangements for the AGM at short notice. Shareholders should check the Company’s website and the SGX website for the latest updates.
BY ORDER OF THE BOARD
Yeo Swee Gim, Joanne
Company Secretary
Singapore
4 June 2020
APPENDIX
Steps for voting on the AGM resolutions, pre-registration to observe/listen to the AGM proceedings and pre-submission of questions in advance of the AGM
Shareholders can only vote in respect of the resolutions proposed at the AGM by appointing the Chairman of the Meeting as proxy to attend, to speak and to vote on their behalf at the AGM. Shareholders may, if they wish, observe and/or listen to the AGM proceedings through a ‘live’ audio-visual webcast or ‘live’ audio-only stream, and may also submit questions in advance of the AGM. Please refer to the following steps for the submission of the proxy form, pre-registration for the audio-visual webcast or audio-only stream and submission of questions.
| No. | Steps | Details |
|-----|-------|---------|
| 1. | Submit proxy form to vote | **Appointment of Chairman of the Meeting as proxy.** Due to the current COVID-19 situation and related safe distancing measures in Singapore, a member will not be able to attend the AGM in person. A member (whether individual or corporate) must appoint the Chairman of the Meeting as his/her/its proxy to attend, to speak and to vote on his/her/its behalf at the AGM if such member wishes to exercise his/her/its voting rights at the AGM.
**Specific voting instructions to be given.** Where a member (whether individual or corporate) appoints the Chairman of the Meeting as his/her/its proxy, he/she/it must give specific instructions as to voting, or abstentions from voting, in respect of a resolution in the form of proxy, failing which the appointment of the Chairman of the Meeting as proxy for that resolution will be treated as invalid.
**Submission of proxy forms.** A member who wishes to submit an instrument of proxy appointing the Chairman of the Meeting as proxy must first access the URL: [http://www.hlge.com.sg/index.php/investor-relations/agm](http://www.hlge.com.sg/index.php/investor-relations/agm) and click on the “Proxy Form” hyperlink under the caption “57th Annual General Meeting ” to download the proxy form, thereafter complete and sign the proxy form, before scanning and sending it by email to Company at firstname.lastname@example.org or submitting it by post to the Company, HL Global Enterprises Limited at 10 Anson Road, #19-08 International Plaza, Singapore 079903, not less than 48 hours before the time appointed for holding the AGM.
*In view of the current COVID-19 situation and the related safe distancing measures in Singapore, it may*
| No. | Steps | Details |
|-----|-------|---------|
| 1. | | be difficult for members to submit completed proxy forms by post and for the Company to process completed proxy forms which are submitted by post. There may also be delays in the delivery of completed proxy forms which are submitted by post. Therefore, members are strongly encouraged to submit completed proxy forms electronically via email to email@example.com to ensure that they are received by the Company by the stipulated deadline.
CPF or SRS investors who wish to appoint the Chairman of the Meeting as proxy should approach their respective Agent Banks/SRS operators to submit their votes by 16 June 2020 at 5.00 p.m. |
| 2. | Pre-registration for the AGM | Shareholders must pre-register at the pre-registration website at URL: https://www.meetings.vision/hlge-agm-registration from 4 June 2020 at 9.00 a.m. till 24 June 2020 at 2.00 p.m. by following the steps below:
Step 1: Access the URL: https://www.meetings.vision/hlge-agm-registration.
Step 2: Click on the “Register for Audio-Visual” button if you wish to watch and listen to a ‘live’ video feed of the AGM proceedings OR Click on the “Register for Audio Only” button if you wish to phone in and only listen to the AGM proceedings.
Step 3: Complete the information required on the registration page and click “Preview”.
Step 4: Review your input and ensure it is accurate before clicking “Submit”.
Step 5: After you click “Submit”, an acknowledgement of your registration will appear on the registration page, followed by an acknowledgement sent to your email address.
Notes:
1. If you do not receive an email acknowledgement after your registration, it means your pre-registration is not successful. Please check your spam/junk email folder or try again. |
| No. | Steps | Details |
|-----|-------|---------|
| | | 2. If you hold shares through a relevant intermediary as defined in Section 181 of the Companies Act, Chapter 50 of Singapore (e.g. nominee companies), you are not able to pre-register online. Please contact your respective relevant intermediaries for assistance. |
| | | 3. If we are unable to verify your shareholder status following your pre-registration, you will receive an email notification by 3.00 p.m. on 25 June 2020 informing you of this. Please contact the Company at firstname.lastname@example.org or alternatively at Tel No. +65 6324 9500 between 3.00 p.m. and 5.30 p.m. on 25 June 2020 and between 10.00 a.m. and 12.00 noon on 26 June 2020 if you have any questions. |
| | | 4. Once you have been verified as a shareholder, an email (Confirmation Email) will be sent to you by 3.00 p.m. on 25 June 2020 with your login user ID and password and the link to access the ‘live’ audio visual webcast or toll-free telephone number, meeting ID and password to call for the audio-only stream. Shareholders who do not receive the Confirmation Email by 3.00 p.m. on 25 June 2020, but have registered by the 24 June 2020 deadline and have not been informed of an unsuccessful registration should contact the Company at email@example.com or alternatively at Tel No. +65 6324 9500 between 3.00 p.m. and 5.30 p.m. on 25 June 2020 and between 10.00 a.m. and 12.00 noon on 26 June 2020. |
| 3. | Submit questions in advance of the AGM | Shareholders will not be able to ask questions at the AGM during the ‘live’ audio-visual webcast or ‘live’ audio-only stream, and therefore it is important for shareholders to submit their questions in advance of the AGM. **Submission of questions.** Shareholders can submit questions related to the resolutions to be tabled for approval at the AGM to the Chairman of the Meeting, in advance of the AGM, in the following manner:
(a) By email to firstname.lastname@example.org; or
(b) By post to HL Global Enterprises Limited, 10 Anson Road, #19-08 International Plaza, Singapore 079903. |
| No. | Steps | Details |
|-----|-------|---------|
| | | To ensure that questions are received by the Company by the stipulated deadline, shareholders are strongly encouraged to submit questions by email. When sending questions, shareholders should also provide their full name as it appears on the CDP/CPF/SRS/Scrip share records, address, number of shares in the Company and the manner in which the shares are held in the Company (eg. via CDP, CPF, SRS or scrip based) for verification. Mobile phone numbers provided will help the Company to reach out more easily if clarification is required. **Deadline to submit questions.** All questions must be submitted by 19 June 2020. **Addressing questions.** The Company will endeavour to address substantial and relevant questions relating to the Annual Report 2019 and the other AGM agenda items set out in the Notice of AGM received from shareholders. The responses to these substantial and relevant questions will be published on the Company’s website at the URL [http://www.hlge.com.sg/index.php/investor-relations/agm](http://www.hlge.com.sg/index.php/investor-relations/agm) and will also be made available on the SGX website at the URL [https://www.sgx.com/securities/company-announcements](https://www.sgx.com/securities/company-announcements) by 26 June 2020. **Minutes of AGM.** The Company will publish the minutes of the AGM on the Company’s website and on the SGX website. |
NOTICE OF ANNUAL GENERAL MEETING
NOTICE IS HEREBY GIVEN that the Fifty-Seventh Annual General Meeting (the “Meeting”) of HL GLOBAL ENTERPRISES LIMITED (the “Company”) will be convened and held by way of electronic means on Friday, 26 June 2020 at 2.00 p.m. for the following purposes:
A. Ordinary Business:
1. To receive and adopt the Directors’ Statement and Audited Financial Statements for the year ended 31 December (“FY”) 2019 and the Auditor’s Report thereon.
2. To approve Directors’ Fees of $205,644 for FY 2019 (FY 2018: $208,520).
3. To re-elect the following Directors who would be retiring in accordance with the Company’s Constitution and who, being eligible, offer themselves for re-election as Directors of the Company:
(a) Ms Loo Hwee Fang
(b) Mr Andrew Goh Kia Teck
Detailed information on the Directors who are proposed to be re-elected can be found under the sections on “Board of Directors” and “Additional Information on Directors Seeking Re-election” of the Annual Report 2019.
4. To re-appoint Ernst & Young LLP as Auditor of the Company and to authorise the Directors to fix their remuneration.
B. Special Business:
To consider and, if thought fit, to pass, with or without any modifications, the following resolutions as Ordinary Resolutions:
5. That authority be and is hereby given to the Directors to:
(a) (i) issue shares of the Company (“shares”) whether by way of rights, bonus or otherwise; and/or
(ii) make or grant offers, agreements or options (collectively, “Instruments”) that might or would require shares to be issued, including but not limited to the creation and issue of (as well as adjustments to) warrants, debentures or other instruments convertible into shares,
at any time and upon such terms and conditions and for such purposes and to such persons as the Directors may, in their absolute discretion, deem fit; and
(b) (notwithstanding the authority conferred by this Ordinary Resolution may have ceased to be in force) issue shares in pursuance of any Instrument made or granted by the Directors while this Ordinary Resolution is in force,
provided that:
(1) the aggregate number of shares to be issued pursuant to this Ordinary Resolution (including shares to be issued in pursuance of Instruments made or granted pursuant to this Ordinary Resolution but excluding shares which may be issued pursuant to any adjustments effected under any relevant Instrument), does not exceed 100% of the total number of issued shares, excluding treasury shares, of the Company (as calculated in accordance with sub-paragraph (2) below), of which the aggregate number of shares to be issued other than on a pro rata basis to shareholders of the Company (including shares to be issued in pursuance of Instruments made or granted pursuant to this Ordinary Resolution but excluding shares which may be issued pursuant to any adjustments effected under any relevant Instrument) does not exceed 20% of the total number of issued shares, excluding treasury shares, of the Company (as calculated in accordance with sub-paragraph (2) below);
(2) (subject to such manner of calculation as may be prescribed by Singapore Exchange Securities Trading Limited (“SGX-ST”) for the purpose of determining the aggregate number of shares that may be issued under sub-paragraph (1) above, the percentage of issued shares, excluding treasury shares, shall be based on the total number of issued shares, excluding treasury shares, of the Company at the time this Ordinary Resolution is passed, after adjusting for:
(i) new shares arising from the conversion or exercise of any convertible securities or share options or vesting of share awards which are outstanding or subsisting at the time this Ordinary Resolution is passed; and
(ii) any subsequent bonus issue, consolidation or subdivision of shares;
(3) in exercising the authority conferred by this Ordinary Resolution, the Company shall comply with the provisions of the Listing Manual of SGX-ST for the time being in force (unless such compliance has been waived by SGX-ST) and the Constitution for the time being of the Company; and
(4) (unless revoked or varied by the Company in general meeting) the authority conferred by this Ordinary Resolution shall continue in force until the conclusion of the next annual general meeting (“AGM”) of the Company or the date by which the next AGM of the Company is required by law to be held, whichever is the earlier.
6. That approval be and is hereby given to the Directors to offer and grant options in accordance with the provisions of the HL Global Enterprises Share Option Scheme 2006 (the “SOS”) and to allot and issue from time to time such number of shares of the Company as may be required to be issued pursuant to the exercise of the options granted under the SOS, provided that the aggregate number of shares to be issued pursuant to the SOS shall not exceed 15% of the total number of issued shares of the Company from time to time, and provided further that the aggregate number of shares to be issued to certain categories of participants of the SOS collectively and individually during the entire operation of the SOS (subject to adjustments, if any, made under the SOS) shall not exceed such limits or (as the case may be) sub-limits as may be prescribed in the SOS.
C. To Transact Any Other Ordinary Business
BY ORDER OF THE BOARD
Yeo Swee Gim, Joanne
Company Secretary
Singapore, 4 June 2020
Explanatory Notes:
1. With reference to item 2 of the Ordinary Business above, the Directors’ Fees of $205,644 for FY 2019 will be payable upon approval of the shareholders at the Meeting. The structure of fees payable to Directors for FY 2019 can be found on page 23 of the Annual Report 2019.
2. With reference to item 3(a) of the Ordinary Business above, Ms Loo Hwee Fang will, upon re-election as a Director of the Company, remain as the Chairman of the Nominating Committee (“NC”), and a member of the Audit and Risk Committee (“ARC”), Remuneration Committee (“RC”) and SOS Committee. Ms Loo is considered an Independent Non-Executive Director of the Company.
Key information on Ms Loo is found on pages 7 and 127 to 129 of the Annual Report 2019.
3. With reference to item 3(b) of the Ordinary Business above, Mr Andrew Goh Kia Teck will, upon re-election as a Director of the Company, remain as the Lead Independent Director, Chairman of the ARC, RC and SOS Committee, and as a member of the Executive Committee and NC. Mr Goh is considered an Independent Non-Executive Director of the Company.
Key information on Mr Goh is found on pages 7 and 127 to 129 of the Annual Report 2019.
4. The Ordinary Resolution set out in item 5 of the Special Business above, if passed, will empower the Directors of the Company from the date of the Meeting until the next AGM (unless such authority is revoked or varied at a general meeting) to issue shares and/or make or grant Instruments that might require new shares to be issued up to a number not exceeding 100% of the total number of issued shares, excluding treasury shares, of the Company, of which up to 20% may be issued other than on a pro rata basis to shareholders. The aggregate number of shares which may be issued under this Ordinary Resolution will be calculated based on the total number of issued shares, excluding treasury shares, of the Company at the time that this Ordinary Resolution is passed, after adjusting for new shares arising from the conversion or exercise of any convertible securities or share options or vesting of share awards which are outstanding or subsisting at the time this Ordinary Resolution is passed and any subsequent bonus issue, consolidation or subdivision of shares.
On 8 April 2020, SGX RegCo issued a news release which introduced measures to support issuers, amid the challenging business and economic climate due to COVID-19, including enabling the acceleration of fund-raising efforts by allowing Mainboard issuers to seek a general mandate for an issue of shares and convertible securities of up to an aggregate of 100% of its issued shares (excluding treasury shares and subsidiary holdings), versus up to 50% previously (the “Enhanced Share Issue Limit”), of which the aggregate number of shares and convertible securities issued other than on a pro rata basis remains at not more than 20% to shareholders. The Enhanced Share Issue Limit may be renewed at the 2021 AGM and is only valid until 31 December 2021, by which date any shares issued pursuant to the Enhanced Share Issue Limit must be listed, and no further shares may be issued under this limit.
The Company is proposing to avail itself to the Enhanced Share Issue Limit and accordingly is seeking shareholders’ approval for the same at the Meeting. The Board of Directors is of the view that it would be in the interests of the Company and its shareholders to do so in the event that circumstances evolve before the 2021 AGM amid the COVID-19 situation to such an extent that a 50% limit for *pro rata* issue of shares is not sufficient to meet the Company’s needs. Under such circumstances, fund raising efforts would be unnecessarily hampered and compromised in view of the time needed to obtain shareholders’ approval for the issue of shares above the 50% threshold.
5. The Ordinary Resolution set out in item 6 of the Special Business above, if passed, will empower the Directors to offer and grant options in accordance with the SOS and to issue from time to time such number of shares of the Company pursuant to the exercise of such options under the SOS subject to such limits or sub-limits as prescribed in the SOS. *(see note below on voting restrictions)*
*Voting restrictions pursuant to Rules 859 and 860 of the Listing Manual of SGX-ST:*
Please note that if a shareholder is eligible to participate in the SOS (including a director and/or employee of the Company and its subsidiaries and its designated parent company, Hong Leong Investment Holdings Pte. Ltd., and its subsidiaries), he should abstain from voting at the Meeting in respect of the Ordinary Resolution set out in item 6 in relation to the SOS, and accordingly should not appoint the Chairman of the Meeting to vote on his behalf.
**Meeting Notes:**
1. The Meeting is being convened, and will be held, by electronic means pursuant to the COVID-19 (Temporary Measures) (Alternative Arrangements for Meetings for Companies, Variable Capital Companies, Business Trusts, Unit Trusts and Debenture Holders) Order 2020. Printed copies of this Notice will not be sent to members, instead, this Notice will be made available to members by electronic means via publication on the Company’s website at URL [http://www.hlge.com.sg/index.php/investor-relations/agm](http://www.hlge.com.sg/index.php/investor-relations/agm). This Notice will also be made available on the SGX website at the URL [https://www.sgx.com/securities/company-announcements](https://www.sgx.com/securities/company-announcements).
2. Alternative arrangements relating to the attendance at the Meeting via electronic means (including arrangements by which the Meeting can be electronically accessed via live audio-visual webcast or live audio-only stream), submission of questions to the Chairman of the Meeting in advance of the Meeting, addressing of substantial and relevant questions at the Meeting and voting by appointing the Chairman of the Meeting as proxy at the Meeting, are set out in the accompanying Company’s announcement dated 4 June 2020. The announcement may be accessed at the Company’s website at URL [http://www.hlge.com.sg/index.php/investor-relations/agm](http://www.hlge.com.sg/index.php/investor-relations/agm) and will also be made available on the SGX website at the URL [https://www.sgx.com/securities/company-announcements](https://www.sgx.com/securities/company-announcements).
3. Due to the current COVID-19 restriction orders in Singapore, a member will not be able to attend the Meeting in person. A member (whether individual or corporate) must appoint the Chairman of the Meeting as his/her/its proxy to attend, speak and vote on his/her/its behalf at the Meeting if such member wishes to exercise his/her/its voting rights at the Meeting. The accompanying Proxy Form for the Meeting may be accessed at the Company’s website at the URL [http://www.hlge.com.sg/index.php/investor-relations/agm](http://www.hlge.com.sg/index.php/investor-relations/agm), and also be made available at the SGX website at the URL [https://www.sgx.com/securities/company-announcements](https://www.sgx.com/securities/company-announcements).
Where a member (whether individual or corporate) appoints the Chairman of the Meeting as his/her/its proxy, he/she/it must give specific instructions as to the voting, or abstentions from voting, in respect of a resolution in the form of proxy, failing which the appointment of the Chairman of the Meeting as proxy for that resolution will be treated as invalid.
CPF or SRS investors who wish to appoint the Chairman of the Meeting as proxy should approach their respective CPF Agent Banks or SRS Operators to submit their votes by 5.00 p.m. on 16 June 2020.
4. The Chairman of the Meeting, as proxy, need not be a member of the Company.
5. The form appointing the Chairman of the Meeting as proxy must be submitted to the Company in the following manner:
(i) if submitted by post, be lodged with the Company, HL Global Enterprises Limited at 10 Anson Road, #19-08 International Plaza, Singapore 079903; or
(ii) if submitted electronically, via email to the Company at email@example.com.
in either case, at least 48 hours before the time for holding the Meeting.
A member who wishes to submit an instrument of proxy must complete and sign the proxy form, before submitting it by post to the address provided above, or before scanning and sending it by email to the email address provided above.
In view of the current COVID-19 situation and the related safe distancing measures which may make it difficult for members to submit completed proxy forms by post, members are strongly encouraged to submit completed proxy forms electronically via email.
6. The Annual Report 2019 (and updated Analysis of Shareholdings as at 18 May 2020) is available on the Company’s website at the URL http://www.hlge.com.sg/index.php/investor-relations/agm. The “Analysis of Shareholdings as at 18 May 2020” are updates to pages 125 and 126 of the Annual Report 2019 respectively.
**Personal data privacy:**
By (a) submitting a form appointing the Chairman of the Meeting as proxy to attend, speak and vote at the Meeting and/or any adjournment thereof, or (b) submitting details for the registration to observe the proceedings of the Meeting via a “live” audio-visual webcast or a “live” audio-only stream (via telephone), or (c) submitting any question prior to the Meeting in accordance with this Notice, a member of the Company consents to the collection, use and disclosure of the member’s personal data by the Company (or its agents or service providers) for the following purposes:
(i) processing and administration by the Company (or its agents or service providers) of the appointment of the Chairman of the Meeting as proxy for the Meeting (including any adjournment thereof) and the preparation and compilation of the attendance lists, proxy lists, minutes and other documents relating to the Meeting (including any adjournment thereof);
(ii) processing of the registration for purpose of granting access to members (or their corporate representatives in the case of members which are legal entities) to observe the proceedings of the Meeting and providing them with any technical assistance where necessary;
(iii) addressing relevant and substantial questions from members received before the Meeting and if necessary, following up with the relevant members in relation to such questions; and
(iv) enabling the Company (or its agents or service providers) to comply with any applicable laws, listing rules, take-over rules, regulations and/or guidelines by the relevant authorities.
IMPORTANT:
Alternative arrangements for Annual General Meeting ("Meeting")
1. The Meeting is being convened, and will be held by electronic means pursuant to the COVID-19 (Temporary Measures) (Alternative Arrangements for Meetings for Companies, Variable Capital Companies, Business Trusts, Unit Trusts and Debenture Holders) Order 2020. Printed copies of the Notice of Meeting will not be sent to members. Instead, the Notice of Meeting will be made available to members by electronic means via publication on the Company’s website at the URL http://www.hlge.com.sg/index.php/investor-relations/agm. The Notice of Meeting will also be made available on the SGX website at the URL https://www.sgx.com/securities/company-announcements.
2. Alternative arrangements relating to attendance at the Meeting via electronic means (including arrangements by which the Meeting can be electronically accessed via live audio-visual webcast) will be made available to members. Questions to the Chairman at the Meeting in advance of the Meeting, addressing of substantial and relevant questions at the Meeting and voting by appointing the Chairman of the Meeting as proxy at the Meeting, are set out in the accompanying Company’s announcement dated 4 June 2020. The announcement may be accessed at the Company’s website at the URL http://www.hlge.com.sg/index.php/investor-relations/agm and will also be made available on the SGX website at the URL https://www.sgx.com/securities/company-announcements.
3. Due to the current COVID-19 restriction orders in Singapore, a member will not be able to attend the Meeting in person. A member (whether individual or corporate) must appoint the Chairman of the Meeting as his/her/its proxy to attend, speak and vote on his/her/its behalf at the Meeting if such member wishes to exercise his/her/its voting rights at the Meeting.
4. Please read the notes overleaf which contain instructions on, inter alia, the appointment of the Chairman of the Meeting as a member’s proxy to attend, speak and vote on his/her/its behalf at the Meeting.
CPF/SRS Investors
5. CPF/SRS investors who wish to appoint the Chairman of the Meeting as proxy should approach their respective CPF Agent Banks/SRS Operators to submit their votes by 5.00 p.m. on 16 June 2020.
Personal Data
6. By submitting a form appointing the Chairman of the Meeting as proxy, the member accepts and agrees to the personal data privacy terms set out in the Notice of Meeting dated 4 June 2020.
I/We, (name) __________________________________________ with NRIC/Passport/Co. Reg. No.: ________________________________
of (address) _______________________________________________________
being a member/members of HL GLOBAL ENTERPRISES LIMITED (the “Company”), hereby appoint:
the Chairman of the Meeting
as my/our proxy to attend, speak and vote for me/us on my/our behalf at the Fifty-Seventh Annual General Meeting of the Company (the “Meeting”) to be convened and held by way of electronic means on Friday, 26 June 2020 at 2.00 p.m., and at any adjournment thereof.
I/We have indicated with an ‘X’ in the appropriate box against each item below how I/we wish the Chairman of the Meeting as my/our proxy to vote, or to abstain from voting.
NOTE: Voting on all resolutions will be conducted by poll. If you wish the Chairman of the Meeting as your proxy to cast all your votes “For” or “Against” a resolution, please indicate with an ‘X’ in the “For” or “Against” box provided in respect of that resolution. Alternatively, please indicate the number of votes “For” or “Against” in the “For” or “Against” box provided in respect of that resolution. If you wish the Chairman of the Meeting as your proxy to abstain from voting on a resolution, please indicate with an “X” in the “Abstain” box provided in respect of that resolution. Alternatively, please indicate the number of shares that the Chairman of the Meeting as your proxy is directed to abstain from voting in the “Abstain” box provided in respect of that resolution. In the absence of specific directions in respect of a resolution, the appointment of the Chairman of the Meeting as your proxy for that resolution will be treated as invalid.
| No. | Resolutions | For | Against | Abstain |
|-----|------------------------------------------------------------------------------|-----|---------|--------|
| A. | ORDINARY BUSINESS: | | | |
| 1. | Adoption of the Directors’ Statement and Audited Financial Statements together with the Auditor’s Report thereon | | | |
| 2. | Approval of Directors’ Fees | | | |
| 3. | Re-election of Directors: | | | |
| | (a) Ms Loo Hwee Fang | | | |
| | (b) Mr Andrew Goh Kia Teck | | | |
| 4. | Re-appointment of Ernst & Young LLP as Auditor | | | |
| B. | SPECIAL BUSINESS: | | | |
| 5. | Authority for Directors to issue shares and/or make or grant offers, agreements or options pursuant to Section 161 of the Companies Act, Chapter 50 of Singapore and the Listing Manual of Singapore Exchange Securities Trading Limited | | | |
| 6. | Authority for Directors to offer and grant options and to issue shares in accordance with the provisions of the HL Global Enterprises Share Option Scheme 2006 | | | |
Dated this ________ day of ___________________________ 2020
Total No. of Shares Held
Signature(s) or Common Seal of Member(s)
NOTES: SEE OVERLEAF
NOTES:
1. Please insert the total number of shares held by you. If you have shares entered against your name in the Depository Register (maintained by The Central Depository (Pte) Limited), you should insert that number of shares. If you have shares registered in your name in the Register of Members (maintained by or on behalf of the Company), you should insert that number of shares. If you have shares entered against your name in the Depository Register and shares registered in your name in the Register of Members, you should insert the aggregate number of shares. If no number is inserted, this form of proxy will be deemed to relate to all the shares held by you.
2. Due to the current COVID-19 restriction orders in Singapore, a member will not be able to attend the Meeting in person. A member (whether individual or corporate) must appoint the Chairman of the Meeting as his/her/its proxy to attend, speak and vote on his/her/its behalf at the Meeting if such member wishes to exercise his/her/its voting rights at the Meeting. This proxy form may be accessed at the Company’s website at the URL http://www.hlge.com.sg/index.php/investor-relations/ann, and will also be made available on the SGX website at the URL https://www.sgx.com/securities/company-announcements/. Where a member (whether individual or corporate) appoints the Chairman of the Meeting as his/her/its proxy, he/she/it must give specific instructions as to voting, or abstentions from voting, in respect of a resolution. If the form of proxy, failing which the appointment of the Chairman of the Meeting as proxy for that resolution will be treated as invalid.
CPF/SRS investors who wish to appoint the Chairman of the Meeting as proxy should approach their respective CPF Agent Banks or SRS Operators to submit their votes by 5.00 p.m. on 16 June 2020.
3. The Chairman of the Meeting, as proxy, need not be a member of the Company.
4. The form appointing the Chairman of the Meeting as proxy must be submitted to the Company in the following manner:
(a) if submitted by post, be deposited at the office of the Company, HL Global Enterprises Limited at 10 Anson Road, #19-08 International Plaza, Singapore 079903; or
(b) if submitted electronically, be submitted via email to the Company at firstname.lastname@example.org.
in either case not less than 48 hours before the time appointed for holding the Meeting.
A member who wishes to submit a form of proxy must first download, complete and sign the proxy form, before submitting it by post to the address provided above, or before scanning and sending it by email to the email address provided above.
In view of the current COVID-19 situation and the related safe distancing measures which may make it difficult for members to submit completed proxy forms by post, members are strongly encouraged to submit completed proxy forms electronically via email.
5. The form appointing the Chairman of the Meeting as proxy must be signed by the appointor or his attorney duly authorized in writing. Where the form appointing the Chairman of the Meeting as proxy is executed by a corporation, it must be executed either under its seal or signed by a director or an officer or an attorney duly authorized.
6. The Company shall be entitled to reject the form of proxy if it is incomplete, improperly completed, illegible or where the true intentions of the appointor are not ascertainable from the instructions of the appointor specified in the form of proxy (including any related attachment). In addition, in the case of a member whose shares are entered in the Depository Register, the Company may reject any form of proxy lodged if the member, being the appointor, is not shown to have shares entered against his name in the Depository Register as at 72 hours before the time appointed for holding the Meeting, as certified by The Central Depository (Pte) Limited to the Company.
ARRANGEMENTS FOR THE ANNUAL GENERAL MEETING (“AGM”) TO BE HELD ON 26 JUNE 2020 (IN FAQ FORMAT)
A THE AGM
A1 Why is the Company convening the AGM during the COVID-19 pandemic?
The Company has to continue to observe its statutory and regulatory obligations. It has however availed itself of recent rules and measures that allowed for a delayed AGM in view of the pandemic. The AGM will now be convened and held by way of electronic means on Friday, 26 June 2020 at 2.00 p.m. (Singapore time). Please click on the “Notice of AGM” hyperlink at URL: http://www.hlge.com.sg/index.php/investor-relations/agm for full details.
A2 Will there be a financial presentation scheduled for this AGM?
No, there will not be any financial presentation at the AGM.
B ATTENDANCE AT THE AGM
B1 Are shareholders able to attend the AGM in person?
No, shareholders are not allowed to attend the AGM in person, following the strict social distancing measures imposed by the Government.
B2 How can I participate in the AGM if I am not allowed to attend in person?
If you have pre-registered to observe and/or listen to the AGM proceedings and have been authenticated following by the Company’s verification process, you will be provided with a login user ID and password to access a ‘live’ audio-visual webcast or a toll-free telephone number for an audio only stream of the AGM proceedings. Please refer to the FAQ on “Accessing the ‘live’ AGM proceedings” below.
B3 How can I ask questions about the Annual Report 2019 if I am not allowed to attend the AGM in person?
You can submit questions relating to the Annual Report 2019 to a dedicated email or mailing address in advance of the AGM. Please refer to the FAQ on “Questions from shareholders” below for more details.
B4 What if the COVID-19 situation improves before the day of the AGM? Will I be allowed to attend the AGM in person at that point?
Unfortunately, the Company needs to prepare for the AGM logistics based on circumstances prevailing as at the latest practicable time before the issue of its Notice of AGM. Hence, you will not be able to attend in person even if the situation improves by the AGM date.
C QUESTIONS FROM SHAREHOLDERS
C1 Can I ask questions at the AGM?
No, you will not be able to ask questions during the ‘live’ AGM, and therefore it is important for you to submit your questions in advance of the AGM. You can submit your question(s) relating to the Annual Report 2019 and resolutions to be tabled for approval at the AGM to the Chairman of the Meeting, in advance of the AGM, in the following manner:
(a) By email to email@example.com; or
(b) By post to HL Global Enterprises Limited, 10 Anson Road, #19-08 International Plaza, Singapore 079903.
All questions must be submitted and reach us by 19 June 2020.
In view of the current COVID-19 situation and the related safe distancing measures which may make it difficult for shareholders to submit questions by mail, you are strongly encouraged to submit your questions via email. We wish to highlight that the Company will address only substantial and relevant questions, primarily relating to the Annual Report 2019 and the other AGM agenda items set out in the Notice of AGM.
C2 Is there a cut-off date to submit questions for the AGM?
All questions must be submitted and reach us by 19 June 2020. We regret that we are unable to address questions received after the cut-off date.
C3 Would all questions be answered?
The Company will endeavour to address substantial and relevant questions relating to the Annual Report 2019 and the other AGM agenda items set out in the Notice of AGM. The responses to these substantial and relevant questions will be published on the Company’s website at the URL http://www.hlge.com.sg/index.php/investor-relations/agm and will also be made available on the SGX website at the URL https://www.sgx.com/securities/company-announcements by 26 June 2020.
C4 Do I need to identify myself when posing questions (email or by mail) to the Company?
Yes, please provide:
• your full name as it appears on your CDP/CPF/SRS/Scrip share records,
• your address,
• number of shares held, and
• the manner in which you hold shares in the Company (e.g., via CDP, CPF or SRS, or scrip based).
The Company will not be able to answer your questions if it is unable to verify your shareholder status.
D PRE-REGISTRATION FOR THE ‘LIVE’ AUDIO-VISUAL WEBCAST OR AUDIO ONLY ‘LIVE’ STREAM OF AGM PROCEEDINGS
D1 Who can pre-register?
Only members whose names appear on the Company’s Register of Members/CDP Depository Register/CPF & SRS agent bank’s lists as at 23 June 2020 can pre-register for the ‘live’ AGM proceedings and/or listen to the ‘live’ audio-only stream.
Registrations that do not meet this requirement will be rejected during the verification stage.
D2 How do I register?
Step 1: Access the URL: https://www.meetings.vision/hlge-agm-registration
Step 2: Click on the “Register for Audio-Visual” button if you wish to watch and listen to a ‘live’ video feed of the AGM proceedings OR Click on the “Register for Audio Only” button if you wish to phone in and only listen to the AGM proceedings.
Step 3: Complete the information required on the registration page and click “Preview”.
Step 4: Review your input and ensure it is accurate before clicking “Submit”.
Step 5: After you click “Submit”, an acknowledgement of your registration will appear on the registration page, followed by an acknowledgement sent to your email address.
Notes:
1. If you do not receive an email acknowledgement after your registration, it means your pre-registration is not successful. Please check your spam/junk email folder or try again.
2. If you hold shares through a relevant intermediary as defined in Section 181 of the Companies Act, Chapter 50 of Singapore (e.g. nominee companies), you are not able to pre-register online. Please contact your respective relevant intermediaries for assistance.
3. If we are unable to verify your shareholder status following your pre-registration, you will receive an email notification by 3.00 p.m. on 25 June 2020 informing you of this. Please contact the Company at firstname.lastname@example.org, or alternatively at +65 6324 9500 between 3.00 p.m. and 5.30 p.m. on 25 June 2020 and between 10.00 a.m. and 12.00 noon on 26 June 2020 if you have any questions.
4. Once you have been verified as a shareholder, an email (Confirmation Email) will be sent to you by 3.00 p.m. on 25 June 2020 with your login user ID and password and the link to access the ‘live’ audio visual webcast or toll-free telephone number, meeting ID and password to call for the audio-only stream. Shareholders who do not receive the
Confirmation Email by 3.00 p.m. on 25 June 2020, but have registered by the 24 June 2020 deadline and have not been informed of an unsuccessful registration should contact the Company at email@example.com, or alternatively at +65 6324 9500 between 3.00 p.m. and 5.30 p.m. on 25 June 2020 and between 10.00 a.m. and 12.00 noon on 26 June 2020.
D3 When can I start to pre-register for the ‘live’ AGM proceedings?
You can start your pre-registration from 9.00 a.m. on 4 June 2020.
D4 Is there a closing date for pre-registration?
Yes, please complete your pre-registration before 2.00 p.m. on 24 June 2020.
D5 Can I pre-register another person to watch the ‘live’ audio-visual webcast and/or listen to the ‘live’ audio-only stream?
No. The AGM is a private event. Only shareholders of the Company will be able to register for the ‘live’ AGM proceedings.
D6 What information do I need to provide for the pre-registration?
You must provide the following information, failing which we will not be able to register you:
- Name as per CDP/CPF/SRS/Scrip-based records
- Email Address
- Shareholding Type (How your shares are held)
- NRIC or Passport Number
- Telephone Number
For Joint account holders, please register both names. However, only one NRIC/Passport number and email address is required.
D7 Why do I need to provide my full NRIC/Passport number?
This will enable the Company to verify that you are a shareholder.
D8 When will I receive the login credentials for the ‘live’ audio-visual webcast or audio only ‘live’ stream?
Authenticated shareholders will receive a Confirmation Email by 3.00 p.m. on 25 June 2020. The email will contain:
- Login user ID and password and a URL link to view the ‘live’ webcast (for those who opted for audio-visual at pre-registration)
- A toll-free telephone number, meeting ID and password to access the audio only stream (for those who opted for ‘live’ audio-only stream at pre-registration)
Shareholders who do not receive the Confirmation Email by 3.00 p.m. on 25 June 2020 but have registered by the 24 June 2020 deadline should contact the Company at firstname.lastname@example.org, or alternatively at +65 6324 9500 between 3.00 p.m. and 5.30 p.m. on 25 June 2020 and between 10.00 a.m. and 12.00 noon on 26 June 2020.
D9 What happens if the Company cannot verify my shareholder status?
You will receive an email by 3.00 p.m. on 25 June 2020 notifying you that we are unable to verify your shareholder status, and therefore, you will not be able to access the ‘live’ AGM proceedings. Please contact the Company at email@example.com, or alternatively at +65 6324 9500 between 3.00 p.m. and 5.30 p.m. on 25 June 2020 and between 10.00 a.m. and 12.00 noon on 26 June 2020, if you have any questions.
D10 If I hold shares via a securities sub-account in a depository agent (e.g. a nominee company), can I register for the ‘live’ AGM proceedings?
You should contact the relevant intermediary through which you hold such shares as soon as possible in order to make the necessary arrangements for access for your participation in the ‘live’ AGM proceedings.
D11 I am a relevant intermediary as defined in Section 181 of the Companies Act, Chapter 50 of Singapore. How do I register my beneficial shareholders for the ‘live’ AGM proceedings?
Please email to the Company at firstname.lastname@example.org immediately for a copy of the Excel template for completion. Upon receipt of this Excel template, please input your list of beneficial shareholders’ details into the respective fields and return the completed template to email@example.com latest by 2.00 p.m. on 24 June 2020.
A confirmation email containing the login user ID and password and URL link to view the ‘live’ audio-visual webcast or toll-free telephone number, meeting ID and password to call for the audio-only stream (depending on the preferred option) will be emailed to each beneficial shareholder by 3.00 p.m. on 25 June 2020.
E ACCESSING THE ‘LIVE’ AGM PROCEEDINGS
E1 I have received the confirmation email. What should I do next?
The AGM commences at 2.00 p.m. sharp on 26 June 2020.
Audio-visual option
• For shareholders who have opted for the audio-visual ‘live’ webcast, you may access the URL link indicated in your confirmation email from 1.50 p.m. onwards.
• Key in your personal login user ID and password when prompted.
• The AGM will commence at 2.00 p.m.
Audio Only Option
• Call the toll-free telephone number indicated on your confirmation email and enter the meeting ID and password when prompted to do so.
• Specify your name clearly when prompted.
• The telephone line will be open from 1.50 p.m. onwards. You will be put on hold until the AGM commences at 2.00 p.m. sharp.
E2 Can I watch the ‘live’ audio-visual webcast from my mobile phone?
Yes, you can watch the ‘live’ audio-visual webcast from any device as long as
• Your browser is HTML5-compatible (e.g. Microsoft Edge, Chrome, Firefox)
• You have a stable WIFI connection or LAN connection
• You have a connection speed of at least 1.8mbps to watch the webcast in 480p or a connection speed of at least 2.5mbps to watch the webcast in 720p.
E3 Can I ask questions during the ‘live’ audio-visual webcast or through the audio only stream?
No, both the ‘live’ audio-visual webcast and audio only stream allow you to view/listen or listen to the AGM proceedings respectively. There is no online interaction.
All questions must reach us by 19 June 2020. Please refer to the FAQ on “Questions from shareholders” under C above for submission of questions.
E4 Do I need to pre-register to watch/listen to the AGM proceedings?
Yes. Please refer to the FAQ on “Pre-Registration for the ‘live’ audio-visual webcast or audio only ‘live’ stream of AGM proceedings” under D above for details. You may also access the URL: https://www.meetings.vision/hlge-agm-registration and click “Register for Audio-Visual” or “Register for Audio-Only” to perform your pre-registration immediately.
F VOTING ON THE RESOLUTIONS TABLED FOR APPROVAL AT THE AGM
F1 Since I am not able to attend the AGM, how can I exercise my votes?
You will not be able to vote online. If you wish to vote on the resolutions to be tabled for approval at the AGM, you must complete the proxy form to appoint the Chairman of the Meeting as your proxy to vote on your behalf.
You must give specific instructions as to voting, or abstentions from voting, in respect of each resolution in the proxy form, failing which the appointment of the Chairman of the Meeting as proxy for any resolution without specific instructions will be treated as invalid.
F2 Where can I find the proxy form?
Please access the URL: http://www.hlge.com.sg/index.php/investor-relations/agm and click on the “Proxy Form” hyperlink under the caption “57th Annual General Meeting” to download the proxy form.
F3 Can I email or post my completed proxy form?
You may do so either way.
By post or lodged at the office of the Company, HL Global Enterprises Limited at 10 Anson Road, #19-08 International Plaza, Singapore 079903.
Alternatively, please email the completed proxy form to the Company at firstname.lastname@example.org.
Completed proxy forms sent by post or email must reach the Company by 2.00 p.m. on 24 June 2020. We regret that incomplete or incorrectly completed proxy forms will be rejected.
In view of the current COVID-19 situation and the related safe distancing measures which may make it difficult to submit completed proxy forms by post, you are strongly encouraged to submit completed proxy forms by email.
F4 In view of the COVID-19 situation, is there flexibility in accepting proxy forms that are submitted late?
No, proxy forms received after 2.00 p.m. on 24 June 2020 will be rejected.
F5 My shares are held through a relevant intermediary as defined in Section 181 of the Companies Act, Chapter 50 of Singapore. How do I exercise my votes?
Please approach your relevant intermediary as soon as possible to inform them of your voting instructions.
F6 I am a relevant intermediary as defined in Section 181 of the Companies Act, Chapter 50 of Singapore. How can I help my beneficial shareholders exercise their votes?
Please collate all the votes from your beneficial shareholders and complete the proxy form appointing the Chairman of the Meeting as proxy to vote in accordance with the beneficial shareholders’ instructions.
Ensure you complete the proxy form indicating your beneficial shareholders’ specific instructions as to voting, or abstentions from voting, in respect of a resolution in the proxy form, failing which the appointment of the Chairman of the Meeting as proxy for that resolution will be treated as invalid.
Please refer to FAQ under F2 and F3 above for location and submission of proxy forms to the Company.
F7 My shares are held through a CPF/SRS agent bank. How can I exercise my votes?
Please approach your agent bank before 5.00 p.m. on 16 June 2020 and liaise with them regarding the exercise of your votes.
F8 I am a CPF/SRS agent bank and I have been approached by CPF/SRS investors who wish to exercise their votes on their shares. What do I need to do?
Please collate all the votes from your CPF/SRS investors and complete the proxy form appointing the Chairman of the Meeting as proxy to vote in accordance with the CPF/SRS investors’ instructions.
Ensure you complete the proxy form indicating your CPF/SRS investors’ specific instructions as to voting, or abstentions from voting, in respect of a resolution in the proxy form, failing which the appointment of the Chairman of the Meeting as proxy for that resolution will be treated as invalid.
Please refer to FAQ under F2 and F3 above for location and submission of proxy forms to the Company.
G GENERAL
G1 If there are any changes to the AGM, how would I know?
Due to the constantly evolving COVID-19 situation in Singapore, the Company may be required to change its arrangements for the AGM at short notice. Please check the SGX website and the Company’s website for the latest updates.
|
Public Meeting
October 26, 2017
Board Room – Police Headquarters
1:00 PM
1. Call to Order
2. Declarations of Interest under the Municipal Conflict of Interest Act.
3. Confirmation of the Minutes from the meeting held on September 21, 2017 and the Budget Committee meeting held on October 5, 2017.
Swearing-In Proceedings:
4. Order in Council No. 1821/2017 dated September 13, 2017
Re: Appointment to the Board – Neelakshi Uppalawanna Chandrasekera Chong
4.1 Chair Andy Pringle will administer the oath of office and the oath of secrecy to Ms. Chandrasekera Chong
Presentations
5. Monthly Statistical Briefing
As part of The Way Forward Recommendation 17, the Monthly Statistical Briefing is intended to contribute to improving public understanding of policing, improve transparency and enhance confidence through the sharing of public safety information. Within this briefing is a city-wide overview of statistical indicators, year over year comparisons, and most recent monthly geographic mapping of mental health related calls for service, Mental Health Act apprehensions, violent crime, traffic (tickets, collisions, and fatalities), and administrative information. The report can be accessed at this link.
Mr. Ian Williams, Manager, Business Intelligence & Analytics, STM, will deliver a presentation with regard to this report.
6. October 10, 2017 from Councillor Shelley Carroll, Chair, Toronto Police Services Board Budget Committee
Re: 2018 Budget Estimates
6.1 September 26, 2017 from Mark Saunders, Chief of Police
Re: Toronto Police Service 2018 - Operating Budget Request
6.2 September 26, 2017 from Mark Saunders, Chief of Police
Re: Toronto Police Service 2018-2027 Capital Program Request
6.3 September 26, 2017 from Mark Saunders, Chief of Police
Re: Toronto Police Service Parking Enforcement Unit - 2018 Operating Budget Request
6.4 September 25, 2017 from Andy Pringle, Chair
Re: Toronto Police Services Board - 2018 Operating Budget Request
Mr. Tony Veneziano, CAO will deliver a presentation with regard to the Toronto Police Service operating and capital budgets and the Parking Enforcement budget.
7. October 11, 2017 from Mark Saunders, Chief of Police
Re: Modernization Plan for Human Resources in Support of The Way Forward Implementation
Ms. Jeanette May, Director, Human Resources will deliver a presentation with regard to this report.
Click here to access a copy of the Toronto Police People Plan.
Items for Consideration
8. August 17, 2017 from Mark Saunders, Chief of Police
Re: Access to Historical Contact Data, Second Quarter, April to June 2017
8.1 October 13, 2017 from Regulated Interactions Review Panel
Re: Regulated Interactions Review Panel: Review of Chief’s Report – Access to Historical Contact Data, Second Quarter, April to June 2017
9. October 11, 2017 from Mark Saunders, Chief of Police
Re: Network Services
10. October 11, 2017 from Mark Saunders, Chief of Police
Re: Vendor of Record for Voice Radios
11. October 5, 2017 from Mark Saunders, Chief of Police
Re: Awarding of Contract Lansdowne Technologies Inc.
12. October 17, 2017 from Mark Saunders, Chief of Police
Re: Organizational Culture Assessment of the Toronto Police Service
Correspondence Arising from Previous Business
13. October 6, 2017 from Beverly Romeo-Beehler, Auditor General
Re: Compliance Audit of Service Governance – Procedure 04-14 – Regulated Interactions
Adjournment
Next Meeting
Date: Thursday, November 16, 2017
Time: 1:00 PM
Members of the Toronto Police Services Board
Andy Pringle, Chair
Chin Lee, Councillor & Vice-Chair
Shelley Carroll, Councillor & Member
Uppalawanna Chandrasekera, Member
Marie Moliner, Member
John Tory, Mayor & Member
Ken Jeffers, Member
Executive Council of Ontario
Order in Council
On the recommendation of the undersigned, the Lieutenant Governor of Ontario, by and with the advice and concurrence of the Executive Council of Ontario, orders that:
PURSUANT TO section 27 of the Police Services Act, as amended, Neelakshi Uppalawanna Chandrasekera Chong is appointed as a member of the Toronto Police Services Board for a period of three years, effective from the date of this Order in Council.
EN VERTU de l'article 27 de la Loi sur les services policiers, dans sa version modifiée, Neelakshi Uppalawanna Chandrasekera Chong est nommée membre de la Commission des services policiers de Toronto pour une période de trois ans prenant effet à la date du présent décret.
Recommended: Premier and President of the Council
Recommandé par: Première ministre et présidente du Conseil
Concurred: Chair of Cabinet
Appuyé par: Le président/la présidente du Conseil des ministres,
Approved and Ordered:
Apprové et décrété le: SEP 13 2017
Administrator of the Government
L'administrateur du gouvernement
O.C./Décret: 1821/2017
Monthly Statistical Briefing
As part of The Way Forward Recommendation 17, the Monthly Statistical Briefing is intended to contribute to improving public understanding of policing, improve transparency and enhance confidence through the sharing of public safety information. Within this briefing is a city-wide overview of statistical indicators, year over year comparisons, and most recent monthly geographic mapping of mental health related calls for service, Mental Health Act apprehensions, violent crime, traffic (tickets, collisions, and fatalities), and administrative information.
Toronto Police Services Board Report
October 10, 2017
To: Chair and Members
Toronto Police Services Board
From: Councillor Shelley Carroll
Chair, Toronto Police Services Board Budget Committee
Subject: 2018 Budget Estimates
Recommendation(s):
It is recommended that:
1. The Board approve the appended:
a) Toronto Police Service 2018 operating budget
b) Toronto Police Service 2018 to 2027 capital program,
c) Toronto Police Service 2018 Parking Enforcement Unit operating budget
d) Toronto Police Services Board 2018 operating budget requests; and,
2. The Board forward this report, and its attachments, to the City’s Budget
Committee for consideration and to the City’s Deputy City Manager and Chief
Financial Officer for information
Financial Implications:
The financial implications are set out in each of the four appended reports.
Background / Purpose:
The Toronto Police Services Board’s Budget Committee, comprised of Councillor
Shelley Carroll and Ms Marie Moliner, was mandated by the Board to review and make
recommendations with respect to the proposed operating and capital budgets of the
Toronto Police Service, Toronto Police Parking Enforcement Unit and Toronto Police
Services Board.
Discussion:
In an effort to enhance the transparency of its budget review process, the Budget Committee convened two public meetings. The first meeting, on September 19, 2017 was an opportunity for the community to receive a presentation about how the Toronto Police Service and Toronto Police Services Board’s budgets are constructed, including a high level presentation of the proposed 2018 budgets. This meeting was held as an information session with an opportunity for the community to ask questions about the budget process and about the proposed 2018 budgets. In advance of this meeting, background material was posted to the Toronto Police Service website and following the meeting, the responses to questions posed by the community were also posted at http://www.torontopolice.on.ca/budget/.
A formal meeting of the Budget Committee was held on October 5, 2018. The Committee received detailed presentations of the proposed budgets, considered deputations and, as a Committee asked questions of staff. After deliberating, the Budget Committee recommended that the Board approve all four of the appended budgets. The agenda for the Budget Committee was posted in advance at http://www.tpsb.ca/images/Agenda_October05.pdf.
**Conclusion:**
On behalf of the Budget Committee, I recommend that the Board approve the four appended budgets and that the Board forward this report, and its attachments, to the City’s Budget Committee for consideration and to the Deputy City Manager and Chief Financial Officer for information.
Respectfully submitted,
[Signature]
Councillor Shelley Carroll
Chair
Toronto Police Services Board Budget Committee
Toronto Police Services Board Report
September 26, 2017
To: Budget Committee
Toronto Police Services Board
From: Mark Saunders
Chief of Police
Subject: Toronto Police Service – 2018 Operating Budget Request
Recommendations:
It is recommended that:
(1) the Board Budget Committee approve the Toronto Police Service’s 2018 net operating budget request of $1,005.3 Million (M), a 0% increase over the 2017 approved budget; and
(2) the Budget Committee forward a copy of this report to the Board for approval.
Financial Implications:
The Toronto Police Service’s (Service) 2018 operating budget net request of $1,005.3M ($1,137.7M gross) is $0M or 0% above the 2017 approved budget, and marks the second year in a row that the Service has achieved a 0% increase.
The Service is in the process of transitioning to a new organizational structure that will enable, drive and transform the way policing services are delivered to the various diverse communities and neighbourhoods in the City.
The level of funding being requested in 2018 will ensure public safety services continue to be delivered and at the same time recognizes and helps address the fiscal challenges the City is facing.
A summary of the Service’s 2018 changes in the net operating budget request is provided in Table 1.
Table 1 - 2018 Summary of Changes
| | $M’s | $ change over 2018 Request | % change over 2017 Request |
|----------------------|--------|----------------------------|----------------------------|
| 2017 Net Budget | 1,005.3| | |
| 2018 Request | 1,005.3| | |
| Impact of 2018 Salary Settlement | | $17.4 | 1.7% |
| | $M’s | $ change over 2018 Request | % change over 2017 Request |
|--------------------------------|--------|----------------------------|---------------------------|
| Salary Requirements | | ($24.5) | (2.4%) |
| Premium Pay | | $2.7 | (0.3%) |
| Statutory Deductions and Benefits | | ($1.4) | (0.1%) |
| Reserve Contributions | | $6.4 | 0.6% |
| Other Expenditures | | $4.6 | 0.5% |
| Transformation Investments | | $3.9 | 0.4% |
| **2018 Gross Budget Increase**| | $9.1 | 0.9% |
| Revenues | | ($9.1) | (0.9)% |
| **2018 Net Budget Decrease** | | ($0.0) | (0.00%) |
**Background / Purpose:**
The purpose of this report is to provide the Toronto Police Service’s Board (Board) with the Service’s recommended 2018 operating budget request. The report includes information on the level of funding required in 2018 to support our mission of community safety.
The recommended request has been developed with a focus on achieving the 0% target established by the City, while still sustaining services to maintain adequate and effective policing.
**Discussion:**
This report contains the following sections:
- Managing the Toronto Police budget – Budget Drivers and Sustainable Savings
- Police Governance – Adequate and Effective Policing
- Transformational Task Force – Implications for the Operating Budget
- Changing Nature of Calls for Service
- Major Crime Indicators
- 2018 City Budget Direction
- 2018 Operating Budget Development Process
- 2018 Pressures Facing the Service and Actions to Reduce
- 2018 Operating Budget Request – Details
Managing the Toronto Police Budget – Budget Drivers and Sustainable Savings:
The 2018 operating budget request cannot be looked at strictly on its own. It must also be reviewed and considered in the context of previous years, and the action taken to sustainably reduce the Service’s funding envelope, as well as the on-going pressures the Service has and continues to face.
The Service’s net operating budget has increased by $219.1M since 2007, growing from $786.2M to $1,005.3M in 2018.
Table 2 summarizes budget increases between 2007 and 2018. Attachment A provides more detailed information with respect to the breakdown of the overall increases.
Table 2 – Summary of Year-Over-Year Change - Net Operating Budget ($Ms)
| | 2007 | 2008 | 2009 | 2010 | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 Req. |
|----------------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|------------|
| Net Budget | 786.2 | 822.0 | 854.8 | 888.2 | 930.4 | 935.7 | 936.4 | 965.5 | 980.3 | 1004.7 | 1005.3 | 1005.3 |
| $ Increase | 35.8 | 32.8 | 33.4 | 42.2 | 5.3 | 0.7 | 29.1 | 14.8 | 24.4 | 0.6 | 0.0 | |
| Total % increase | 4.6% | 4.0% | 3.9% | 4.8% | 0.6% | 0.1% | 3.1% | 1.5% | 2.5% | 0.1% | 0.0% | |
| Collective Agreement (% impact) | 3.1% | 2.0% | 3.2% | 3.4% | 2.5% | 2.7% | 2.9% | 1.9% | 2.3% | 1.7% | 1.7% | |
| Hiring (% Impact) | 0.6% | 0.2% | 0.4% | 0.0% | -1.0% | -1.1% | -0.2% | -0.2% | 0.4% | -2.4% | -2.4% | |
| Other (% impact) | 0.8% | 1.7% | 0.3% | 1.3% | -0.9% | -1.6% | 0.4% | -0.1% | -0.2% | 0.7% | 0.7% | |
Based on the above chart and the more detailed information in Attachment A:
• $250.4M of the total budget increase of $219.1M from 2007 to 2018 is attributable to salary and benefit increases that have arisen from negotiated and arbitrated collective agreement settlements between the Board and the Toronto Police Association (T.P.A.) and the Senior Officers’ Organization (S.O.O.). These significant increases are beyond the Service’s control.
• $57.7M in reductions relates to net staffing reductions from 2007 to 2018, with staffing reductions since 2010 more than offsetting an increase in staffing prior to 2010. Details on staffing reductions are explained later in the report in the section on Uniform and Civilian staffing strategies.
• Costs not attributable to the collective agreements and staffing levels have increased $26.5M since 2007. Examples of these non-salary accounts include caretaking/utilities, information system maintenance contracts, gasoline, telephones, uniforms and vehicle/communication equipment parts. Through a line by line review and action, overall increases were kept significantly below inflation. The non-salary changes from 2007 to 2018 average $2.4M annually over that period. Over the last several years, the Service has exercised a number of measures to manage the budget and effectively mitigate significant increases. This was done while continuing to provide public safety services as efficiently, effectively and economically as possible, in the face of changing demographics (e.g. aging population) and crime evolution (e.g. cyber, national security).
• The budget impact within the Service’s actual control, including reductions in staff and other costs, was below zero in many years. Reductions since 2012, were achieved through heightened resource and contract management, lower actual uniform and civilian staffing levels and premium pay reductions, and are summarized below:
o -1.9% (-$17.9M) in 2012;
o -2.7% (-$24.8M) in 2013;
o -0.3% (-$3.6M) in 2015; and
o -1.7% (-$16.7M) in 2017.
In 2014 and 2016, there were slight increases (0.2%) in each year.
**Police Governance – Adequate and Effective Policing:**
The Ontario *Police Services Act* (P.S.A.) outlines the principles by which policing services will be provided in Ontario. As a result, in order to ensure the safety and security of all persons and property in Ontario, municipalities are responsible for providing funds to enable adequate and effective policing, which must include, at a minimum, the following core services:
• Crime prevention;
• Law enforcement;
• Assistance to victims of crime;
• Public order maintenance; and
• Emergency response.
Under the P.S.A., a Board is required to submit the operating and capital estimates to municipal council that are required to “maintain the police force and provide it with equipment and facilities.”
In its role as the primary governance body for the Service, the Board is responsible for the provision of adequate and effective policing services in Toronto, working with the Chief of Police, to establish objectives and priorities with respect to policing services and establishing policies that ensure effective management within the Service.
In order to carry out this responsibility, the Board ensures that the Service consists of a Chief of Police and such other police officers and other employees as are required, and ensures that those officers and employees are provided with adequate equipment and facilities in order to execute their public safety mandate.
The 2018 operating budget submission to the Board Budget Committee is a responsible accumulation of expenditures that will maintain an average deployment of 4,870 uniform members in 2018, along with the essential infrastructure and direct and administrative support, that ensures public safety, as mandated in the P.S.A., is maintained. The Board and Service have collaborated on developing a new service delivery model through the Transformational Task Force (Task Force), and the 2018 budget request represents the funds required to transition the Service while maintaining its on-going public safety mandate.
**Transformational Task Force – Implications for the Operating Budget:**
With the release of the Task Force’s final report in January 2017 – *The Way Forward: Modernizing Community Safety in Toronto* (The Way Forward report), the Service will be moving forward with unprecedented changes. These changes will impact not only how our services are organized and delivered, but also how we budget to ensure that we get the most out of every dollar, and ensure that every dollar spent contributes to the goals of the Service.
The vision and recommendations in The Way Forward report provide for a new path forward. This vision is reflected in a newly planned community-centric service delivery model with three goals:
• Be where the public needs the Service the most;
• Embrace partnerships to create safe communities; and
Focus on the complex needs of a large city.
To achieve these goals, the Service will adopt a roadmap that will include changes in five major areas:
- How we relate to the public: focussing on safe communities and neighbourhoods;
- How we deliver our services: from primary to priority response;
- Access to services;
- Affordability and sustainability; and
- Culture change.
Over and above the core policing services that provide the framework for adequate and effective policing of the City, the above goals and strategies will determine where resources and efforts will be focused. Guided by these goals, the Service will continuously look for ways to improve the delivery of public safety within an affordable and sustainable financial envelope.
Quarterly updates are provided to the Board on the implementation of the business plan outlined by the Task Force. Current details can be found in a report - “The Way Forward Second Quarterly Implementation Update” that was received by the Board at its August 24, 2017 meeting (Min. No. P166/17 Refers).
Key accomplishments in 2017 include:
- A moratorium on hiring and promotions that will give the Service the time it needs to change outdated models and practices to make better use of existing officers and realign its resources to support a neighbourhood-centered approach to policing and other priorities;
- Return of two facilities no longer required by the Service to the City – these properties have a combined estimated fair market value of $4.5M and their return also resulted in a $250,000 operating budget reduction;
- Disbanding of TAVIS and Transit Patrol units and the redeployment of officers in those units to other Service priorities; and
- The start of a shift to a new district model.
Some initiatives planned for 2018 and the future include:
- Transition of the Lifeguard and the Crossing Guard Programs to City Divisions;
- Feasibility analysis of the potential to outsource Parking Enforcement and Court Services;
• Transformation and modernization of the Service’s Human Resource Function – People Plan and Restructuring;
• Development of the District Model with possible boundary changes and facility realignment;
• Centralization of Criminal Investigations Bureau (C.I.B.) within each district; and
• Proof of Concept for equipping front line officers with mobile technology – the Connected Officer.
Changing Nature of Calls For Service:
As first responders, police officers must deal with a number of diverse calls for service. Whether called to an incident involving a senior or person with mental health issues, officers must be equipped to handle these sometimes difficult situations. The Service must also remain proactive in the recognition of these special instances of calls. This requires increased training, support and resources to be made available to police to effectively carry out this mandate.
The changing challenges for the policing community underscore the need for the Service to continue adapting the way members interact with different segments of the public. The service delivery model will address community needs in a more proactive way, and the modernization of our human resources function will ensure our members have the right skill sets and competencies to perform their respective roles. However, the changing face of crime will also require investments in technology that, although expensive up front, will bring efficiencies into the Service and assist in the ability to respond to these challenges.
Major Crime Indicators:
Seven major crime indicators are used as a key barometer of crime within the City. All of these indicators can, and are used, to measure how safe a city is, which in turn, is one of the dynamics that impacts quality of life, entertainment, economic development, investment and tourism in a city. A safe city is therefore an important factor in terms of where people live, play, invest, do business and visit. Toronto is one of the safest cities in North America, and the Service has, and will continue to work hard with its community partners and other stakeholders to keep it that way.
Major crime rates decreased significantly from 2006 to 2016 (24% overall). However, in 2016 crime trends started to change. Table 3 below highlights that, overall, crime has increased by 3% in 2017 compared to 2016, which in turn was up by 3% over 2015 (as of August 31, 2017).
Table 3 - Major Crime Indicators - as at August 31st
| Offence | 2015 Total | 2016 Total | % Chg | 2017 Total | % Chg |
|-----------------------|------------|------------|-------|------------|-------|
| Murder | 35 | 53 | 51% | 35 | -34% |
| Sex Assault | 1,589 | 1,531 | -4% | 1,581 | 3% |
| Assault | 11,769 | 12,448 | 6% | 12,660 | 2% |
| Robbery | 2,303 | 2,472 | 7% | 2,618 | 6% |
| Break and Enter | 4,431 | 4,252 | -4% | 4,394 | 3% |
| Auto Theft | 2,029 | 2,124 | 5% | 2,271 | 7% |
| Theft Over | 682 | 677 | -1% | 754 | 11% |
| **Total** | **22,838** | **23,557** | **3%**| **24,313** | **3%**|
The table above shows that crime is down in only one of the seven categories - murder.
The 2018 operating budget request has been prepared with the objective of keeping the City safe, balancing this goal with the need to fund current public safety activities and deal with the changing nature of crime (e.g., cyber, national security), while transitioning to a modernized service delivery model that puts communities at its core.
2018 City Budget Direction:
In a memo from the Deputy City Manager and Chief Financial Officer (C.F.O.) to Division Heads and Heads of Agencies in May 2017, the C.F.O. outlined directions and guidelines for the 2018 budget with the aim of addressing the City’s estimated $343M operating budget shortfall.
To this end, City Council approved targets for all City Programs, Agencies and Accountability Officers to achieve a 0% net budget increase for the 2018 operating budget.
The original base budget increase for the Service was $37.6M over the 2017 approved budget. This meant various reduction strategies and management actions were required to reduce the budget by that amount to achieve the Council-approved target.
2018 Operating Budget Development Process:
In developing the 2018 operating budget, the Service took City guidelines and Council direction into consideration. The Service also incorporated the known actions required to enable the new roadmap for a modern Toronto Police Service, which will not only impact how services are organized and delivered, but the associated budget and demonstrated value for the dollars spent.
With the challenging financial environment and the roadmap for change as the guide, the Service applies a strategic and corporate view of the budget. Using the approved 2017 budget as the starting point, a number of actions were employed in order to find the reductions needed for 2018. These included:
- A review of historical spending trends and reduction of funds not historically spent;
• A flat-lining of certain discretionary spending;
• The consolidation of equipment and contracted services funds with central management based on Service priorities and goals;
• Funding cost increases to existing contracts or commitments from within existing budgets by decreasing the budget in other accounts to accommodate new pressures and priorities; and
• A reduction of the contribution to the modernization reserve with a plan to seek funding through year-end surplus funds.
The Service implemented an enhanced public participation model for the 2018 budget process. This new process was intended to improve transparency and accountability in the budget, consistent with the principles of The Way Forward report. In order to give the community earlier opportunities to engage in the budget process and to improve the information available to them, new and earlier checkpoints for public participation were incorporated into the review process.
Budget information has been posted on a budget webpage in a user-friendly format, and includes the following documents:
• Preliminary budget breakdown by unit for major expense categories, including a brief description of each unit;
• Service organizational chart with preliminary budget breakdown for each pillar and Command;
• Detailed line by line request for the Service; and
• Various other informative tools such as infographics on budget increases and source of funding, etc.
A link to the above-noted webpage was provided to the public one week in advance of a Community Information Session that was held on September 19, 2017. At the session, a presentation was made to provide an overview of budget components, as well as details on the 2018 budget request. This was followed by an opportunity for the community to ask questions regarding the budget, the answers to which will be posted on the website.
In addition, members of the public will have opportunities to attend and make deputations at both the public Board Budget Committee meeting of October 5, 2017 and the Board Meeting of October 26, 2017, where the Board Budget Committee and Board, respectively, will deliberate and approve the budget request.
In order to meet the City’s requirements, the review process for the Service budget also includes various meetings with City Finance staff, the City Manager, the C.F.O., as well as presentations at a City Budget Committee Informal Review and the City Budget Committee. Budget approval by Council is scheduled for its February 12 and 13, 2018 meeting.
2018 Pressures Facing the Service and Actions to Reduce:
Early in the budget process, preliminary net pressures on the 2018 budget were forecasted at $37.6M, for a net operating request of $1,042.9M, a 3.7% increase over the 2017 net approved budget. Table 4 shows these pressures, including those that are outside of the Service’s control, along with the actions taken to find savings and the final 2018 net operating budget request.
The 2018 preliminary budget estimate included the following:
- The impact of T.P.A. and S.O.O. collective agreement settlements;
- Bargained provisions that impact costs such as legal indemnifications, medical and dental benefits and retention pay;
- Anticipated increases/decreases in vendor contracts and revenue sources (e.g. fees);
- Pressures in mandatory accounts/statutory obligations;
- The application of economic factors and increases based on historical market trends and inflation rates; and
- Increases in contributions to reserves to address projections of reserve deficits.
It is important to note that the preliminary pressures did not include any new initiatives or investments other than the contribution to a modernization reserve of $3.5M. This reserve is intended to bridge one-time costs for the implementation of the recommended Task Force initiatives and would include funding for items such as project management services, technological, financial and procurement expertise at various stages of implementation, feasibility and due diligence studies, initial investments and one-time costs for changes in programs.
Table 4 - Summary of 2018 Budget Pressures and Reductions
| | $ Increase / (Decrease) over 2017 | 2018 Request $Ms | % Increase / (Decrease) over 2017 Budget |
|--------------------------------|----------------------------------|------------------|------------------------------------------|
| **2017 Net Budget** - $1,005.3M | | $1,005.3 | |
| **Pressures:** | | | |
| Benefits & Non-COLA inflationary pressures | $1.9 | | |
| Reserves | 6.8 | | |
| Investments to Modernize | 3.5 | | |
| Reversal of unidentified budget reduction | 8.3 | | |
| Impact of 2018 Salary Settlement | 17.1 | $37.6 | |
| **2018 Preliminary Net Budget including Pressures** | | $1,042.9 | 3.7% |
| **Reductions:** | | | |
| Hiring Moratorium | -$24.5 | | |
| Alternate Funding Sources/Bridging Strategies | -$11.1 | | |
| Net Other | -$2.0 | -$37.6 | -3.7% |
| **2018 Request** | | $1,005.3 | 0.0% |
To continue to align with the principles of affordability and sustainability and to achieve the Council-approved target of a zero increase, $37.6M in reductions would be required.
These are highlighted in Table 4 above and discussed below.
- **Hiring moratorium**: $24.5M in net salary savings are reflected in the budget request, representing the savings from not filling existing past vacancies, as well as a large part of the vacancies expected to occur in 2018. Further information on the impacts of these reductions is included in the sections of this report on the HR Strategy for Uniform and Civilian members. The budget includes only $1.2M to fill strategic or critical civilian vacancies where investments in people are required to modernize, achieve other strategic priorities, comply with legislative requirements, provide adequate supervision, and perform necessary work and services. The budget also includes $2.3M to fund the hiring of 80 uniform officers.
- **Alternate funding sources/bridging strategies**: $11.1M of reductions have been made which includes the elimination of a $3.5M of contribution to the Modernization reserve as well as $7.6M of unspecified budget reductions made through an increase in revenue. These are one-time bridging strategies to reduce the 2018 budget, that may pose a pressure on the 2019 budget.
Net other: $2M of various other reductions have also been made.
The above reductions bring immediate savings to the Service budget, most of them sustainable. After considering all reductions, the Service has achieved $37.6M in savings, to achieve a budget of zero increase. Details regarding the 2018 operating budget and reference to these reductions can be found in the following section of the report.
**2018 Operating Budget Request - Details:**
The 2018 net operating budget request of $1,005.3M ($1,137.7 gross) will result in the Service operating with an average deployed strength of 4,870 officers in 2018. It also provides necessary funding for services, supplies, equipment and internal services required to effectively support public safety operations.
Figure 1 indicates that, on a gross basis, 88% of the Service’s budget is for salaries, benefits, and premium pay (court attendance, call-backs and required overtime). 4% is required to maintain reserve contributions and the remaining 8% enables the 24/7/365 delivery of services by our people in terms of: the replacement/maintenance of and fuel for their vehicles; the equipment, technology and information they use; the facilities they work in; the mandatory training and the materials and supplies they require.
Table 5 summarizes the current 2018 request by category of increase/decrease, followed by a discussion on each category.
**Table 5 - Summary of 2018 Budget Request Changes by Category**
| Category | 2018 Request $Ms | $ Increase / (Decrease) over 2017 Budget | % Increase / (Decrease) over 2017 Budget |
|--------------------------------------------------------------------------|------------------|------------------------------------------|----------------------------------------|
| 2017 Net Budget - $1,005.3M | | | |
| (a) Estimated Impact of 2018 Salary Settlement | 17.4 | $17.4 | 1.7% |
| (b) Salary Requirements | 734.7 | -$24.5 | -2.4% |
| (c) Premium Pay | 43.2 | $2.7 | 0.3% |
| (d) Statutory Deductions and Benefits | 205.0 | -$1.4 | -0.1% |
| (e) Reserve Contributions | 47.3 | $6.4 | 0.6% |
| (f) Other Expenditures | 86.2 | $4.6 | 0.5% |
| (g) Transformation Investments | 3.9 | $3.9 | 0.4% |
| (h) Revenues | -132.5 | -$9.1 | -0.9% |
| **Net Request/Amount above target** | **$1,005.3** | **-$0.0** | **0.00%** |
a) Estimated Impact of 2018 Salary Settlement
The 2018 operating budget request includes estimated impacts ($17.4M) for the T.P.A. and S.O.O. contracts. These contracts were negotiated for a term of 2015 to 2018.
b) Salary Requirements
The total salary requirements for 2018 (exclusive of the impact of the salary settlements), is $734.7M. This budget represents a decrease of $24.5M or 2.4% over the 2017 operating budget.
**Uniform Officers Staffing Strategy**
The Service normally plans class sizes for the three intake classes held annually by the Ontario Police College (in April, August, and December), with the goal of maintaining an average deployed strength equal to our approved establishment. However, in light of budget pressures, and to find savings, since 2010 the Service has been replacing fewer and fewer officers that leave. This has resulted in average officer deployments each year that are significantly below the approved establishment.
In 2016, the Transformation Task Force recommended a three-year hiring moratorium that will result in the continued decline of uniform staffing levels. Figure 2 shows the uniform establishment and deployment history from 2010 to 2016 and the projected deployment levels from 2017 to 2020. By 2018, the projected average number of deployed officers will have decreased to 4,870, which is 578 officers below the approved establishment of 5,448 officers.
In 2017, actual separations of uniform officers have significantly exceeded the projected level of separations included in the operating budget. To mitigate the higher than estimated uniform officer separations, 80 uniform hires are planned for end of 2017 and into 2018.
**Civilian Members Staffing Strategy**
The current Board and City-approved establishment for civilians is 2,230 but is budgeted at 1,882, the projected strength at the end of 2017. This represents a civilian vacancy rate of 16%. Similar to the uniform strategy, fewer and fewer vacant civilian positions have been filled in recent years.
Civilian vacancies throughout the Service are placing a strain on remaining staff, who are required to take on critical responsibilities and workload left unfulfilled by vacant positions, and in some cases, can only focus on mandated responsibilities and functions. As a result, staff’s ability to review processes for efficiencies and support/enable Task Force initiatives is seriously hindered by their need to focus on day to day work. Overburdening staff and the transformational changes the Service is embarking on has increased members stress and anxiety. Civilian absenteeism is up 30% over 2015. It has also resulted in an increased risk of errors and omissions, which could, in turn, lead to unnecessary or avoidable costs and impact negatively on the Service’s ability to maintain public confidence and accountability. The Service continues to strive to provide required services and support, even with the vacancies.
However, the risk of controls being compromised, services not being properly provided or delayed and errors occurring continues to be a possible reality until key vacancies are filled. Despite the moratorium on hiring, the Task Force considered, in the interim report, that there would be situations where filling vacant civilian positions may be necessary. This would occur where investments in people are required to modernize, to achieve other strategic priorities, to comply with legislative requirements, to provide adequate supervision or to just provide necessary direct and support services. The budget request for salaries includes $1.2M for these strategic hires. It is estimated that the further net decrease in civilian strength, after the strategic hires, will be approximately 60 civilian members.
c) Premium Pay
Premium pay, which is broken down by category in Figure 3 below, is incurred when staff are required to work beyond their normal assigned hours for extended tours of duty (e.g., when officers are involved in an arrest at the time their shift ends), court attendance scheduled for when the officer is off duty, or call-backs (e.g., when an officer is required to work additional shifts to ensure appropriate staffing levels are maintained or for specific initiatives). The Service’s ability to deal with and absorb the impact of major unplanned events (e.g. demonstrations, emergency events, homicide/missing persons) relies on the utilization of off-duty officers which results in premium pay costs.
As the Service has been reducing its civilian staffing levels, there has been a significant pressure on premium pay to accommodate critical workload issues. Prior to 2018, in developing the Civilian salary budgets, the Service took these pressures into account when determining its gapping rate. However, as the Service is budgeting for existing civilian staffing and does not budget for vacant positions other than critical/strategic hires, an increase of $2.7M in the 2018 premium pay budget is being requested, bringing the total premium pay to budget request to $43.2M. However, it is important to note that this $2.7M was previously included in salaries in 2017 and has been
reallocated to premium pay in 2018. Therefore, it is not an increase to the overall budget.
Civilian overtime and call-backs are authorized where required to ensure deadlines are met, to maintain service levels and for workload that must be completed, to ensure risks are mitigated and additional hard dollar costs are avoided. The majority of the requested increase will be used to accommodate staffing pressures in Court Services and Communications/911.
The Service’s civilian premium pay cost is expected to be $2.7M over budget in 2017, mainly as a result of the hiring freeze and the need to continue to provide required services and deal with workload. This over expenditure has been funded through salary savings from vacancies.
Premium pay budgets have been reduced by a total of $9.1M (after adjusting for salary settlements, and excluding the impact of off-duty court attendance) from 2010 to 2017 to address budget pressures. Given the significant reductions already taken, further reductions are not recommended in premium pay. In fact, at some point it may be necessary to increase premium pay to help deal with potential service gaps.
d) Statutory Payroll Deductions and Employee Benefits
The total 2018 request for this category is $205M. This category of expenditure represents a decrease of $1.4M or 0.1% over the Service’s total 2017 budget, and is a major component (18%) of the budget being requested in 2018. As shown in Figure 4, benefits for the Service are comprised of statutory payroll deductions and requirements as per the collective agreements.
A breakdown of the increase in these expenditures follows:
- **Payroll Deductions:** Statutory payroll (E.I., C.P.P. and E.H.T.) and pension (O.M.E.R.S.) benefits are based on specific formulae that are affected by gross salaries. As a result of reduced staffing levels, payroll deductions are estimated to
go down by $2.7M. The Employment Insurance and Canada Pension Plan rates have been updated to reflect estimated levels for 2018, as the 2018 rates are unknown at this time.
- **Medical/Dental Coverage:** The budget for the Board’s benefit plan is based on the cost of drugs and services, dental fee schedule, utilization rates and administration fees. Costs for drugs and dental services are based on the average increase experienced over the last three years. However, as a result of reduced staffing levels, as well as increased controls by the Service’s new benefit provider, savings of $0.2M has been included in the 2018 request.
- **Net other changes to benefits:** The various changes in costs in other accounts such as retiree medical/dental, group life insurance and Workplace Safety and Insurance Board (W.S.I.B.) resulted in a net increase of $1.5M. This includes an increase of $0.7M attributed to W.S.I.B. due to the impacts from Bill 163, Supporting Ontario’s First Responders Act regarding Posttraumatic Stress Disorder (P.T.S.D.).
**e) Reserve Contributions**
The Service contributes to reserves through provisions in the operating budget. All reserves are established by the City. The City manages the Sick Pay Gratuity and Insurance reserves, while the Service manages the remaining reserves (i.e., Vehicle & Equipment, Legal, Central Sick Bank and Health Care Spending). The total 2018 budget for contribution to reserves is $47.3M. This budget represents an increase of $6.4M or 0.6% over the 2017 contribution amount. Increasing the contributions to the reserve has been deferred in the past to reduce the budget or meet City budget targets. This is not a fiscally responsible and sustainable strategy as it simply shifts the burden to further years. It is therefore necessary to increase the required contributions to the reserves as outlined below:
- **Sick Pay Gratuity Reserve (increase of $2.0M):** The Sick Pay Gratuity reserve is managed by the City, which provides the Service with the annual contribution amount that matches contributions with required payments/draws. A detailed review of this reserve indicated that the Service’s annual contribution to the Sick Pay Gratuity reserve does not meet annual draws/payments required. As a result, an increased contribution is required to meet annual obligations.
- **Legal Reserve (increase of $0.6M):** This reserve has been established to fund indemnification of Service members, as required by the collective agreement, and other legal costs incurred by the Service. During 2015, there was a considerable focus and resources devoted to reducing the longstanding backlog of unpaid legal files dating back to 2010. As a result, the reserve balance was significantly depleted. In order to replenish this reserve, an increased contribution will be required. In addition, to help mitigate the cost for these services, the Board has now capped the hourly rates legal firms can charge for these services.
- **Contribution to Vehicle and Equipment Reserve (increase of $3.5M):** This reserve is used to fund the lifecycle replacement of the Service’s fleet of vehicles, information
technology equipment, and various other equipment items. Each category of assets funded from this reserve is analyzed to determine how often it should be replaced as well as specific replacement requirements, which in turn determines the level of contribution required annually to enable the replacement. Life cycles for vehicles and computer equipment have been extended as much as possible without negatively impacting operations and officer safety, or causing significant repair and maintenance costs. A detailed review of this reserve indicated that the Service’s annual contribution is much less than the current annual draws/payment and this reserve will be in a deficit position starting in 2019. As a result, an increase to the contribution is required to meet future annual obligations.
- Contribution to Health Care Spending Account (increase of $0.5M): This reserve funds the post-retirement health care benefit negotiated in the collective agreements. The 2018 contribution for this reserve is increasing by $0.5M. It is anticipated that this contribution will continue to increase at a modest level for several years, as the annual draw continues to increase.
- Contribution to Central Sick Bank Reserve (decrease of $0.18M): This reserve funds the T.P.A. long term disability benefit provided by the collective agreement. As there are sufficient funds in this reserve, the 2018 contribution has been reduced by $179K.
f) Other Expenditures
The 2018 budget request for non-salary costs totals $86.2M and makes up about 8% of the Service’s total 2018 operating budget request. The expenditure categories in this total include the materials, equipment and services required for day-to-day operations.
However, non-salary costs have been contained as much as possible, with an increase of $4.6M or 0.5% over the 2017 approved budget amount. Since some of these costs are based on collective agreement obligations it is difficult to achieve any significant reductions.
Further reductions in this category are difficult due to the fact:
- $38.6M, or 45% of the category total represents costs for facilities maintenance and utilities ($20M) and computer maintenance and support ($18.6M);
- $22.7M, or 26%, represents transportation costs ($13M), officer outfitting and firearms ($6.1M) and the operating costs associated with communications systems ($3.6M); and
- $6.3M, or 7.3%, represents the value of required contracted services ($3.7M) and legal costs for indemnified officers that are offset by draws from reserves included in Service revenues ($2.6M).
The remaining $18.6M, or 22%, incorporate budget requests from every unit in the Service required for their normal operations. These costs include office supplies, external training needs for specialized units, firearm disposal, animal care and other
miscellaneous police business materials. A number of budget reductions have been made to various individual line items, either through a review of historical accounts or the implementation of Service initiatives such as the implementation of a new digital voice-over internet protocol (V.O.I.P.) telephone system.
The most significant changes are summarized below:
- **Computer Maintenance** (increase of $1.4M): The cost of computer maintenance is impacted by current contract costs, determined through a procurement process. Technological advances and the addition of new systems have enhanced communication, information and efficiencies, but come with increased costs for maintenance and support. The 2018 increase is due to various contract increases for the Service’s maintenance of hardware and software.
- **Caretaking, Maintenance and Utility Costs for T.P.S. facilities** (increase of $0.74M): The City provides facility caretaking and maintenance services for the Service, and administers the Service’s utility costs. The City and Service review the costs for all facilities in detail to determine where efficiencies or changes to internal services levels can be applied to reduce the budget. Higher utility costs account for most of the increase in this category.
- **Telephone/Data lines** (decrease of $0.3M): Over the past few years, the Service has been transitioning from an analog telephone system to a new digital V.O.I.P. system, realizing considerable savings. As the transition moves forward, more savings will be realized in future years.
- **Operating Impact from Capital** (increase of $1.1M): As capital projects are approved, they often have operating impacts such as computer maintenance, additional staffing requirements, facility maintenance, etc. For 2018, operating impacts include $1M for the Enterprise Business Intelligence (E.B.I.) project and $84K for the Transforming Corporate Support project.
- **Recruit Hiring cost** (increase of $0.5M): Includes items such as uniform, courses for Police College, background checks, etc.
- **Net other changes** (increase of $1.2M): In addition to the specific accounts listed above, the non-salary accounts are comprised of many different types of expenditures, including materials and supplies (such as office supplies, health and safety supplies, and fingerprinting supplies) and services (such as repairs to equipment, telephone lines, courses and conferences, etc.).
g) **Transformation Investments**
Total costs are expected to be $3.9M, resulting in a 0.39% increase over the Service’s total 2017 net budget. These costs are attributed to both the transformation of the Service’s Human Resources (H.R.) function and the absorption of indirect costs by the Service related to the transfer of the lifeguard and crossing guard programs to the City. These are discussed in more detail below.
Human Resource (H.R.) Transformation
Because culture change is pivotal to the Service’s modernization, a comprehensive people management and H.R. strategy for the Service will be recommended at the October 26, 2017 Board meeting. This strategy represents a significant strategic shift for the Service, including the development of a more strategic H.R. function. Significant changes to the roles, functions, and structure of the Service’s H.R. unit to enable it to play a modern and enabling role, including:
- A focus on cultivating the potential of people;
- H.R. as a credible, service-oriented enabler and partner; and
- Four areas of strategic focus for the H.R. unit: people, leadership, culture and diversity, and effective delivery.
This initiative results in an estimated budget pressure of $2.8M for new positions required to support the transformation of H.R. Although this is presented as a budget pressure, it must be noted that the H.R. program area will shrink in size with significantly fewer positions than that of the previous approved establishment in H.R., including the transfer of uniform officers from H.R. to front line policing duties.
Transfer of Lifeguard and Crossing Guard Programs
Included in The Way Forward report is a recommendation that the beach lifeguard and school crossing guard programs be transferred to City divisions, and that the beach lifeguard program be delivered by Parks, Forestry and Recreation going forward and that the school crossing guard program be delivered by Transportation Services or a third party service provider under contract.
Ongoing work has occurred between Service and City staff to transition these programs to the City. The current proposal calls for the transfer of the budgets to the City, including $1.5M gross ($1.4M net) for the lifeguard program and $7.6M for the school crossing guard program. Included in the costs that would be transferred are $1.1M in 2018 for the administration of the programs. However, the Service will not be able to divest itself of the costs to administer the programs and must redeploy the staff currently administering the programs, to other areas of the Service. Based on planned transfer dates of October 2017 for the lifeguard program and August 2018 for the crossing guard program, transfer of these costs to the City budget will create a pressure in 2018 of $1.1M.
h) Revenues
The total revenue budget for 2018 is $132.5M, an increase of $9.1M or 0.91% over the Service’s total 2017 net budget.
*Provincial funding for Court Security Costs (increase of $6.3M):* In 2011, the Ontario government announced that it will be removing up to $125M in court security and prisoner transportation costs from municipal budgets by 2018, phasing in the upload of these costs starting in 2012. The Service’s share to be phased-in over the seven year
period was estimated at $45M, increasing at a rate of approximately $6.2M per year. In 2018, this phase-in concludes and tops out at approximately $42.8M. However, this funding is tied to expenditure levels. Therefore, due to reduced staffing costs in Court Services, a decrease of $2M in this grant is expected for 2019.
**Unallocated Revenue (increase of $1.8M):**
The Service’s 2018 operating budget request includes an unspecified reduction of $7.6M to achieve a zero increase in the net budget. This unallocated reduction is currently budgeted as miscellaneous revenue. The Service is committed to achieving a zero overall budget increase from 2017. It is expected that some of the unallocated reduction could be achieved through the realization of increased revenues, that may be acquired through the Ministry’s new Policing Effectiveness and Modernization grant or through reduced expenditures. As grant approvals are not expected until the spring of 2018, the source of this reduction is unknown at this point.
**2019 and 2020 Outlooks:**
The chart below provides the 2019 and 2020 outlook budgets for the Service. The current collective agreement expires at the end of 2018, therefore the 2019 and 2020 salary settlement outlooks are estimates based on inflation.
The outlooks in Table 6, below, demonstrate that the Service anticipates a 3.2% pressure in 2019 and a 2.5% pressure in 2020 based on expected staffing levels, economic indicators and contractual and legislative obligations known at this time. Although Service staffing levels are expected to decrease during 2019 and level off during 2020, the Service is still facing significant budget pressures during the next several years. These pressures do not include the anticipated significant operating impact of the Connected Officer program and the potential body worn camera initiative, or investments that may be required to enable transformational initiatives, as these are not known at this time.
**Table 6 – 2019 & 2020 Outlooks ($Ms)**
| | 2019 | 2020 |
|--------------------------------|--------|--------|
| Starting Request | $1,005.3 | $1,037.3 |
| Salary savings from reduced-hiring | $(10.3) | $(2.4) |
| Benefit cost increases | $2.3 | $2.4 |
| Reserve contributions | $4.7 | $3.7 |
| Non Salary – inflationary and contract increases | $5.0 | $4.3 |
| Revenues | $12.3 | $0.0 |
| **Total change before salary settlement** | $14.0 | $8.0 |
| Salary settlement | $18.0 | $18.3 |
| **Net Change** | $32.0 | $26.3 |
| **Outlook** | $1,037.3 | $1,063.6 |
| Percentage change over prior year | 3.2% | 2.5% |
Conclusion:
The Service’s 2018 budget request includes the level of funding required to provide public safety services while transitioning to a new service delivery model to be implemented as a result of recommendations made by the Transformational Task Force. The modern Service will continuously evaluate its services and business processes in order to better serve the public, will make investments that enable officers to connect with the communities they serve and will implement strategies that make policing affordable and sustainable for the citizens of Toronto.
Given the roadmap towards a new and modernized police service, the 2018 net operating budget request is $1,005.3M, which is a $0M or 0.0% increase over the 2017 approved budget. This request includes a number of reductions made as a result of:
- Staffing strategies that include 80 uniform and 30 civilian strategic hires;
- Alternate funding source or bridging strategies;
- Management actions that created efficiencies; and
- The divestment of services that are not core to policing.
However, the Service is in a transition year. Therefore, funding for existing operations must continue as investigations, traffic enforcement, maintaining public order and responding to priority calls for service require an allocation of resources and the necessary equipment. Given that the majority of these front-line activities represent core services that define adequate and effective policing, funding to allow the Service to continue these operations, along with the necessary internal support, will ensure the safety and security of the city.
Although the Service is moving forward, the efforts made in prior years to reduce its operating budget requirements, in light of increased equipment and technology needs, inflationary pressures and other cost increases, cannot be ignored. As the business of policing evolves, new or enhanced equipment and staff training are required to meet the Service’s public safety mandate, all of which comes at a cost. While the Service will achieve the City’s 0% target in 2018, it will be difficult to achieve a flat line budget in future years. Also, at some point the civilian moratorium has to be lifted, as investments will need to be made to implement the Task Force’s recommendations.
The Transformational Task Force has committed to identifying $100M in reductions and savings in the Service’s operating budget over the next three years, money that will not need to be included in future budget requests. Until current service delivery transitions completely to the new model, any further reductions for future years cannot be estimated.
The Service has strived to produce a responsible budget that balances, to the extent possible, the need to provide required core public safety services with the need to meet the fiscal pressures of the City in an environment that will change and evolve over the next three years.
This budget represents a responsible funding request that will enable the Service to continue to deliver public safety services that will keep the city and its many neighbourhoods safe, and at the same time meet the City’s 0% target.
Mr. Tony Veneziano, Chief Administrative Officer, will be in attendance to answer any questions the Board may have regarding this report.
Respectfully submitted,
Mark Saunders, O.O.M.
Chief of Police
Filename: 2018_operating_request_SERVICE.docx
## Toronto Police Service Summary of Year-Over-Year Change - Net Operating Budget ($M)
| | 2007 | 2008 | 2009 | 2010 | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 Req. | 2007-2018 | Avg. |
|----------------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|------------|-----------|------|
| **Net Budget** | 786.2 | 822.0 | 854.8 | 888.2 | 930.4 | 935.7 | 936.4 | 965.5 | 980.3 | 1004.7 | 1005.3 | 1005.3 | | |
| **$ Increase** | | 35.8 | 32.8 | 33.4 | 42.2 | 5.3 | 0.7 | 29.1 | 14.8 | 24.4 | 0.6 | 0.0 | 219.1 | |
| **Total % increase** | 4.6% | 4.0% | 3.9% | 4.8% | 0.6% | 0.1% | 3.1% | 1.5% | 2.5% | 0.1% | 0.0% | 0.0% | 27.9% | |
| **Collective Agreement ($ impact)** | 24.7 | 16.7 | 27.2 | 30.2 | 23.2 | 25.6 | 27.3 | 18.4 | 22.4 | 17.3 | 17.4 | 250.4 | 22.8 | |
| **Hiring ($ Impact)** | 4.6 | 1.8 | 3.5 | 0.2 | -9.4 | -10.0 | -2.2 | -2.2 | 4.4 | -23.9 | -24.5 | -57.7 | -5.2 | |
| **Other ($ impact)** | 6.5 | 14.2 | 2.7 | 11.8 | -8.5 | -14.8 | 4.0 | -1.4 | -2.4 | 7.2 | 7.1 | 26.5 | 2.4 | |
| **Collective Agreement (% impact)** | 3.1% | 2.0% | 3.2% | 3.4% | 2.5% | 2.7% | 2.9% | 1.9% | 2.3% | 1.7% | 1.7% | 31.8% | 2.5% | |
| **Hiring (% Impact)** | 0.6% | 0.2% | 0.4% | 0.0% | -1.0% | -1.1% | -0.2% | -0.2% | 0.4% | -2.4% | -2.4% | -7.3% | -0.5% | |
| **Other (% impact)** | 0.8% | 1.7% | 0.3% | 1.3% | -0.9% | -1.6% | 0.4% | -0.1% | -0.2% | 0.7% | 0.7% | 3.4% | 0.3% | |
| **Collective Agreement (% of total increase)** | 69.0% | 50.9% | 81.4% | 71.6% | 437.7% | 3657.1%| 93.8% | 124.3% | 91.8% | - | - | 114.3% | | |
| **Hiring (% of total increase)** | 12.9% | 5.6% | 10.5% | 0.4% | -177.4%| -1428.6%| -7.6% | -14.9% | 18.0% | - | - | -26.3% | | |
| **Other (% of total increase)** | 18.2% | 43.3% | 8.2% | 28.0% | -160.4%| -2114.3%| 13.7% | -9.5% | -9.8% | - | - | 12.1% | | |
Subject: Toronto Police Service 2018-2027 Capital Program Request
Recommendation(s):
It is recommended that:
(1) the Board Budget Committee approve the Toronto Police Service’s 2018-2027 Capital Program with a 2018 net request of $20.9 Million (excluding cash flow carry forwards from 2017), and a net total of $220.4 Million for the 10 year period 2018-2027, and as detailed in Attachment A; and
(2) the Budget Committee forward a copy of this report to the Board for approval.
Financial Implications:
Capital projects are funded either from the issuance of debt by the City of Toronto (City) or through draws from the Toronto Police Service’s (Service’s) Vehicle and Equipment Reserve. Some projects also qualify for Development Charges (D.C.) which are fees collected from developers to help pay for the cost of infrastructure required to provide municipal services in growing areas.
The Service is continuing its strategy to properly fund the replacement of vehicles, technological and other equipment through contributions to the Vehicle and Equipment Reserve. This Reserve is funded from contributions from the Service’s operating budget. The use of this reserve, along with the allocation of City development charges for qualifying Service projects, reduces the Service’s and City’s reliance on debt funding.
The implementation of capital projects can have an impact on the Service’s on-going operating budget requirements. Capital projects and investments usually require maintenance and operational support beyond the initial one-time project cost. Where additional infrastructure and equipment are required, operating budget increases are required to replace the assets in accordance with their life cycle. It is therefore important to determine the ongoing impact of capital investments on the operating budget. As a
result, capital spending decisions are not made independently of the operating cost impact; the total cost of ownership is considered.
Table 1 below provides a summary of the Toronto Police Service’s (Service) 2018-2027 Capital Program request compared to the City of Toronto’s ten-year debt target.
The Service’s 2018-2027 Capital Program meets the City’s ten-year debt-affordability target on average over the ten years. Additional details on debt-funded and reserve-funded projects can be found in Attachments A and B respectively.
**Table 1. Summary of 2018-2027 Capital Program Request ($Ms)**
| Description | 2018 | 2019 | 2020 | 2021 | 2022 | 5-Year Total | 2023-2027 Total | 2018-2027 Total |
|------------------------------------|--------|--------|--------|--------|--------|--------------|-----------------|-----------------|
| Total Gross Projects | 44.1 | 75.4 | 73.2 | 51.2 | 52.4 | 296.2 | 227.0 | 523.3 |
| Vehicle and Equipment Reserve Funding | -21.1 | -31.5 | -27.4 | -20.1 | -26.4 | -126.5 | -137.4 | -263.9 |
| Development charges | -2.1 | -3.7 | -12.6 | -2.3 | -5.2 | -26.0 | -12.9 | -39.0 |
| Total Net Debt Funding | 20.9 | 40.1 | 33.1 | 28.7 | 20.8 | 143.2 | 76.7 | 220.4 |
| City Target: | -20.9 | 40.1 | 33.1 | 28.7 | 20.8 | 143.2 | 76.7 | 220.4 |
| Variance to Target: | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
**Background / Purpose:**
The purpose of this report is to provide the Board Budget Committee with details of the Service’s 2018-2027 Capital Program request. The request was presented at a high level at the Board Budget Committee’s Community Information session, held on September 19, 2017. At this meeting, the public was provided with information on how the capital budget is developed and had an opportunity to ask questions regarding the preliminary budget request.
Attachment A to this report provides a detailed project listing of debt-funded projects. Attachment B provides a detailed listing of projects funded from the Vehicle and Equipment Reserve. Attachment C provides a summary of the 2018–2027 program estimated operating impact from capital, excluding reserve-funded projects.
**Discussion:**
Capital projects, by their nature, require significant initial financial investments. However, they also provide longer-term organizational benefits and impacts. An organization’s capital program should therefore be consistent with, and enable, the achievement of the organization’s strategic objectives.
The Service’s strategic direction is outlined in the Transformational Task Force’s (T.T.F.) final report, *Action Plan: The Way Forward – Modernizing Community Safety in Toronto* (The Way Forward report). This report includes initiatives that will require capital investments that modernize the Service by contributing to the Service’s goals to:
- be where the public needs the Service the most;
- embrace partnerships to create safe communities; and
- focus on the complex needs of a large city.
Similar to the Service’s 2017-2026 Capital Program, the 2018 – 2027 Capital Program continues to be transitional. Historically, projects have addressed and improved the Service’s aging facility infrastructure, updated or replaced core systems and maintained existing equipment. The need to maintain existing facilities and equipment continues to exist. However, the need to improve and modernize how the Service delivers public safety and internal support services is important, and is the overall strategic objective of the Board and the Service. The recommendations in The Way Forward report confirmed the need for more and better information to Service members, whether they are on foot, on a bike, on a horse or in a car, through careful and value added investments in technology that increases officer mobility. It also recognized the need to realign and reduce the number facilities. As a result, the 2018 – 2027 Capital Program contains projects that fund continuing needs, but moves towards technology and information related initiatives, as well as a realignment and optimization of the facilities infrastructure.
The projects in the Capital Program will:
- Optimize service delivery, both internally and externally;
- Optimize, reduce and change our overall facility footprint;
- Achieve additional efficiencies and value-added services in our operations;
- Maintain a working inventory of assets that meet operational requirements and ensures the continued health and safety of our members and the public; and
- Improve the quality, reliability of, as well as access to, information for operational and decision making purposes.
Understanding the effects of technological change is a critical issue in contemporary policing. In recent decades, there have been many important developments with respect to information technologies (I.T.). Specially, Internet protocol based communications convergence and associated mobile technologies, analytical information systems, video surveillance, in-car and body worn camera (B.W.C.) systems, facial recognition and other technologies have far-reaching implications for policing. Technology acquisition and deployment decisions are high-priority topics for police, as law enforcement agencies at all levels of government consider investments in technology, with the goals of creating greater opportunities for information sharing, collaboration and operational effectiveness and efficiencies.
As a result, the Service is in the process of creating a technology road map (Information Technology Strategic Plan) that aligns to the short-term and long-term goals of the Services’ commitment to strategic transformation with specific technology solutions to help meet those goals. Developing a roadmap has various uses and phases. It helps reach a consensus about a set of needs and the technologies required to satisfy those need. It provides a mechanism to help forecast information and technology development and implementation, and it provides a framework to help plan and coordinate technology implementation and manage the on-going replacement investments.
In addition, technology is changing how the public is able, and often prefers to access and engage the Service. The Way Forward report recognizes that new options for the public to connect with and access police services and information on a timely basis are critical to creating a responsive, accessible and cost-effective police service.
The placement of facilities and the choice of technologies to support modern public safety services require significant planning and effort. The Facilities Realignment project in the Service’s Capital Program requests funding for new and modern structures, the placement and number yet to be determined, that meet the needs of a large, evolving and complex city. The selection of sustainable, value-added technology is essential and must involve careful consideration of specific ways in which new and existing technologies can be deployed and used at all levels of the organization to improve efficiency and effectiveness, as well as public and officer safety.
However, the benefits of these initiatives and other opportunities must be balanced against the cost, both one-time and on-going, and competing project requests will have to be prioritized. Technology projects such as Enterprise Business Intelligence (E.B.I.), Transforming Corporate Support and Connected Officer, will all enhance member mobility and information needs.
In summary, the Service’s Capital Program is evolving into a more technology and information systems focused plan with an emphasis on producing and managing information as well as enabling effective analysis to support public safety operations and services. The program transitions the Service from a facilities-based organization to an information and technology-based service provider.
Development of Cost Estimates and Project Management:
Due to the large cost and complexity of capital projects, the Service has developed and has been following a formal project management framework since 2006. This framework requires the submission of a project charter for each approved project request, and the establishment of a steering committee to oversee the project during its lifecycle.
The cost estimate for each project in the recommended Capital Program has been reviewed to ensure the estimate and annual cash flows are still valid, taking into consideration key project milestones, procurement requirements, any third-party actions/approvals required, as well as other applicable assumptions and information. It is important to note that the Service takes all known factors related to the project cost into account in order to develop accurate cost estimates. However, assumptions can change throughout the project as more information becomes available, and after going through a formal procurement process for the various requirements. Despite due diligence efforts taken in advance of the actual start of the project, issues could come to light as the work progresses, resulting in revised cost estimates.
The Board and City are kept apprised of any changes to cost estimates as soon as they become known. Any required transfers from other projects in the program are fully justified and reported to the Board and City Budget Committee for approval. The Service strives to deliver projects on or below budget, and has been very successful in achieving this objective in the last 10 years. However, even with the best planning and management, there are times when additional funds may be required for certain projects, due to required scope changes, unanticipated events or higher than anticipated market prices. The Service is also mindful of operating budget impacts that could result from capital projects, and so, some projects not yet started are being revisited to ensure they are still viable from an overall budget and service delivery perspective.
City Debt Affordability Targets:
Corporate targets for Agencies, Boards, Commissions and Departments (A.B.C.D.s) are allocated by the City’s Deputy City Manager and Chief Financial Officer (C.F.O.). This year, Council approved a status quo 10-year capital budget based on current debt targets A.B.C.D.s.
The Service’s 2018-2027 Capital Program meets Council’s overall debt target, on average, over the ten-year program. Given the strategic objectives of the Service’s Capital Program, the Service is proceeding with a full facility reassessment, which could result in timing as well as cost and cash flow estimate changes in the facility realignment project.
There are also two projects (Connected Officer and B.W.C.) below the line that are not included as part of the Service’s Capital Program due to funding restrictions. City Finance staff are aware of these projects and will review the possibility of any additional
funding after consolidating the overall Capital Program for the City, and assessing the various priorities.
**2018-2027 Capital Program Request:**
The 2018-2027 Capital Program is segregated into five categories for presentation purposes:
A. On-Going Projects
B. Projects beginning in 2018-2022
C. Projects beginning in 2023-2027
D. Projects funded through Reserves
E. Other projects – below the line
**A. On-Going Projects**
Project description excludes projects with no 2018 funding requests and carry forward only:
*State of Good Repair (S.O.G.R.) - ongoing, $4.4M in 2018*
This project includes on-going funding for the S.O.G.R. requirements that are the responsibility of the Service. By definition, S.O.G.R. funds are used to maintain the safety, condition and requirements of existing bricks and mortar buildings. However, beginning in 2016, these funds have been utilized to enhance existing technological assets in order to optimize service delivery and increase efficiencies. In light of the future plans for Service facilities, planned use of these funds will be aligned with the Facilities Realignment initiative, with priority being given to backlogged projects that must continue and that will not be impacted by the transformation of the Service’s facility footprint.
*Transforming Corporate Support - $8.4M*
The Service uses Oracle Canada’s PeopleSoft Human Resource Management System (H.R.M.S.) to manage personnel related information and to administer and report payroll and benefits particulars.
Phase I of the Transforming Corporate Support project concluded in March 2017. The Project plan for phase II has been developed and discussions with internal subject matter experts have been initiated. The phase II scope will be refined with input from stakeholders at all levels within the organization.
Currently, the following project streams have been established:
1. Operational Enhancements/Production Support (including application enhancements and centralization of data entry)
2. Core System Redesign (security administration, position management, organizational charts and Human Resources analytics)
3. Talent Management Tools (training administration, uniform recruitment, performance management, diversity analytics, recruitment and performance analytics)
4. Benefits/Pension/Payroll Optimization and Automation
5. Time and Labour Planning (to replace the existing Time and Resource Management System)
Project resourcing and planning for centralization of data input and governance is ongoing. This project will result in improved customer service and improved member understanding and satisfaction with human resources, payroll and benefit services. This project provides for an investment that will consolidate the current H.R.M.S. and Time and Resource Management System (T.R.M.S.), with an objective to develop a new overall solution, with enhanced and value added processes that will be more efficiently and cost-effectively enabled by a single cradle-to-grave time and people management system.
**Peer to Peer Site (Disaster Recovery Site) - $19.9M**
The need to ensure that Service members have information available at all times is critical to ongoing operations. This project provides funding for a new peer-to-peer data centre facility. The Service’s current peer-to-peer data centre is co-located with the City’s main data centre in a City-owned and managed facility. The current location has significant space and power requirement issues, which impact both the City and the Service. As a result, this mission-critical operation is at risk because the Service is subject to limitations in the existing facility, which impair current operations and future growth requirements. In addition, the current line-of-sight distance from the primary site is seven kilometers, which is significantly less than the industry minimum standard of 25 kilometers for disaster recovery sites. This project commenced over a year ago, after an in-depth analysis of various options to meet this business continuity need, and has been approved by the Board.
A recommended site was brought forward to the project steering committee and communicated to the Board on March 17, 2016 (Min. No. C59/16 refers). City Real Estate completed its negotiations with the landowner and fulfilled their due diligence process. The real estate transaction closed on December 5, 2016. Conditional Site plan approval has been received and construction is underway.
The Board will be kept apprised of the status of this project, through the variance reporting process.
**54/55 Divisions Amalgamation (Part of Facility Realignment project) - $39.9M**
The Way Forward report recommends a modernized policing model for the City, which includes a leaner facilities footprint, consistent with the previous strategy of the Service. This allows the Service to transition to a new service delivery model and equip itself with
facilities and technology required to optimize the delivery of policing services. The amalgamation of 54 division and 55 division is the first step in the phased facilities realignment.
The Service has been working with City Real Estate Services, City Planning and the respective local Councillors to select a site. Three potential sites (all City owned) have been short-listed. Community consultation meetings are scheduled for October 10 and 17, 2017 and a working team and steering group have been established to select an appropriate site. Once a suitable site is selected, the Service and the City will go through the normal process to finalize the decision for appropriate approvals.
**Enterprise Business Intelligence - $10.2M**
Enterprise Business Intelligence (E.B.I.) technologies represent a set of methodologies, processes, architectures, and technologies that transform raw data into meaningful and useful information used to enable more effective strategic, tactical, and operational insights and decision-making. Police services such as Edmonton, Vancouver, New York and Chicago all have some form of E.B.I. solutions. The Service has identified the need for this system solution for a number of years, but until 2014, the required capital investment was continually deferred due to other priorities and to stay within the City’s debt target.
The Service currently runs dozens of application systems, with each database individually structured, and therefore requiring heavy data manipulation and manual data processes. This information environment is inadequate and inefficient to cost-effectively support the Service’s transformational goals. The Service requires an integrated analytical and business intelligence platform to support efficient police officer deployment and performance management, program and policy evaluation, crime analysis and prevention, and justification of expenditures.
This project will transform the Service’s raw data from its key databases into useful, consistent and reliable information stored in a corporate data warehouse, and will build an integrated business intelligence and analytical platform. Consolidated information will be made widely available across the Service, allowing all members to make better information-based decisions. The use of E.B.I. is a critical strategic component to intelligence led public safety and support activities, which will enable more cost-effective, proactive and value added public safety services.
The original business case included the requirement of five additional positions in I.T. The Information Security unit has also identified the need for three additional positions, with one dedicated to information privacy and two positions for monitoring confidentiality, integrity and availability. Also, the Business Intelligence Unit identified the need for two positions (Data Scientist and Reporting Developer). These requirements are included in the Operating impact from Capital. However, the requests will be reviewed in more detail with the goal of reducing the operating impact.
The Service envisions the E.B.I. project continuing in future in order to include additional data sources for investigative work and business analytics reports. Additional funding
may therefore be required in future years to enable the continuation of this project. A full justification for any additional investments in this solution will be included in future capital project requests.
**T.P.S. Archiving - $0.7M**
This project provides funding for the establishment of an archiving function at the Service’s property and evidence site. Legislation requires the Service to store certain documentation for periods beyond the current year. For example, “cold case” files must be retained for a minimum of 25 years; financial records must be retained for seven years; memo books are also stored for a lengthy period of time. The relatively new requirement for video storage is also increasing. Service staff is endeavouring to reduce current holdings, but based on retention periods, the Service is faced with increasing storage requirements.
The Service currently stores its archival records and files at City Archives. However, the City is also experiencing space pressures within its storage facility. Assuming a ten percent growth annually, storage requirements within five years would be substantial. Therefore, using an existing Service facility for the archiving of some Service records is a prudent solution, particularly if the City were to limit space or expand on a cost recovery basis.
There is no on-going operating impact currently assumed as a result of this project. Future analysis will be required to determine if any additional resources will be required, and an update will be provided in future capital program requests.
**Radio Replacement Project - $39.4M (for the current 10 year lifecycle – does not include 2028)**
The Service’s current communication radios were replaced over the period of 2006 to 2012. The lifecycle for these radios is ideally seven years. However, in order to reduce capital costs, the Service has extended the replacement period for these radios to every ten years. While the extension of this lifecycle to ten years has resulted in some incremental operating costs, there is still an overall cost benefit to the Service. A Request for Proposal (R.F.P.) to select a vendor for the replacement of radios over the next several years has been completed. The Service intends to report the recommended vendor for the radios to the Board for approval at the October 26, 2017 meeting.
**B. Projects beginning in 2018-2022**
**41 Division (Part of Facility Realignment project) - $38.9M**
A new 41 Division is one of the first steps in the phased facilities realignment, as part of T.T.F. recommendations for a modernized policing model.
The Service had identified 41 Division in its long-term facility replacement program. The Environics tool developed for territorial optimization identifies the 41 Division site as an optimal location to create a district headquarters that will encompass the 42 and 43 divisions. The site is ideal to redevelop as a new modern facility in line with the Service’s overall modernization plan.
The new facility will be constructed on the same property. This requires the partial demolition of the existing facility, relocating services and the setup of temporary structures on the property to ensure that policing operations are maintained.
The Service intends to commission a consultant to develop a detailed phased plan to reconstruct the new district facility on the existing property.
**Automated Fingerprint Identification System (A.F.I.S.) – $3M**
The current AFIS system was purchased and implemented in late 2012. Replacement is scheduled to be implemented in early 2019. Replacement of this system maintains vendor support, incorporates all updates and provides functionality that is more efficient.
**Facility Realignment – $84M**
The current divisional framework is outdated and does not cost-effectively meet the needs of a growing, changing and complex City. New divisional boundaries that take into account the needs of Toronto’s 140 neighbourhoods are required. The deployment of our members based on where public needs are of the highest priority along with a citywide priority response capacity, will permit officers to respond quickly. As a result, the modernized police service will be better engaged and provide public safety services through fewer and differently configured facilities. This will result in lower facility operating and replacement costs. It will also allow the Service to return redundant real estate assets to the City. The City will benefit from the return of these properties by reusing the facilities for other purposes. It could also develop or sell the properties.
For this reason, the Capital Program amalgamates previous funding requests into one Facilities Realignment project. However, this project excludes the new consolidated 54/55 Division and new 41 Division projects as these have more immediate plans. The requested funding allows the Service to transition to a new service delivery model, that makes use of appropriate technology and that is supported by strategically located facilities in order to optimize the delivery of policing services.
**Property and Evidence Warehouse Racking - $1M**
Funding is required for the 10 year expansion of the property racks. The funding requirement of $40K in 2020 is for a study of what is required for the long term racking.
**C. Projects beginning in 2023-2027**
There are no projects beginning during the 2023-2027 period.
D. Projects funded through Reserves
Vehicle and Equipment Lifecycle Replacements
All projects listed in this category are funded from the Service’s Vehicle and Equipment Reserve and have no impact on debt financing. Using the Reserve for the lifecycle replacement of vehicles and equipment avoids having to debt-finance these purchases. This approach has and continues to be supported by City Finance. It should be noted, however, that this strategy of funding equipment replacements from the Reserve results in an impact on the operating budget, as it is necessary to make regular annual contributions to replenish the Reserve balance so that future requirements are sustainable.
It is important to note that as new systems are implemented or existing systems are being enhanced, the inventory of computer equipment grows which, over time, increases the level of funding required for the replacement of this equipment. Increase data storage requirement and the proliferation of video storage have also increased the equipment needs and replacement requirements. These factors put significant pressure on the operating budget, as increased contributions are required.
Asset custodians continue to maximize the use of current assets and prolong lifecycle replacements as much as possible, to ensure the viability of the Reserve on a long-term basis.
E. Other Projects – Below the Line
Connected Officer Program
The T.T.F. recommended an investment in the potential transition from mobile workstations in vehicles to smart devices carried by officers. This allows officers to be connected at all times to the most current operational information and be where public needs the Service the most. Members will be more directly accessible through all forms of communication and be able to perform additional functions from wherever they are located.
At present, police stations are one of the most obvious symbols of the relationship between police and residents. They are where equipment is stored and prisoner processing takes place. Stations are also where officers start and finish their working day.
As the Service moves forward and modernizes, we will be strategically placing officers throughout neighbourhoods to serve the growing demands of the City. The mobile technology will not require the facility footprint of past models. Technologically connected officers will have new mobile devices, which can access the information they require from anywhere. With functions such as: filing reports, making calls, corresponding with email, and accessing databases, there will be a reduced reliance on the use of workstations at police stations or in vehicles.
The future model of policing requires leveraging the connected officer mobility project and will make an officer more efficient as they spend less time performing duties in a police station, which can be done just as efficiently on a mobile device. The initial phase of the project, costing $2.6M in 2017, which includes a Proof of Concept (P.O.C.) and the acquisition of 700 devices, is being funded from the Ministry of Community Safety and Correctional Services grant - the Police Effectiveness and Modernization (P.E.M.) grant. City Finance staff have advised that they will revise the 2017-2026 gross and net Capital Program in order to capture the entire cost of the project.
The total capital project cost is estimated at $24.3M and City Finance staff has advised to include this project below the line in the Service’s 2018 – 2027 Capital Program, as it currently does not fit within the debt target allocated to the Service. Subsequent to review and evaluation of all other City priorities and as part of the capital budget review process, which will also consider the on-going annual operating costs to maintain this program, a determination will be made as to whether this project can be included in the 2018-2027 Capital Program. If approved, this project could qualify for Development Charges as well, which will reduce the debt amount.
The annual operating impact of this project, which includes software licenses, data plans, warranty and lifecycle of devices will be significant and is in the process of being reviewed and refined. Once the P.O.C. is complete, the benefits and value of the devices, potential issues and the overall capital and operating impact of this project will be reported to the Board.
**Body Worn Cameras (B.W.C.) Full Implementation – $15.3M**
In February 2015, the Service started a 12-month pilot project (at a total cost of $0.43M) to explore the benefits, challenges, and issues surrounding the use of B.W.C. The pilot finished in March 2016, and a report was provided and a presentation made to the Board’s September 2016 meeting. The report concluded that B.W.C. was strongly supported by the community as well as the Service’s officers.
Implementing a B.W.C. program within the Service will involve significant one-time (capital) and on-going (camera and infrastructure replacement, image storage management, including retrieval, administration, staffing, etc.) costs. The Service is therefore moving forward very carefully with a potential B.W.C. system, through the issuance of a non-binding R.F.P. that can now consider cloud storage as part of a potential solution. This will be a large and complex procurement, as well as a significant long-term investment, and will therefore require a well-crafted R.F.P. that results in the best overall solution, at the best value and that ensures the Service, Board and taxpayer’s’ interests are protected, both short and long-term.
Subsequent to review and evaluation of all other City priorities and as part of the capital budget review process, which will also consider the on-going annual operating costs to maintain this program, a determination will be made as to whether this project can be included in the Capital Program. If approved, this project could qualify for Development Charges as well to reduce the debt amount.
Conclusion:
A detailed review of all projects in the Service’s 2018-2027 Capital Program request has been conducted, to ensure the Capital Program reflects the priorities of the Service, is consistent with the Service’s strategic objectives, and is in line with City provided debt targets. The 2018 - 2027 Capital Program has a 2018 net request of $20.9M (excluding cash flow carry forwards from 2017), and a net total of $220.4M for the ten-year period.
Given the strategic objectives of The Way Forward report, the Service is proceeding with a full facility reassessment, allowing the business plan and service delivery model to drive the need for facilities, what is in those facilities and the size of the facilities. It should be noted that once that work is complete, the cost estimate for the facility realignment project will very likely change.
The Service’s 2018-2027 Capital Program request continues to be in a transitional state, as the Service awaits information that will allow more informed decision making regarding our facilities and technological requirements.
Mr. Tony Veneziano, Chief Administrative Officer, Corporate Services Command will be in attendance to answer any questions the Board may have regarding this report.
Respectfully submitted,
Mark Saunders, O.O.M.
Chief of Police
MG
Filename: 2018_2027_capital_approval.docx
## TORONTO POLICE SERVICE
### PRELIMINARY 2018-2027 CAPITAL PROGRAM REQUEST ($000s)
| Project Name | Plan to end of 2017 | 2018 | 2019 | 2020 | 2021 | 2022 | Total 2018-2022 Request | 2023 | 2024 | 2025 | 2026 | 2027 | 2023-2027 Forecast | 2018-2027 Program | Total 2018-2027 | Project Cost |
|---------------------------------------------------|---------------------|------|------|------|------|------|--------------------------|------|------|------|------|------|-------------------|------------------|-----------------|--------------|
| **Projects In Progress** | | | | | | | | | | | | | | | | |
| State-of-Good-Repair - Police | | 4,400| 4,400| 4,530| 3,925| 4,400| 21,655 | 4,400| 4,400| 4,400| 4,400| 4,400| 22,000 | 43,655 | 43,655 | |
| Transforming Corporate Support | | 4,435| 1,300| 1,700| 1,000| | 4,000 | | | | | | | 4,000 | 4,000 | |
| Peer to Peer Site (Disaster Recovery Site) | | 8,865| 7,759| 3,500| 0 | 0 | 0 | 11,259| 0 | 0 | 0 | 0 | 0 | 11,259 | 19,924 | |
| 54/55 Amalgamation | | 7,448| 2,800| 18,000| 11,625| | 32,425 | | | | | | | 32,425 | 39,973 | |
| Conducted Energy Weapon (C.E.W.) | | 750 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 750 | |
| Body Worn Camera - Initial phase | | 500 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 500 | |
| Parking Handheld Administrative Penalty System (A.P.S.) | | 2,550| 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 2,550 | |
| Enterprise Business Intelligence | | 9,216| 1,000| 0 | 0 | 0 | 0 | 1,000| 0 | 0 | 0 | 0 | 0 | 1,000 | 10,216 | |
| TPS Archiving | | 50 | 650 | 0 | 0 | 0 | 0 | 650 | 0 | 0 | 0 | 0 | 0 | 650 | 700 | |
| Radio Replacement | | 14,141| 4,779| 3,664| 4,948| 6,074| 4,544 | 24,010| 42 | 1,026| 226 | 0 | 14,141 | 15,435 | 39,445 | 53,586 |
| **Total, Projects In Progress** | | 47,755| 22,688| 31,264| 22,104| 9,999| 8,944 | 94,999| 4,442| 5,426| 4,626| 4,400| 18,541 | 37,435 | 132,434 | 180,189 |
| **Upcoming Projects** | | | | | | | | | | | | | | | | |
| 41 Division | | 395 | 9,561| 16,622| 9,850| 2,500| 38,928 | | | | | | | 38,928 | 38,928 | |
| Automated Fingerprint Identification System (AF.I.S.) Replacement | | 0 | 0 | 3,053| 0 | 0 | 0 | 3,053| 0 | 0 | 0 | 0 | 0 | 3,053 | 3,053 | |
| Facility Realignment | | 0 | 0 | 0 | 7,000| 11,211| 14,528 | 32,739| 15,240| 10,617| 12,459| 12,906| 0 | 51,222 | 83,961 | |
| Property & Evidence Warehouse Racking | | 0 | 0 | 0 | 40 | 0 | 0 | 40 | 1,000| 0 | 0 | 0 | 1,000 | 0 | 1,040 | |
| **Total, Upcoming Capital Projects:** | | 0 | 395 | 12,614| 23,662| 21,061| 17,028 | 74,760| 16,240| 10,617| 12,459| 12,906| 0 | 52,222 | 126,982 | 126,982 |
| **Total Gross Debt Funded Capital Projects:** | | 47,755| 23,083| 43,878| 45,766| 31,060| 25,972 | 169,759| 20,682| 16,043| 17,085| 17,306| 18,541 | 89,657 | 259,416 | 307,171 |
| **Total Reserve Projects:** | | 233,529| 21,060| 31,508| 27,387| 20,106| 26,425 | 126,486| 24,656| 38,133| 25,397| 23,097| 26,098 | 137,381 | 263,867 | 497,395 |
| **Total Gross Projects** | | 281,283| 44,143| 75,386| 73,153| 51,166| 52,397 | 296,245| 45,338| 54,176| 42,482| 40,403| 44,639 | 227,038 | 523,283 | 804,566 |
| **Funding Sources:** | | | | | | | | | | | | | | | | |
| Vehicle and Equipment Reseve | | (233,529)| (21,060)| (31,508)| (27,387)| (20,106)| (26,425) | (126,486)| (24,656)| (38,133)| (25,397)| (23,097)| (26,098) | (137,381) | (263,867) | (497,395) |
| Funding from Development Charges | | (28,476)| (2,134)| (3,741)| (12,641)| (2,320)| (5,204) | (26,040)| (10,542)| (1,814)| (576)| 0| (12,934) | (38,974) | (67,450) | |
| **Total Funding Sources:** | | (262,006)| (23,194)| (35,249)| (40,028)| (22,426)| (31,629) | (152,526)| (35,198)| (39,947)| (25,975)| (23,097)| (26,098) | (150,315) | (302,840) | (564,845) |
| **Total Net Debt-Funding Request:** | | (485,452)| 20,849| 40,137| 33,125| 28,740| 20,768 | 143,719| 10,140| 14,229| 16,507| 17,306| 18,541 | 76,723 | 220,443 | 239,721 |
| **5-year Average:** | | | | | | | | | | | | | | | | |
| City Target: | | 20,849| 40,137| 33,125| 28,740| 20,768| 143,719 | 13,314| 19,492| 13,560| 16,658| 13,700| 76,724 | 220,443 | |
| City Target - 5-year Average: | | 28,744| | | | | | | | | | | | | | |
| Variance to Target: | | (0) | 0 | 0 | 0 | 0 | 0 | 0 | 3,174| 5,263| (2,947)| (648)| (4,841) | 1 | 0 | |
| Cumulative Variance to Target | | (0) | (0) | (0) | (0) | (0) | 0 | 3,173| 8,436| 5,489| 4,841| 0 | 0 | 0 | 0 | |
| Variance to Target - 5-year Average: | | | | | | | | | | | | | | | | |
| Project | 2018 | 2019 | 2020 | 2021 | 2022 | 2023 | 2024 | 2025 | 2026 | 2027 | Total 2018-2027 |
|---------------------------------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|-----------------|
| Facility Realignment | 0.0 | 0.0 | 72.0 | 216.0 | 290.9 | 371.7 | 452.6 | 461.7 | 470.9 | 480.3 | 2,816.1 |
| Transforming Corporate Support | 84.5 | 86.2 | -73.2 | -70.2 | -67.0 | -63.9 | -60.6 | -57.3 | -53.9 | -50.5 | -303.9 |
| Peer to Peer Site | 0.0 | 175.0 | 353.5 | 357.0 | 360.6 | 364.2 | 367.9 | 371.5 | 375.2 | 379.0 | 3,104.0 |
| Enterprise Business Intelligence| 1,028.8| 1,808.8| 1,808.8| 1,808.8| 1,808.8| 1,808.8| 1,808.8| 1,808.8| 1,808.8| 1,808.8| 17,308.0 |
**Comments:**
- Building Operations, Service Contracts and Utilities; starting half a year 2020. Included estimated increase of 2% per year.
- Building Operations, Service Contracts and Utilities; starting mid-2019.
- $0.29M for salaries for 5 FTE's in 2018 (half year) and $0.59M beginning 2019; $0.48M for maintenance starting 2019 per BM# P85, April 20, 2016; PLUS $475K for Business Intelligence Unit to continue development and training activities; $263,800 for RMU for 3 FTE's for privacy and security.
**Total Projects Operating Impact**
- 1,113.3
- 2,070.0
- 2,161.1
- 2,311.7
- 2,393.2
- 2,480.8
- 2,568.7
- 2,584.7
- 2,601.0
- 2,617.6
- 22,924.2
Toronto Police Services Board Report
September 26, 2017
To: Budget Committee
Toronto Police Services Board
From: Mark Saunders
Chief of Police
Subject: Toronto Police Service Parking Enforcement Unit – 2018 Operating Budget Request
Recommendation(s):
It is recommended that:
(1) the Board Budget Committee approve the Toronto Police Service Parking Enforcement Unit’s 2018 net operating budget request of $46.7 Million (M), a 0% increase over the 2017 approved budget; and
(2) the Budget Committee forward a copy of this report to the Board for approval.
Financial Implications:
The Toronto Police Service Parking Enforcement Unit’s (P.E.U.) 2018 net operating budget request is $46.7M ($48.3M gross). This request includes the 2018 impact of the labour contract settlements for Toronto Police Association (T.P.A.) members, and requires the same level of funding as the 2017 approved net operating budget – a 0% increase.
Background / Purpose:
The purpose of this report is to provide the Board with P.E.U.’s recommended 2018 operating budget request. The report includes information on the level of funding required in 2018 to provide parking enforcement services to the City of Toronto (City), based on the current service delivery model. The recommended request has been developed with a focus on achieving the 0% target increase requested by the City, while ensuring adequate coverage is provided for by-law enforcement.
Discussion:
The P.E.U. assists with the safe and orderly flow of traffic by responding to parking concerns and enforcing applicable municipal by-laws. The unit also provides operational support to the Toronto Police Service (Service). The P.E.U. operating budget is separate from the Service’s operating budget, and is included in the City’s consolidated Parking Tag Enforcement Operations budget, which is comprised of the following:
1. Police P.E.U. – responsible for the enforcement program, based on municipal by-laws, community based parking programs and Municipal Law Enforcement Officer (M.L.E.O) training and oversight;
2. City Treasurer, Revenue Processing – responsible for processing and collecting fines and overseeing dispute centres, trial requests and pre-court document processing;
3. City Court Services, Judicial Processing – responsible for scheduling and supporting the Provincial Offences Act (P.O.A) trials. All costs associated with Parking courts are covered under this umbrella; and
4. City Legal Services – responsible for prosecutions.
**Parking Enforcement Unit Responsibilities:**
The P.E.U. is staffed specifically to ensure the safe and orderly flow of traffic, meet enforcement objectives, respond to calls for service from the community and provide a visible presence to promote compliance. Parking Enforcement Officers (P.E.O.s) are deployed to zones throughout the City to patrol for the aforementioned reasons and support effective service delivery. Any shortfall in staffing levels creates shortages, which places pressure on the enforcement (tag issuance) of non-compliance with applicable by-laws and calls for service, both of which can impact traffic flow. The unit takes all possible action, including the use of available premium pay, to mitigate the overall impact on enforcement activities.
**Parking Tag Revenues:**
Although the P.E.U. is responsible for parking tag issuance, actual revenues, as noted above, accrue directly to the City and are collected by the City Treasurer through the Revenue Services division. Revenues collected are impacted by City Council initiatives (e.g. 10 minute grace period), by-law changes, increased fines and programs, such as legal parking permit issuance, methods of payment and level of compliance. All of these factors have an impact on enforcement operations, the number of tags issued, public behaviour and the overall amount of revenues collected.
**2018 Operating Budget – Guidelines and Budget Development Process**
In 2018, all City Divisions and Agencies are required to manage and offset their own pressures as well as contribute toward mitigating corporate City pressures. To this end, the City has established a 0% increase target for all City Divisions, Agencies, Boards and Commissions. City Finance guidelines included a number of factors that were to be considered in developing the 2018 budget, including strategies to control expenditures, reviewing service levels for efficiencies and the need to clearly justify any new staffing requests.
In preparing the 2018 operating budget for P.E.U., the following assumptions were made:
No additional positions added to P.E.U.’s staffing complement;
Replacement P.E.O.s continues, based on attrition estimates;
Required budget increases were absorbed into existing funding amounts; and
Historical funds budgeted but not spent were reduced from the current budget request.
It should be noted that the Transformational Task Force’s The Way Forward report includes a recommendation regarding possible alternate service delivery or shared services for Parking Enforcement. An external consultant has been engaged by the City to review the viability of an alternative or shared service delivery model. A report is expected by the end of 2017. Accordingly, at this time, the 2018 request is based on the current service delivery model.
**2018 Operating Budget Request:**
The 2018 operating budget request of $46.7M ($48.3M gross) includes the funding required to maintain an average deployed strength of 357 P.E.O.s (the approved deployment target), as well as services and equipment required to effectively support operations. In order to ensure optimal staffing levels to meet operational demands, the Unit works to maintain the approved staffing target, on average, throughout the year.
Figure 1 indicates that, on a gross basis, 85.0% of P.E.U.’s budget is for salaries, premium pay and benefits. The remaining 15.0% is required to support P.E.O.s in terms of the vehicles, equipment and technology they use, facilities they work in, and training they require.
Table 1 below summarizes the current 2018 request by category of change, followed by a discussion on each category.
| Table 1 - Summary of 2018 Budget Request By Category of Change |
|---------------------------------------------------------------|
| | Request $000s | $ Increase / (Decrease) over 2017 | % Increase / (Decrease) over 2017 |
| 2017 Net Budget - $46,722,600 | | | |
| (a) Impact of 2018 Salary Settlement | $769.1 | $769.1 | 1.65% |
| (b) Salary Requirements | $30,271.3 | -$285.9 | -0.61% |
| (c) Premium Pay | $2,506.8 | -$239.4 | -0.51% |
| (d) Statutory Deductions and Employee Benefits | $7,284.6 | -$407.8 | -0.87% |
| (e) Reserve Contributions | $2,704.2 | $10.9 | 0.02% |
| (f) Other Expenditures | $4,711.8 | $153.1 | 0.33% |
| **2018 Gross Budget Request** | **$48,247.8**| **$0.0** | **0.00%** |
| (g) Revenues | -$1,525.2 | $0.0 | 0.00% |
| **2018 Net Budget Request** | **$46,722.6**| **$0.0** | **0.00%** |
(a) Impact of 2018 Collective Agreement ($0.8M)
The 2018 impact of the 2015 to 2018 salary settlement with the T.P.A. is $0.8M, or 1.65%.
(b) Salary Requirements ($30.3M)
The 2018 P.E.U. budget reflects an overall establishment of 394, which includes a staff complement of 357 P.E.O.s. The 2018 salary budget assumes that the replacement of P.E.O.s will continue based on attrition estimates. This budget represents a $285,900 or 0.61% decrease over P.E.U.’s total 2017 budget, due to backfills of vacancies being budgeted at lower rates than staff that separate from the P.E.U.
(c) Premium Pay ($2.5M)
Nearly all premium pay at the P.E.U. is related to enforcement activities, attendance at court and the backfilling of members attending court. Premium pay is utilized to staff enforcement activities at special events or directed enforcement actions instituted to address specific problems. The opportunity to redeploy on-duty staff for special events is minimal, as this will result in decreased enforcement in the areas from which they are being deployed. All premium pay expenditures are approved by supervisory staff and carefully controlled.
At its July 12, 2016 meeting, Council adopted the report on the Administrative Penalty System (A.P.S.) for Parking Violations. The new administrative process is intended to:
- Provide a fair and equitable dispute resolution process for parking disputes, ensuring that individuals who contest an administrative penalty (i.e. parking fines) for a parking violation will receive an impartial review in a timely manner, ideally within 60 days.
- Provide customers with greater access to dispute resolution services through the implementation of processes and technologies, including on-line options for disputing or paying a penalty, that are more accessible and efficient than those currently allowed under the P.O.A.
- Allow the City sufficient flexibility to respond to fluctuating parking dispute levels, while building capacity within the court system for the processing of offences that are more serious.
- Help the City regulate the flow of traffic by promoting compliance with its by-laws respecting the parking, standing, or stopping of motor vehicles.
The total premium pay budget request for 2018 is $2.5M. This budget represents a $239,400 or 0.51% decrease over P.E.U.’s total 2017 budget, as a result of an anticipated decrease in required court attendance due to the implementation of the A.P.S. It must be noted that operating impact of the A.P.S. is not yet fully known, as it was implemented during the second half of 2017.
(d) Statutory Payroll Deductions and Employee Benefits ($7.3M)
This category of expenditure represents a decrease of $407,800 or 0.87% over P.E.U.’s total 2017 budget. Employee benefits are comprised of statutory payroll deductions and requirements as per the collective agreements.
The decrease is a result of decreases in statutory benefit costs due to projected vacancies at the start of the 2018 budget year.
(e) Reserve Contributions ($2.7M)
P.E.U. contributes to reserves and reserve funds through provisions from its operating budget. All reserves and reserve funds are established by the City. The City manages the Sick Pay Gratuity and Insurance reserves, while the Service manages the remaining reserves (the Vehicle and Equipment and Central Sick Bank reserves). The total 2018 budget for contributions to the reserves is $2.7M. This budget represents a $10,900 increase or a 0.02% increase over P.E.U.’s total 2017 budget.
(f) Other Expenditures ($4.7M)
Other expenditure categories include the materials, equipment and services required for day-to-day operations. Wherever possible, accounts within this category have been flat-lined or reduced from the 2017 level. Changes have only been included where considered mandatory and one-time reductions have been taken into account where
applicable. The total increase for these expenditures is $153,100 or 0.33% over P.E.U.’s total 2017 budget, due mainly to maintenance costs for the handheld ticketing devices.
(g) Revenues ($1.5M)
Revenue is comprised of draws from reserves and towing/pound administrative recoveries. This budget is the same as P.E.U.’s total 2017 budget.
2019 and 2020 Outlooks:
City Finance has requested that budget outlooks for 2019 and 2020 be provided for each budget. Based on known pressures and inflationary increases, the current estimate for 2019 is $48.2M (a $1.5M or 3.2% increase over 2018) and for 2020 is $49.2M (a $1.0M or 2.0% increase over 2019). The 2019 and 2020 assume collective agreement impacts at the rate of inflation, as the current contract expires at the end of 2018.
Conclusion:
The P.E.U.’s 2018 net operating budget request is $46.7M, which is $0M a 0% over the 2017 approved budget, thereby meeting the City’s target of a 0% increase.
The 2018 budget request includes the funding required to maintain the approved establishment of P.E.O.s, as well as the necessary supporting infrastructure. This budget request will allow the P.E.U. to provide enforcement services to promote compliance and improve the traffic flow within the City.
Mr. Tony Veneziano, Chief Administrative Officer, will be in attendance to answer any questions the Board may have regarding this report.
Respectfully submitted,
Mark Saunders, O.O.M.
Chief of Police
Filename: 2018_operating_request_peu.docx
Toronto Police Services Board Report
September 25, 2017
To: Budget Committee
Toronto Police Services Board
From: Andy Pringle
Chair
Subject: Toronto Police Services Board 2018 Operating Budget Request
Recommendation(s):
1. THAT the Budget Committee approve a proposed 2018 net operating budget of $2,309,100 which is an increase of 0% over a 2017 adjusted budget of $2,309,100; and,
2. THAT the Budget Committee forward this report to the Board for approval.
Financial Implications:
The proposed 2018 net operating budget, recommended in this report, represents an increase of 0% over a 2017 adjusted budget of $2,309,100. The Toronto Police Services Board (“the Board”) 2018 operating budget request is a net amount of $2,309,100.
Background / Purpose:
The Board’s 2018 operating budget achieves the City’s target of a 0% increase over the 2017 Council adjusted net operating budget.
Discussion:
Non-salary Accounts
The requested budget does not include any new initiatives or programs.
In terms of non-salary accounts, when the amounts allocated for the City Legal chargeback, chargeback, for external labour relations legal counsel and ongoing consulting costs arising from a Memorandum of Settlement with the Ontario Human Rights Commission are factored out of the budget, the actual non-salary costs proposed in the 2018 budget amount to approximately $100,000.
The proposed 2018 budget includes funding for limited professional development and learning opportunities for Board members by providing sufficient funds for their attendance at the Ontario Association of Police Services Boards’ (OAPSB) conference and the Canadian Association of Police Governance’s (CAPG) conference.
Funds will not be available in the event that the Board requires legal advice other than that which is available from the City of Toronto Legal department or from the Board’s contracted labour relations law firm. Similarly, no funds will be available should the Board require any additional external consulting advice or professional services.
Expenditures within the proposed legal services accounts are difficult to predict as they are often incurred in response to an action or event. Recent settlement statistics related to labour disputes and grievances do indicate that fewer matters proceed to a hearing; the matters that do proceed to hearings are increasingly complex. With the implementation of projects and initiatives from The Way Forward final report, it is anticipated that there will be an increased frequency of labour relations legal expenditures in 2018. Due to the complexity and in many cases novel features of these files, they will likely consume substantial legal resources, including time for preparation for hearings.
Salary and Benefit Accounts
The budget request in the Board’s salary and benefit accounts, totalling $1,037,200, includes salary/benefits for its approved staff complement and for the Council-established Board Member remuneration.
Board staff members provide the administrative support to ensure the Board's provision of civilian oversight to the community. As such, the work performed by the staff is fundamentally linked to the Board's ability to provide adequate and effective police services to the community.
Board staff must not only deal with the significant volume of work generated by the Board on a day-to-day basis but also manage on-going strategic, proactive policy initiatives; both are areas that are critical in meeting the Board's legislative mandate.
Currently, with the Board’s limited staff, it is often challenging to meet the existing demands.
Further, in 2015 the Board received a final report on the implementation of the recommendations arising from Justice Morden’s *Independent Civilian Review into Matters Relating to the G20 Summit*. This report recommends a substantially expanded and strengthened role for civilian governance of the Toronto Police Service. In his report at page 37, Justice Morden writes:
*The Board and its staff in the past have increasingly shouldered a heavy burden in carrying out their responsibilities. If my recommendations are implemented this burden will be increased. Likely, this will necessitate the devotion of further resources to support the Board’s work.*
Since receiving and approving Morden’s report, the Board has reduced its staff complement by one position and has significantly reduced its budget in response to the City’s budget pressures.
In late 2017, the Board is also anticipating that the Province will introduce significant amendments to the Police Services Act. The Board will assess the impact of those changes during 2018 and it can be anticipated that the Board’s 2019 budget request will address any financial pressures that may arise from the amendments.
**Conclusion:**
In an effort to further improve effectiveness and in light of the work involved in the implementation of *The Way Forward* and in anticipation of changes to the Police Services Act, which is the provincial legislation establishing the Board’s mandate, the Board will continue to assess its governance role and the resources required to support its role.
Respectfully submitted,
Andy Pringle
Chair
| | 2016 Actual | 2017 Budget | Change | 2018 Request |
|----------------------|-------------|-------------|--------|--------------|
| Salaries | 802.9 | 895.1 | 0.0 | 895.1 |
| Benefits | 111.4 | 124.4 | 0.0 | 124.4 |
| Premium Pay | 5.4 | 0.0 | 0.0 | 0.0 |
| Reserves | 610.6 | 529.0 | 0.0 | 529.0 |
| Other Expenditures | 1,012.4 | 1,260.6 | (17.7) | 1,242.9 |
| Total Gross Request | 2,542.7 | 2,809.1 | (17.7) | 2,791.4 |
| Revenue | (350.5) | (500.0) | 0.0 | (500.0) |
| Total Net Request | 2,192.2 | 2,309.1 | (17.7) | 2,291.4 |
| Salary Settlement | | | | 17.7 |
| Total Net Request Including Salary Settlement | 2,192.2 | 2,309.1 | 0.0 | 2,309.1 |
Toronto Police Services Board Report
October 11, 2017
To: Chair and Members
Toronto Police Services Board
From: Mark Saunders
Chief of Police
Subject: Modernization Plan for Human Resources in Support of The Way Forward Implementation
Recommendations:
It is recommended that the Toronto Police Services Board (Board):
1) approve the strategic direction for the modernization of the Toronto Police Service’s human resources function as outlined in this report, including the filling, over the next three years, of the required positions outlined in the new organizational chart;
2) authorize the Chief to move forward with the implementation of the new human resources strategic direction; and
3) approve the attached new civilian job descriptions and classifications for positions within People and Culture, which include Manager, Business Partnership (Z32027), Manager, Talent Acquisition (Z32028), Manager, Wellness (Z32029), Employee Services Consultant (Z24009) and Senior Employee Services Supervisor (A12021).
Financial Implications:
The final Transformational Task Force (T.T.F.) report, which was approved by the ices Board at its February 2017 meeting (Min. No. P19/17 refers), includes recommendations that will change how policing services are organized and delivered. Savings and cost avoidance are anticipated from the new service delivery model. However, investments will also be needed to enable the transition to, and implementation of, the modernized Toronto Police Service (Service) envisioned by the T.T.F.
The Human Resources’ (H.R.) modernization will require investments to develop and introduce new capabilities, as well as to deploy H.R. services and technologies. This report outlines a plan to modernize the H.R. function envisioned within
Recommendation #30 in the T.T.F.’s final report, *Action Plan: The Way Forward (The Way Forward)*.
**Savings Estimates:**
The restructuring of H.R. will result in a smaller pillar with fewer administrative and uniform positions and some newly created professional positions. The new H.R. organization will include 71 positions, a decrease of 43 positions from the current structure (see chart on page 9). Forty uniform positions will ultimately be moved out of the H.R. pillar. This process has already started and 30 uniform officers have been transferred out to date.
A process will be implemented, following consultation with the Toronto Police Association (T.P.A.) and the Senior Officer Organization (S.O.O.), whereby current employees will be considered for the new or changed positions. This redeployment of civilian and uniform members to existing priority vacancies will offset pressures to hire for other areas within the Service.
**Cost Estimates:**
This report requests approval to hire up to 40 employees to fill new and vacant positions needed to implement the new human resources modernization plan. Up to ten of these positions may be filled by existing H.R. staff and may not require posting. Further, some of the remaining 30 positions may be filled by internal applicants through the posting process. A three-year phased-in approach is being recommended to fully realize the H.R. transition. Critical positions have been identified, and make up the Phase One hiring needs. Phase One will encompass the remainder of 2017 and 2018. Phase Two of the H.R. transition is expected to span 2019, with Phase Three occurring throughout 2020.
The new H.R. service delivery model will require an investment to fill some vacant and new positions to implement the new plan. It is estimated that the impact on the 2018 operating budget will be approximately $2.7 M to fill Phase One positions starting at the end of 2017 and continuing into 2018, with some of those filled internally by existing members. Funding has been included in the 2018 operating budget request to cover this cost. As more information becomes available, key management positions are staffed, remaining job descriptions are finalized, and the skills of existing personnel are assessed against the needs of the new H.R. service delivery model, actual costs will be better known and future impacts can be included in subsequent budget requests.
**Funding Sources:**
The 2017 Phase One costs to enable the H.R. modernization will be funded from the strategic hiring positions accounted for within the Service’s 2017 operating budget.
Contracted expert assistance, required for the development of new programs and project management, will be funded through a one-time Policing Effectiveness and
Modernization (P.E.M.) grant offered by the Ministry of Community Safety and Correctional Services and/or the modernization reserve.
The remaining Phase One investments will be funded through the 2018 operating budget. Future phases will also be funded through the Service’s operating budgets. These investments will create a budget pressure in 2018, as well as 2019 and 2020. However, they are critical to developing an H.R. function that can enable and support *The Way Forward* report.
**New Job Descriptions:**
The job descriptions attached to this report for approval have been identified as critical positions which need to be posted and filled immediately to commence the implementation of this new model. As mentioned above, the 2017 Phase One costs to enable the H.R. modernization will be funded from the strategic hiring positions accounted for within the Service’s 2017 operating budget.
**Background / Purpose:**
As was reported at the May 2017 meeting, the Board and the Service agreed that the current business model of policing in Toronto was outdated and no longer sustainable. In response to the challenges and pressures facing the organization, the Board and the Service established the T.T.F. to explore opportunities to find sustainable efficiencies in the delivery of policing to the City of Toronto.
The T.T.F. was mandated to look beyond the way policing is currently done in Toronto and to propose a modernized policing model for the City of Toronto, one that is innovative, sustainable and affordable – a model that will place communities at its core, will be intelligence led, and will optimize the use of resources and technology, while embracing partnerships as a means of enhancing capability and capacity.
In its final report, the T.T.F. described an action plan that defined a path to excellence for the Service. This action plan included 32 recommendations to modernize the Service. As was reported in the first update of *The Way Forward* at the May 2017 Board meeting, the Service continues to research and deeply explore the feasibility of the T.T.F.’s recommended initiatives, and concepts are being developed into more clearly outlined plans.
This is the case for Recommendation #30, which spoke directly to enhancing the capacity of the human resources function, while modernizing and improving the organizational culture of the Service:
“We are recommending a comprehensive people management and H.R. strategy for the Service that includes significant changes to:
- The roles, functions and structure of the Service’s Human Resources unit to enable it to play a more modern and strategic role; and
The purpose of this report is to showcase the Services’ People Plan for 2017-2019 (Plan), to request that the Board approve the strategic direction for the modernization of H.R., authorize the Chief to move forward with the implementation and, approve the attached new and modified job descriptions and classifications for critical positions within People and Culture, which will kick-off the implementation process of this new H.R. modernization plan.
**Discussion:**
*The Case for Change*
As the Service shifts into a new service delivery model, its corporate support services, specifically its human resources function, need to keep pace with these changes. The expectations of the Service are continuously increasing, and as a result, human resources must be significantly more agile and responsive to the ever-changing needs of the organization. It must act as a strategic partner to the rest of the Service in resolving issues of increasing complexity. Most importantly, especially as it relates to the T.T.F.’s culture recommendations, H.R. must see itself as a catalyst for change and an enabler of transformation.
*Human Resources Assessment – A New Service Delivery Model is Necessary*
Since the release of the T.T.F. final report in January 2017, significant progress has been made towards determining what a modernized H.R. function looks like, as well as a corresponding Services’ People Plan to enable some of the required talent management and culture changes envisioned by the Task Force.
External expertise was contracted in 2016 to complement the work of the T.T.F. They were tasked with a strategic review of H.R. services with the goal of making recommendations to modernize its operations based on industry best practices. Their mandate included:
1. Developing an H.R. professional services delivery model that will meet the recommendations of the T.T.F. and the needs of units, as well as employees, managers and executives;
2. Developing an organizational proposal, including before and after organizational charts, job descriptions for new/changed positions, a competency matrix for H.R. roles and a governance framework; and
3. Developing an H.R. strategy for the next 3 to 5 years reflecting the T.T.F.’s objectives, including service delivery options, key performance indicators, a quarterly scorecard and success factors.
The consultants concluded that H.R. is focused on transactional functions, such as employee records and position movement, instead of being organized around customers. To achieve the level of support required for Service modernization, they recommended a complete rebuild, and a move to an H.R. Business Partner model with embedded strategic decision support, talent management, business partnership, and organizational design capabilities.
Key features of the new model include:
- A name change from Human Resources to People and Culture to focus on the Service’s greatest asset by aligning people, strategy, culture, and performance.
- The introduction of Business Partner and Advisor roles designed to provide guidance and support to all leaders within the organization, from the first level supervisor to Command Officers. Strategic in their approach, these individuals will help anticipate the needs of the management group and act as the face of H.R. in resolving issues for Service leaders.
- Talent Management expertise focused on developing and executing the H.R. strategy, creating new and innovative programs, as well as refining existing ones, updating policies, analyzing trends, and continuously improving the work of the Service’s H.R. function.
- The restructuring of specialized services (Labour Relations, Talent Acquisition, and Wellness) dedicated to case management and the resolution of complex employee issues requiring in-depth expertise, support, and knowledge of TPS policies and programs, including:
- The introduction of an Organizational Design specialist, to provide expertise in the restructuring of the organization.
- The introduction of modern Talent Acquisition practices and the matching of Talent Acquisition staff to Business Partners and Advisors so that the people needs within each command can be more proactively addressed.
- The consolidation of all wellness resources under one manager responsible for the creation of a comprehensive wellness strategy for first responders and those who support them, as well as improved return-to-work and health and safety processes with a wellness focus.
The new model will also allow H.R. to continuously reinvent itself by refining its strategy, measuring its performance, fine-tuning its structure, and investing in new technologies, all of which will create future efficiencies, and elevate H.R.’s strategic contribution through its participation at management tables across the organization. Achieving these benefits will require three years to transition to the new H.R. model. An implementation plan, with a phased-in approach to align structure, strategy, and skills, has been created to support the Service’s modernization priorities and strategies, while recognizing the Service’s fiscal realities.
**Employee Services Unit**
The introduction of a singular “front door” for employees to access payroll and benefit services, as part of an Employee Services unit is also part of the people services
transformation. Consisting of a multi-channel entry point (in person, phone, online, and via self-service), this unit will handle employee payroll and benefit inquiries along with centralized transactional operations in a service-oriented, cohesive and efficient manner. This unit will remain initially in the Finance and Business Management pillar, with a strong dotted line relationship with H.R. This will allow H.R. to focus on the significant work required to professionalize and modernize the services it provides. At the same time, Employee Services will be able to focus its attention on ensuring strong financial controls and sound fiscal management of the Service’s largest expenditure, the salary and benefits of its members.
Parallel to the work that H.R. and Employee Services are doing to modernize and enhance their delivery of service to management and employees, they are also working together on enhancing the Service’s H.R. systems and the eventual move from two systems to one “cradle to grave” H.R./payroll system (Transforming Corporate Support capital project). Following the stabilization of the H.R. function and the Employee Services unit, the unit’s location in the Service’s organizational structure will be revisited in 2 to 3 years and a determination made on where it best fits.
See Appendix A for an overview of the proposed new People and Culture organizational structure.
**Modernization Enablers**
The implementation of the H.R. modernization and the realization of the programs envisioned within the TPS People Plan 2017 – 2019 require a critical set of enablers. These enablers are needed to create favourable conditions in the short-term, as well as to position People and Culture, and the Service, for longer-term success.
**New Skills and Competencies**
The new H.R. service delivery model and organizational structure will need to be staffed with professionals who are experienced in modern human resources practices, if desired outcomes are to be realized. While some upskilling can be accomplished through developing existing human resources staff, hiring new personnel with requisite skills and competencies, or contracting services from external providers on an as-needed basis, is required. Either way, this will be a significant investment.
For example, the new model employs a Business Partner unit, which represents a completely new H.R. service. Business Partner staff will be the face of People and Culture within the organization. Their anticipated impact will be hindered if this unit’s staffing is phased in, particularly in light of the amount of Service-wide structural and people changes associated with modernization. Rather, this unit must be fully functional as soon as possible to allow for internal connections, operational familiarity, attendance at management meetings, and collaborative problem-solving between Service units and other areas within H.R.
Other priority positions are also required for new people strategies that will support modernization. For example, a new Accommodation Strategy is being designed to respectfully deploy accommodated members to support the new policing model. The administering of new processes will need adequate staffing to ensure success with the program. Other positions are required to develop and manage a comprehensive wellness strategy for our members.
While priority hiring needs have been identified, other units require a due diligence and phased-in approach. For example, the Performance Management Consultant and Project Manager positions are being contracted through funding from the P.E.M. grant. This approach will allow the Service to assess workload before a commitment to hire full-time, permanent positions is made, if at all.
The following 29 positions have been identified as priorities for hiring in Phase One:
Manager, Business Partnership
Manager, Talent Acquisition
Manager, Wellness
HR Strategy & Performance Analyst
People Analytics Consultant
Business Partner (3)
Advisor (6)
Senior Labour Relations Consultant
Labour Relations Consultant
Organizational Design Specialist
Senior Talent Acquisition Consultant (5)
Talent Coordinator (2)
Accommodation and Return to Work Coordinator
Case Management Coordinator
Psychologist
Psychological Assistant
Wellness Coordinator
The Employee Services unit will require two key positions to be hired in Phase 1, specifically:
Senior Employee Services Supervisor
Employee Services Consultant
The new job descriptions of the positions that need to be staffed immediately during Phase One are attached (see Appendix B). One of the recommendations of this report is requesting that the Board approve these job descriptions to initiate the implementation of the new H.R. model.
All Manager positions and the Employee Services Consultant position have been evaluated using the Service’s job evaluation plan and have been placed within the Civilian Senior Officer salary scales. The Managers have been determined to be Class
Z32 (35 hour) positions with a current salary range of $139,793 - $161,823 per annum, effective July 1, 2017. The Employee Services Consultant has been determined to be a Class Z24 (35 hour) position with a current salary range of $83,784 - $96,990 per annum, effective July 1, 2017.
The Senior Employee Services Supervisor position has also been evaluated using the Service’s job evaluation plan and has been placed within the Unit A Collective Agreement. It has been determined to be a Class 12 (35 hour) position with a current salary range of $98,227 - $114,222 per annum, effective July 1, 2017.
**Executive Championship and Ownership**
Another enabler of modernization is leadership. While new capabilities and innovative programming will drive change, People and Culture cannot be the sole champion of the much needed people-related changes within the Service. All leaders, from Command Officers to those on the front line, must own the Service’s overall cultural transformation. The entire management cadre will need to lead by example, continuously exhibiting and extoling the values of the Service in every interaction, decision, and communication. As the organization continues to evolve its norms, rules, and modes of interaction, People and Culture will play an active role in supporting leadership through the Service’s modernization.
**New H.R. Service Delivery Model – Fewer Administrative and Uniform Positions**
While an investment is required, the new H.R. service delivery model is envisioned to be smaller, and comprised of a different mix of skill sets. For the purpose of this discussion, the January 2016 establishment is being used as a benchmark for comparison. This establishment represents H.R.’s staffing complement at the time the Transformational Task Force was created, which was just before the Service embarked on the planning for its modernization. At that time, Human Resources was comprised of 114 positions. It is anticipated that the new model will be 43 positions smaller, at approximately 71 positions.
It is important to note that the external review of the Service’s H.R. function recommended a ratio of ~1:80 (one H.R. staff member per 80 employees) by 2019, which equates to approximately 97 H.R. staff members based on our current employee count of 7728. Overall, for a mature H.R. function, the consultants recommended a ratio of ~1:75, which equates to approximately 103 H.R. staff members. At the current 71 positions being proposed in this report, the Service is much leaner than what was recommended by the external consultant. However, as there are still some unknowns, it is our view that it would be appropriate and fiscally prudent to start with a lower complement and then through the experience we gain over the next three years, adjust the establishment, where necessary and justifiable.
In addition to a different mix of skill sets, fewer administrative positions are envisioned for the new service delivery model and a greater leveraging of technological solutions. This will enable more analytical and strategic outcomes from staff, versus the current
focus on transactional work. To that end, H.R. has already begun the move toward an internal shared administrative support capacity, and managers and staff are taking on greater responsibility for their own administrative needs.
The new H.R. model also requires fewer police officers, particularly within the new Talent Acquisition unit. To this end, 30 police officers have already been redeployed to other priority areas within the Service from H.R. By 2020, we will have reduced our uniform officers by 40, with a value of approximately $4M. The redeployment of these officers to core policing duties will help enable the Service to continue to provide public safety services with a reduced overall uniform officer complement.
The chart below outlines a comparison between the 2016 establishment and the 2020 envisioned structure.
| People and Culture | 2016 Establishment | End of Phase Three 2020 | Difference |
|--------------------|---------------------|-------------------------|------------|
| Uniform FTE | 53 | 13 | - 40 |
| Civilian FTE | 61 | 58 | - 3 |
| Total | 114 | 71 | - 43 |
As part of its transition and modernization, People and Culture must continue its efforts to implement technology solutions that automate routine people administration if additional benefits of cost reduction, increased productivity, staff availability, reliability and performance are to be realized.
**H.R. Transition Plan – From Current to Future State**
H.R.’s modernization is dependent upon people with the right skill sets and competencies being selected for key positions. Once the H.R. managers are in place, job descriptions will need to be finalized and positions classified as existing, modified, or new. The fair and transparent treatment of staff is a principle guiding the transition to the new model.
Given these principles, the following transition process is envisioned:
- Brand new positions, like all those in the Business Partnership unit, will need to be posted.
- For unchanged positions, or those with minor changes where the incumbent meets the minimum requirements, staff may be placed directly into the position.
- For positions with substantive changes, the job may need to be posted.
- Upskilling, where possible and practical, will be considered.
Members without a position at the end of the skills assessment will be redeployed to other priority vacancies within the Service. The process for redeploying these members will be discussed with the T.P.A. or the S.O.O. to ensure fairness and transparency.
The H.R. management team will have conducted three Town Hall meetings with H.R. staff since the release of the consultants' report in March 2017. One meeting addressed the new structural recommendations, as they were known at the time, one communicated the programs within the People Plan 2017 – 2019, and the third meeting further explained the modernization plan. These meetings informed staff about the expectations that will be placed upon the People and Culture pillar over the next three years, as well as staffing and skills needed to meet these expectations. Meetings were also held with representatives from the T.P.A. and the S.O.O., updating them on the modernization plan and reviewing the workforce transition plan. These meetings will continue as the process evolves.
**Service Wide Human Resources Strategy – The TPS People Plan 2017 - 2019:**
In addition to the H.R. structural analysis and proposed transition plan, a three-year TPS People Plan was developed in response to Recommendation #30. This Plan is anchored in the work of the Task Force, and aligns with the 32 recommendations within the T.T.F.'s final report. The Plan focuses on how the Service defines roles and expectations, and how it recruits, develops, promotes, and manages culture change.
In developing this Plan, input from a variety of sources was considered:
- Senior Officers during focus groups held in May 2016, prior to the release of the T.T.F.'s interim report;
- Residents during the public consultations held between July and November 2016, prior to the release of the T.T.F.'s final report;
- Stakeholders consulted during the strategic review of the HR pillar during the fall of 2016; and
- Service members during the unit and platoon visits after the T.T.F.'s final report was released in January 2017.
Human resources themes were garnered from this input, the majority of which addressed how members were selected, developed, recognized, and rewarded. These comments helped to create twenty-eight (28) foundational initiatives that are contained within the attached Plan.
Based on the input from community and Service members, the Plan was organized into four pillars: (1) Our People; (2) Our Leaders; (3) Our Culture and Inclusivity; and (4) Our H.R. Services, with 28 foundational initiatives.
This Plan begins with a broad array of people initiatives that embed a results-based approach to recruiting, selecting, developing, and managing our people. It also includes an investment in leadership to inspire a performance culture through performance
management processes that focus on member and leader accountability and development.
Over the next three years, these four pillars will create focus, and allow for a highly intentional allocation of time and effort to achieve the following desired outcomes, some of which require very radical changes to structures, processes, programs, policies and culture.
1. **Our People**: people-focused programs and tools to ensure competent and engaged members who are clear about the outcomes they are expected to achieve, who have the capabilities necessary to deliver community-centric services.
2. **Our Leadership**: leader-focused programs to ensure empowered leaders, skilled in public administration fundamentals, accountable for supporting and developing their staff to achieve outcomes, and who champion change and innovation.
3. **Our Culture and Inclusivity**: programs that create a culture of excellence, innovation, and pride in public service created through intentional actions that support member wellness and the lived experiences of our employees and our communities.
4. **Our HR Services**: structure and skill changes that enable strategic and effective human resources services for members and leaders that align people, business strategy, performance and culture.
Knowing that this Plan is aggressive, the HR team sought feedback from key internal stakeholders, as well as former T.T.F members. Overall, the internal members consulted were excited about the programs envisioned within the Plan, as they address several areas that have been in need of change. Task Force members provided advice on how best to staff and implement the new HR structure, advice that helped to shape the recommendations within this report.
At the time of this report, 4 of the 28 initiatives are almost ready to launch:
1. A more strategic H.R. unit, with significant changes to roles, functions, and structure (described within this report);
2. A new competency framework consisting of core and leadership competencies for all ranks and classifications throughout the Service;
3. A new performance management system; and
4. A mentoring program with an embedded pilot of a 360 degree evaluation tool for member development.
Over the course of the next three years, the other 24 initiatives will be developed through consultation with members, external experts, stakeholders, and the public. It is anticipated that updates will either be presented by the Strategy Management unit through its quarterly modernization reports to the Board, or as stand-alone updates, where applicable.
See Appendix C for further details about the 2017 - 2019 TPS People Plan.
**Next Steps**
Key positions required to operationalize the new human resources service delivery model have been identified for Phase One investment. Phase One spans the remainder of 2017, as well as the duration of 2018. Upon approval from the Board of the strategic direction of the modernization plan for H.R., and the subsequent approval of the new job descriptions, critical management positions will be posted and work to staff these and other key vacant positions will begin.
To assist with the planning required for the H.R. transition, as well as the People Plan, a project manager experienced in H.R. transformation and change management has been hired with funding from the P.E.M. grant.
**Conclusion:**
The modernization plan outlined in this report will allow People and Culture to demonstrate its relevance to the organization, and its important role as a catalyst for change, cultivator of culture, and driver of performance.
To realize this success, the Service is requesting that the Board support the strategic direction outlined in this modernization plan, and the three-year investment required to realize this plan, by approving the hiring of required positions over the next three years and authorizing the Chief to move forward with the implementation.
It is also recommended that the Board approve the attached new civilian job descriptions and classifications for the positions within People and Culture. Subject to Board approval, these positions will be staffed in accordance with the established procedure. For the positions within Unit A, the Toronto Police Association will be notified accordingly, as required by the collective agreement.
Ms. Jeanette May, Director, Human Resources, will provide a presentation on the modernization of H.R. Deputy Chief Barbara McLean, Human Resources Command, and Mr. Tony Veneziano, Chief Administrative Officer, will be in attendance to answer any questions the Board may have regarding this report.
Respectfully submitted,
Mark Saunders, O.O.M.
Chief of Police
MS/BM
Filename: H.R. Modernization and People Plan – Public.doc
Attachment:
Appendix A: People and Culture Organizational Structure
P&C Reorganization 2017 - 2020
*Program Advisor position in People Strategy and Performance to be transitioned out after Phase 3
*Reports to Finance and Business Management
Summary of Function
The Business Partnership Manager provides active leadership to Business Partners (BPs) while supporting the Deputies. Through a network of BPs, the Business Partnership Manager partners with Command leaders and is responsible for ensuring the effective provision of HR services for each Command while working closely with BP’s to deliver a seamless, customer focused HR service.
Direction Exercised
The Business Partnership Manager reports to the People and Culture Director and supervises Business Partners within each customer group.
Duties and Responsibilities
Strategic Oversight 30%
- With the People and Culture Director, serve as a member of the Toronto Police Service People and Culture Leadership Team to develop and support the strategic priorities outlined by the organization and People and Culture.
- Scan and understand the Service environment and needs, sharing insight back into People and Culture.
- Guide strategic direction on initiatives to ensure alignment and support of business unit strategies while supporting delivery of projects by being effective change agents, removing barriers and building compelling cases for change.
• Develop deep understanding of the Service while continuously bringing relevant and impactful HR tools and solutions that drive results for their respective Command.
**Performance and Continuous Improvement** 25%
- The Business Partnership Manager is responsible for engaging the experts in the People and Culture pillar to design solutions for their respective Commands and instill culture and organizational values within the business.
- Be a proactive change agent and lead relevant HR related projects by working with members of the wider People and Culture team (e.g., local roll-out of a new policy, tools, process or program while providing feedback on their relevance and effectiveness to help improve design, efficiency and customer satisfaction).
**People Champion** 25%
- Provide professional advice and coaching with Deputies on the implementation of HR policy and support the delivery of employee lifecycle events such as promotion and performance management.
- Through its supervision of Business Partners, the Business Partnership Manager is ultimately responsible for ensuring alignment and a productive relationship between People and Culture and Command and amongst People and Culture units.
**Unit Management** 20%
- Direct the activities of the Business Partnership team and provide direction and mentorship to team members as appropriate, in support of employee development and performance management. Provide day-to-day leadership and guidance to team members, including the operational planning/scheduling of work, and resolution of escalated issues.
- In collaboration with other People and Culture Managers and the People and Culture Director, establish objectives, priorities and plans for the Business Partnership unit, and identify human resource requirements. Manage the unit’s operational budget, in line with the pillar’s budget, and approve expenses in accordance with their authorization limit or delegated authority. Own and maintain unit specific processes and policies, with a view to supporting continuous process improvement.
- Report to the People and Culture Director on the unit’s performance, and identify and raise risks as required. Ensures unit’s adherence to the Services’ policies and standards.
Summary Function
The Talent Acquisition Manager is responsible for defining and executing the operational talent acquisition plan. Specifically, the Talent Acquisition Manager is responsible for overseeing the organization’s talent strategic sourcing, acquisition and onboarding efforts by partnering with People Strategy and Performance and Business Partners/Advisors to drive workforce planning and leading the execution of those plans through Business Partnership Advisors and Talent Acquisition Consultants.
Direction Exercised
Talent Acquisition Manager reports to the People and Culture Director and will partner with other People and Culture Managers to ensure collaboration/integration cross-functionally while supervising functional experts within the Talent Acquisition unit.
Duties and Responsibilities
Performance and Continuous Improvement 40%
- Monitor and champion the use, adoption, effectiveness, and compliance of talent acquisition processes, policies and programs to minimize risk and yield results (hiring and retaining high performers, higher employee engagement, shorter time-to-fill, shorter productivity ramp up, etc).
- Use benchmarking and networks to share and implement leading practices.
• Work with the People Strategy and Performance unit to identify systems and technology required to effectively support talent acquisition and workforce planning initiatives.
**Strategic Oversight**
- Oversee the execution of talent acquisition programs, policies, and procedures as well as a team of talent acquisition consultants.
- Oversee the background investigation processes, continuously seeking more efficient ways to deliver these services meanwhile protecting the interests of the organization and the communities it serves.
- Lead the design of consistent organization-wide talent acquisition programs, policies, and procedures.
- Provide subject matter expertise, advice and guidance for cases / inquiries that require deep talent acquisition and sourcing subject matter expertise.
**People Champion**
- With People and Culture Managers, strategically assess the divisional/unit competency levels to strategically and proactively source talent to fulfill current and future needs.
- Continuously assess talent acquisition and background investigation based on effectiveness, efficiency and feedback from the Business Partnership Manager, Hiring Managers and candidates to deliver an excellent candidate experience.
- With the People and Culture Managers, support the marketing and demonstrating of a strong and positive employer brand.
**Unit Management**
- Direct the activities of the Talent Acquisition team and provide direction and mentorship to team members as appropriate, in support of employee development and performance management. Provide day-to-day leadership and guidance to team members, including the operational planning/scheduling of work, and resolution of escalated issues.
- In collaboration with other People and Culture Managers and the People and Culture Director, establish objectives, priorities and plans for the Talent Acquisition unit, and identify human resource requirements. Manage the unit’s operational budget, in line with the pillar’s budget, and approve expenses in accordance with their authorization limit or delegated authority. Own and maintain unit specific processes and policies, with a view to supporting continuous process improvement.
- Report to the People and Culture Director on the unit’s performance, and identify and raise risks as required. Ensures unit’s adherence to the Services’ policies and standards.
Education and Qualifications
Required
- Undergraduate degree in Human Resources
- Five years of experience in an HR Manager role, with talent management or talent sourcing experience
Assets
- HR Professionals Association designation
- Registered Professional Recruiter (RPR)
Additional Requirements
- A demonstrated commitment to the core organizational values
- Deep understanding of leading human resource practice
- Demonstrated ability to translate talent needs into strategic sourcing needs
- Strong business acumen to market the organization as an employer of choice
- Outstanding operational excellence skills
- Strong program management and change management skills and familiarity with a variety of event planning, talent acquisition concepts, practices, technology and procedures
- Strong interpersonal and customer service skills including the ability to motivate others.
- Ability to effectively organize and prioritize work demands in a dynamic, fast-paced environment
Summary Function
The Wellness Manager supports the development of wellness programs to develop a culture of health, safety and wellness designed to improve the health, safety and wellness of the employee population by leveraging issues identified through claims, data, EFAP program, health, safety and wellness practitioners, Business Partnership and other sources.
Direction Exercised
The Wellness Manager reports to the People and Culture Director and will partner with other People and Culture Managers to ensure collaboration/integration cross-functionally while supervising functional experts within the Wellness unit.
Duties and Responsibilities
Strategic Oversight 30%
- In support to the EFAP Coordinator, champion and manage the Employee and Family Assistance Program (EFAP), including working with Business Partners to deliver and promote the use of this program to employees.
- In support to the Psychologist(s), champion and manage the Mental Health Program, including working with Business Partners to deliver and promote the use of this program to employees.
- In support to the Chaplain(s), champion and manage the Spiritual Health Program, including working with Business Partners to deliver and promote the use of this program to employees.
- Support non-occupational disability case management, WSIB case Management and accommodation requests to ensure that all Service claims (medical/non-medical) and workers’ compensation matters are managed according to applicable provincial regulations, collective agreements, as well as Service standards and policies meanwhile mitigating cost risks for the organization.
- Working in partnership with People Strategy and Performance, oversees the creative design, development and distribution of program communications, including presentations to management and employees, on health management topics, safety tips, improved health status, etc.
**Performance and Continuous Improvement**
30%
- Through health, safety and wellness programs, champion a culture of health, safety and wellness for Service employees through proactively identifying improvement opportunities using claims, data, EFAP program, health, safety and wellness practitioners, Business Partnership and other sources.
- Monitor and respond to changes in service delivery efficiency and effectiveness through action planning and KPI reporting, in particular for the employee accommodation process.
- Monitor and respond to changes in employee health, safety and wellness levels and provide updates to People and Culture and Service leadership teams.
**People Champion**
20%
- Work collaboratively with the People and Culture pillar to design strategies to best understand health, safety and wellness concerns and requirements of Service employees, and design programs to address these requirements.
- Collaborate closely with Business Partners to develop initiatives/programs within each Command to ensure the Service responds to local cultural expectations in respect of non-core benefits.
**Unit Management**
20%
- Direct the activities of the Wellness team and provide direction and mentorship to team members as appropriate, in support of employee development and performance management. Provide day-to-day leadership and guidance to team members, including the operational planning/scheduling of work, and resolution of escalated issues.
- In collaboration with other People and Culture Managers and the People and Culture Director, establish objectives, priorities and plans for the Wellness unit, and identify human resource requirements. Manage the unit’s operational budget, in line with the pillar’s budget, and approve expenses in accordance with their authorization limit or delegated authority. Own and maintain unit specific processes and policies, with a view to supporting continuous process improvement.
• Report to the People and Culture Director on the unit’s performance, and identify and raise risks as required. Ensures unit’s adherence to the Services’ policies and standards.
**Education and Qualifications**
**Required**
- Undergraduate degree in Human Resources, Health promotion or Healthcare profession
- Five years of experience in a Management role, with health, safety and wellness experience in a related sector/employer or equivalent combination of education and experience.
**Assets**
- HR Professionals Association (HRPA, CHRP) or Healthcare professional designation
- Canadian Registered Safety Professional (CRSP)
- Certified Disability Management Professional (CDMP)
- Certified Return to Work Coordinator (CRTWC)
**Additional Requirements**
- A demonstrated commitment to the core organizational values
- Experience working in a policing background
- Strong program management and change management skills and familiarity with a variety of event planning, program management, and employee health, wellness, and benefit administration concepts, practices, and procedures.
- Outstanding operational excellence skills
- Strong interpersonal and customer service skills including the ability to motivate others.
- Ability to effectively organize and prioritize work demands in a dynamic, fast-paced environment
- Demonstrated experience applying leading Occupational Health and Safety practice
- Ability to translate health, safety and wellness needs into action plans and to deliver on them
- Strong ability to develop coalitions internally and externally to offer the best health, safety and wellness services
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The above statements reflect the principal functions and duties as required for proper evaluation of the job and shall not be construed as a detailed description of all the work requirements that may be inherent in the job or incidental to it.
**SUMMARY OF FUNCTION:**
Represents the Toronto Police Services Board with respect to the development, administration and maintenance of all human resources, payroll, benefit and pension programs and systems. Provides assistance and initiates proposals in the development, implementation and management of the Service’s payroll, pension and benefit programs, income replacement and disability programs, for active and retired members.
**DIRECTION EXERCISED:**
Provides functional guidance and explanation of all Employee Services programs as required to all members and retired members of the Service. Supervision and delegation of work to clerical support staff, as required.
**MACHINES & EQUIPMENT USED:**
Workstation with associated software (e.g. MS Word, MS Excel, MS PowerPoint, HRMS, TRMS, Internet, Intranet). Other standard office equipment.
**DUTIES AND RESPONSIBILITIES:**
1. Guides and counsels senior management with respect to the unit’s administration of human resources, payroll, pension and benefits programs and the proper adherence to the Collective Agreements, government legislation, industry best practices and specific Service related policies and programs.
2. Provides and presents information about current, new or proposed human resources, payroll, pension and benefits programs and policies to internal/external stakeholders, employees or employee groups.
3. Maintains a thorough awareness of current employment, benefits, pension, labour and human rights legislation as well as existing collective agreement matters affecting the Service’s programs that are administered in the unit. Keeps updated with current trends in this area and evaluates impact to any of the programs administered in the unit. Maintains external relationships with other police services and agencies in order to benchmark programs administered in the unit.
4. Conducts analyses and reviews for use in payroll, pension and benefit related research, for the resolution of grievances, and the resolution of member complaints filed with the Service. Replies and/or acts as a witness to the presentation of data; acts as a witness/representative on behalf of the unit for resolution of grievances, conciliations and other resolution related meetings as required.
5. Plans, conducts and analyzes the results of trends in other police services; produces reports and statistical summaries on such trends for use in overall planning and policy development; analyzes proposed or projected amendments in benefits modifications or enhancements and the financial implications of such.
---
The above statements reflect the principal functions and duties as required for proper evaluation of the job and shall not be construed as a detailed description of all the work requirements that may be inherent in the job or incidental to it.
6. Assists in providing information, statistics and metrics on human resources, payroll, pension and benefit programs administered in the unit for negotiation and information to the Board and Command plus other internal/external stakeholders.
7. Consults, analyzes and reviews, along with internal Service stakeholders, the administration of medical, dental and life insurance plans, claims adjudication and adjudication of short and long term income replacement plans.
8. Liaises with vendors, internal stakeholders and insurance companies as required for benefits planning, trends in medical, dental, life and disability insurance plan design. Assists the Manager in the vendor procurement process as required and manages vendor relationships through meetings and following up with issues etc.
9. Liaises with OMERS regarding pension issues affecting employees and retirees. Works with OMERS to implement any new pension legislation or changes to that legislation at the Service.
10. Oversees the development and maintenance of the administration processes of the Service’s short term and long term disability plans. Assists the Manager in developing and maintaining relationships with other Service stakeholders in this process.
11. Provides input to the Manager for the purposes of unit member performance reviews and may assist in the delivery of performance reviews to members of the unit where/when appropriate.
12. Reviews/analyzes unit’s customer service metrics and provides assistance and guidance to unit supervisors regarding any need for change and improvement to those customer service metrics. Assists the Manager with management and employee communication and education in these areas.
13. Provides guidance to Finance in relation to budget and accounting inquiries with respect to the human resources, payroll, pension and benefit programs administered in the unit. Notifies associated finance areas of any changes in the administration of these programs in order for the costs and expenses of these programs to be accurately accounted for.
14. Performs other related duties and responsibilities, as required.
The above statements reflect the principal functions and duties as required for proper evaluation of the job and shall not be construed as a detailed description of all the work requirements that may be inherent in the job or incidental to it.
**EDUCATION:**
Degree/diploma in Human Resources, Business Administration or a related discipline.
**ADDITIONAL REQUIREMENTS:**
- Minimum of five years of proven experience in the field of benefits administration, labour relations and/or human resource administration, preferably in a large public/private sector organization.
- Requires a good understanding and broad knowledge of benefits theories, policies and practices in both union and non-union environments.
- Strong analytical skills with the ability required to perform data collection, quantitative and qualitative analyses, the provision of statistical analysis and reports and the conducting of benefits related research, surveys etc.
- Requires comprehensive knowledge of current and related Employment, Labour and Human Rights legislation particularly within a unionized environment, as well as familiarity with, the collective agreement process and related labour relations standards, codes and regulations.
- Requires a good knowledge and understanding of benefit increases and budget costings as well as a sound understanding of labour relations practices including the grievance/arbitration process.
- Exceptional communication and interpersonal skills required to effectively deal with various levels of personnel, senior management, other Police Services, etc.
- Excellent conflict resolution and problem solving skills.
- Human Resources designations such as CEBS, CHRP are considered an asset.
**QUALIFYING PERIOD:**
One year.
---
The above statements reflect the principal functions and duties as required for proper evaluation of the job and shall not be construed as a detailed description of all the work requirements that may be inherent in the job or incidental to it.
**SUMMARY OF FUNCTION:**
Reporting to the Employee Services Manager, is responsible for providing direction and leadership of the overall delivery of employee administrative and support services related to human resources, payroll, benefits and pension. In addition to ensuring service levels are continuously met, this position requires interacting and meeting with various partners, stakeholders and customers to build relationships and provide a point of escalation for any issues regarding service delivery.
Acts as a change agent and champion of operational excellence, collaborating with internal/external partners to leverage best practices and current technologies to ensure optimal service delivery.
**DIRECTION EXERCISED:**
Manages the activities and performance of staff, providing work direction and technical advice and industry expertise, assigning tasks/activities, determining methods and procedures to be used, resolving problems, and ensuring results are achieved.
**MACHINES AND EQUIPMENT USED:**
Workstation with associated software and other office equipment as required.
**DUTIES AND RESPONSIBILITIES:**
1. Leads and manages all aspects of the daily operational support services related to the delivery of administrative services including employee human resources record keeping, benefits, pension and payroll administration; ensuring consistent delivery of service excellence, operational efficiency and regulatory and corporate compliance.
a. Leads the development of service level agreements with key stakeholder groups.
b. Leads the formulation of standard system operating procedures and ensures these standards are upheld, including call track logs.
c. Consistently monitors and maintains service levels, proactively identifying and addressing issues and managing changing priorities.
d. Maintains and reviews the integrity, reliability, and timeliness of payroll and related information with adherence to statutory and other reporting requirements.
e. Manages the delivery of administrative services to ensure in line with overall People and Culture and Finance strategic direction and longer-term objectives.
f. Leads ongoing review of service levels and status of issues reported related to process or application functional/technical support to identify required policy, process, or system enhancements and/or additional training or support needs.
g. Escalates issues as required.
The above statements reflect the principal functions and duties as required for proper evaluation of the job and shall not be construed as a detailed description of all the work requirements that may be inherent in the job or incidental to it.
**EDUCATION:**
Diploma in business administration – human resources management or accounting. Degree in business administration – human resources management or accounting is preferred.
**ADDITIONAL REQUIREMENTS:**
- Minimum five years’ experience in supervisory role, in an human resources administrative or payroll environment.
- Minimum three years’ experience with PeopleSoft HRMS.
- Experience working in a multi-union payroll environment.
- Experience in Municipal/Public Sector.
- Proficiency in relevant human resources, payroll legislation (e.g. Employment Standards Act, OMERS, MFIPPA, etc.).
- Payroll Compliance Practitioner (PCP).
- Demonstrated leadership/supervisory capabilities.
- Ability to adapt to changing corporate priorities.
- Collaboration/customer focus.
- Expert on administrative service delivery, process design and industry best practices of same.
- Certified Payroll Manager (CPM) or CEBS is preferred.
- Project implementation experience is preferred.
**QUALIFYING PERIOD:**
One year.
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The above statements reflect the principal functions and duties as required for proper evaluation of the job and shall not be construed as a detailed description of all the work requirements that may be inherent in the job or incidental to it.
Appendix C: 2017 - 2019 TPS People Plan
Click: Toronto Police Service People Plan 2017-2019
Toronto Police Services Board Report
August 17, 2017
To: Chair and Members
Toronto Police Services Board
From: Mark Saunders
Chief of Police
Subject: Access to Historical Contact Data – Second Quarter 2017 (April – June)
Recommendation(s):
It is recommended that the Board receive the following report.
Financial Implications:
There are no financial implications relating to the information contained in this report.
Background:
Board Policy Reporting Requirements
At its meeting on November 17, 2016, the Board approved a policy, entitled “Regulated Interaction with the Community and the Collection of Identifying Information” (Min. No. P250/16 refers), which includes, in paragraph 16, a requirement for the Chief to provide the Board, on a quarterly basis, with a public report on requests, approvals, and purpose(s) for access to Historical Contact Data as well as whether or not access fulfilled the purpose(s) for which it was accessed.
Historical Contact Data
The Board policy definition of Historical Contact Data refers to all;
- Person Investigated Card (Form 172),
- Field Information Report (Form 208),
- Community Inquiry Report (Form 306), and
- Community Safety Note (Street Check) records submitted into the Service’s records management systems prior to January 1, 2017; and may include any such submitted record whether or not it would have been categorized as a Regulated Interaction Report had it been submitted on or after January 1, 2017.
Legislated Purposes for Accessing Historical Contact Data
The Board policy, developed in accordance with subsection 12(1) of Ontario Regulation 58/16 (the Regulation) under the Police Services Act, establishes that Historical Contact Data may be accessed by Service members only with the authorization of the Chief:
when (consistent with the Regulation) access to the record is required;
a) for the purpose of an ongoing police investigation,
b) in connection with legal proceedings or anticipated legal proceedings,
c) for the purpose of dealing with a complaint under Part V of the Act or for the purpose of an investigation or inquiry under clause 25 (1) (a) of the Act,
d) in order to prepare the annual report described in subsection 14 (1) or the report required under section 15,
e) for the purpose of complying with a legal requirement, or
f) for the purpose of evaluating a police officer’s performance;
and only when (in addition to the restrictions imposed by the Regulation) access is required for a substantial public interest or to comply with a legal requirement.
Purpose:
The purpose of this report is to provide the Board with the requisite information for the second quarter of 2017, in accordance with the Board policy.
Discussion:
The Service has adopted the Board policy definition of Historical Contact Data which encompasses all records within the database regardless of whether or not they would be considered Regulated Interaction Reports under the current legislation.
The Service has restricted access to all Historical Contact Data by eliminating Service-wide direct access to the database and instituting procedures and business processes which ensure access to the database is authorized by the Chief and actioned by only a small group of members specifically assigned by the Chief for this purpose.
Paragraph 13 through 15 of the policy require, in part:
13. The Chief shall develop procedures that ensure all Historical Contact Data is Restricted in a manner that prevents Service members from accessing it without authorization.
14. Historical Contact Data must be stored in a way that leaves an auditable technological trail.
15. Access to Historical Contact Data under paragraph 13 of this policy shall be authorized by the Chief, in accordance with the constraints imposed on records classified as Restricted, and only when access is required for a substantial public interest or to comply with a legal requirement.
In accordance with these paragraphs, as explained below, the Service has developed procedures and/or business processes to ensure access to all Historical Contact Data is restricted and the only way for a member of the Service to access the Historical Contact Data is with the express authorization or approval of the Chief. The procedures and business processes have been developed with consideration to best practices in relation to information privacy, including:
- data isolation,
- access audit trails, and
- role based security access.
**Data Isolation**
The Service has introduced procedures and/or business processes to ensure Historical Contact Data, unless authorized by the Chief, is not accessible to members of the Service.
The Service has procedures and/or business processes to ensure Historical Contact Data has not, is not, and will not be used as part of the Police Reference Check or Vulnerable Sector Screening programs.
The Service has introduced procedures and/or business processes to ensure Historical Contact Data is not used to identify a person as “known to police”.
**Access Audit Trails**
Consistent with the Board policy, Historical Contact Data has been restricted in a manner which leaves an auditable technological trail of access. The Service has ensured access to the Historical Contact Data continues to be auditable, with the ability to verify the authorization of each access, by establishing procedures and business processes, supported by the Service’s records management systems, to:
- limit access capability to access the database to only members who are specifically authorized by the Chief for this purpose;
- incorporate mandatory recording of file numbers corresponding to authorizations or approvals for access to the database; and
- facilitate periodic and random audits to cross-check access with the respective authorizations or approvals.
**Role Based Security Access**
The Service has eliminated access to Historical Contact Data for all Service members, with the exception of a select group of members who have been authorized by the Chief to access the database only for the purposes of facilitating the established procedures and business processes outlined below.
In operationalizing the Board policy, the Service has distinguished between operational access and administrative access to the Historical Contact Data.
Operational Access
Operational access refers to any request submitted by a member in accordance with the process outlined below, which the Chief may deny or approve.
Even if the request for access to the Historical Contact Data is approved by the Chief, access to the database is not provided directly to the requesting member. Instead, there are only eight members, specifically assigned and authorized by the Chief for this purpose, who receive and process the request thereby further ensuring the database is only accessed by those members authorized and approved by the Chief. These members then forward the results, if any, to the requesting member.
To reflect the Board policy principle of “substantial public interest”, the broader category of “ongoing police investigation” has been narrowed by limiting the types of investigations which may be eligible for access. This constraint means members may only request access for investigations involving:
- preservation of life and/or preventing bodily harm or death;
- homicides and attempts;
- sexual assaults, and all attempts (for the purpose of this standard, is deemed to include sexual interference, sexual exploitation and invitation to sexual touching);
- occurrences involving abductions and attempts;
- missing person occurrences, where circumstances indicate a strong possibility of foul play;
- occurrences suspected to be homicide involving found human remains;
- criminal harassment cases in which the offender is not known to the victim;
- occurrences involving a firearm or discharge of a firearm; and/or
- gang related investigations.
In addition to limiting the eligibility of investigations, the procedures and business process require officers to:
- explain why the specified purpose for which access is requested cannot reasonably be fulfilled without access to the Historical Contact Data; and
- have conducted all other relevant investigative queries prior to submitting their request.
For January 1, 2017, the Service implemented an interim business process (utilizing hardcopy forms) which allowed members to submit requests to the Chief, through their respective chain of command. In May of 2017, the hardcopy forms were replaced with an electronic process. The current business process for submitting a request is as follows.
A member requesting the Chief’s approval for access to Historical Contact Data must submit an electronic Request to Access Restricted Records (TPS 294).
Members may not submit their request directly to the Chief. Instead, they must submit their request through their Officer in Charge where it is subjected to a series of increasing supervisory and management reviews, including:
- Unit Commander,
- Staff Superintendent, and/or
- Staff Superintendent of Detective Operations.
Each level of review is required to consider the merits of the submission, on a case by case basis, and only forwards the request for next level review when satisfied that:
- the specified purpose for which access was requested cannot reasonably be fulfilled without providing access to the Historical Contact Data; and
- all other relevant investigative queries have been conducted.
The request is then considered by the Chief and may still be denied if the Chief is not satisfied that:
- access is required for a substantial public interest, or
- to comply with a legal requirement.
Only if approved by the Chief is the request forwarded to Intelligence Services. Importantly, the approved access is facilitated by the assigned members of Intelligence services and the requesting member cannot directly access the database themselves, which ensures officers only receive relevant information, if any, from the database.
**Administrative Access**
Administrative access refers to access, authorized by the Chief, which is required by members in order for the Service to be in compliance with legislation.
For the administrative access, twenty-two members have been specifically authorized to access the Historical Contact Data exclusively for the purpose of, and only in response to, legal obligations (to ensure compliance with freedom of information requests, subpoenas, orders, motions, etc.) and one member has been specifically authorized as the technical support person assigned to records system maintenance (to facilitate the Service’s compliance with Board policy).
**Service Members Assigned to Facilitate Access**
The Chief has assigned an initial complement of 31 members to facilitate access to Historical Contact Data only as approved or authorized by the Chief.
The Service gave consideration to the distinction between access required in order for the Service to respond to external obligations (administrative access) and access requested for purposes initiated by Service members (operational access).
Consistent with the Board policy objective that access to Historical Contact Data is authorized by the Chief only when access is required for a substantial public interest or to comply with a legal requirement, the Chief has aligned the assigned resources with the anticipated Service requirements for operational access and administrative access.
Consequently, resources to access the database have been apportioned according to the anticipated volume of required access by units responsible for facilitating access.
The Service has distinguished the units responsible for facilitating administrative access from operational access to ensure all access adheres to the appropriate business process. In addition to limiting the units, the Service also limited the number of members within each of the respective units who have access to the database; while still ensuring that the Service is able to meet operational and legislative requirements.
The initial complement has been established, in accordance with privacy best practices, to ensure:
- as few members as possible access the database;
- the results of any access are handled by as few members as possible; and,
- for administrative access, members and units are able to comply with legal obligations without disclosing access, or results of access, to other members or units.
This initial allocation of 31 members was implemented with extensive consideration to the Service’s obligations (as itemised in the list below) and will be reviewed, and adjusted as appropriate, once the regular volume of access requirements has been established over the course of the first year (2017).
The 31 members presently assigned to facilitate access were selected based upon their current assignment to their respective roles within specific units of the Service. Importantly, the authorization to facilitate access remains with the assigned position and not the specific member because an individual may be re-assigned to a different role within the organization at which time the individual’s access would be revoked.
The current resources for administrative access are comprised of:
- Access & Privacy – 12 members to ensure Service compliance with law (legal requirement – Freedom of Information requests)
- Legal Services – 5 members to ensure Service compliance with law (all other legal requirements)
- Business Intelligence – 5 members to ensure compliance with Board policy (verification & reporting)
- Information Technology Services – 1 member to ensure compliance with Board Policy (technical support)
For the administrative access, the 23 roles assigned facilitate access only for circumstances where the Service is compelled to access the Historical Contact Data in order for the Service to be in compliance with law and/or Board policy.
The current resources for operational access are comprised of:
- Intelligence Services – 8 members to ensure compliance with Board policy (facilitating approved requests only)
For the operational access, the eight (8) civilian members of Intelligence Services have been specifically authorized to access the Historical Contact Data exclusively for the purpose of facilitating access only for those requests which have been approved by the Chief.
**Post-Access Summary Report**
The Service has developed procedures and business processes to ensure, upon receipt of the results of an approved operational access to Historical Contact Data, the requesting member is required to complete a post-access summary report indicating whether or not accessing the Historical Contact Data fulfilled the purpose(s) for which it was accessed.
**Detailed Data Breakdown in Accordance with Policy – Second Quarter of 2017**
This quarterly report has been prepared in accordance with the Board policy to explain the operationalization of the policy and report on the items in paragraph 16 of the policy. For the second quarter of 2017, the specific items from paragraph 16, and the respective responses, are detailed below, and encompass both:
- Operational accesses: 7
- Administrative accesses: 1,486
16 a. The number of requests, submitted to the Chief by Service members, for access to Historical Contact Data:
There were 7 operational requests, submitted to the Chief by Service members, for access to Historical Contact Data. This does not account for any requests that may have been denied by reviewers at other levels of the Service, prior to the Chief.
16 b. The number of approvals, by the Chief, for access to Historical Contact Data:
Importantly, all operational requests, including those pertaining to investigations and legal proceedings, are approved by the Chief.
The Chief approved 7 operational requests for access to Historical Contact Data.
The Chief considers the merits of each request he receives, on a case by case basis, to determine if access is required for (in accordance with Board policy):
- a substantial public interest, or
- to comply with a legal requirement.
Additionally, the Chief considers whether:
- the specified purpose can reasonably be fulfilled without providing access to the Historical Contact Data
The distinction between authorized access (administrative) and approved access (operational) is based on the requirement for compliance with law and whether or not the law affords the Chief authority to deny access.
- Administrative access is authorized for a small group of select members to respond to and fulfill legal obligations for the Service’s compliance with law.
- Operational access is approved (or denied) based upon requests for access from members (investigators) related to core Service delivery.
The Chief authorized 1,486 potential administrative accesses to the database because access was required for the purpose of complying with legal requirements. The administrative accesses were authorized because the Service must comply with the law. The vast majority of the administrative accesses are comprised of Freedom of Information requests which are an example of required compliance with Provincial law (*Municipal Freedom of Information and Protection of Privacy Act*). The balance of the administrative accesses are comprised of Federal and Provincial legislative requirements with which the Service is required to comply, such as; court orders, subpoenas, motions and/or Board policy.
16 c. The purpose(s) of the requests and approvals identified in subparagraphs 16a and 16b:
The 7 operational accesses approved by the Chief were for:
| Purpose | Count |
|----------------------------------------------|-------|
| Ongoing Investigation | 6 |
| Legal Proceedings & Legal Requirement | 1 |
| **Operational Access Total:** | **7** |
The 1,486 administrative accesses authorized by the Chief were for:
| Purpose | Count |
|----------------------------------------------|-------|
| Legal Requirement | 1,418 |
| (Freedom of Information requests – from public for access to their own records) | |
| Legal Requirement & Legal Proceedings | 64 |
| (subpoenas, orders, motions, etc.) | |
| Legal Requirement | 4 |
| (information technology testing for compliance with Board policy) | |
| **Administrative Access Total:** | **1,486** |
Not all legal proceedings are criminal matters initiated by Service members. Some legal proceedings are initiated by institutions or individuals external to the Service. (e.g. trials, hearings, inquests, motions, civil actions, discoveries, etc.)
Access may be required for multiple purposes and, therefore, either administrative or operational access may involve legal proceedings or a legal requirement and the difference may be based upon:
- the origin of the requirement for access
- if a legal requirement, whether obligation is on the Service and/or an individual Service member
- the unit responsible for facilitating access
16 d. Whether or not accessing the Historical Contact Data fulfilled the purpose(s) for which it was accessed:
The operational access to Historical Contact Data fulfilled the purpose(s) for which it was accessed in all instances.
The administrative access to Historical Contact Data fulfilled the purpose(s) for which it was accessed in all instances.
For operational access, after receiving the results of an approved access, the requesting member completes a post-access summary report explaining how access did or did not fulfil the purpose(s) for which access was approved. For administrative access the access itself fulfils the purpose of compliance with law.
16 e. When hard copy report forms generated before January 1, 2017 are digitized, the number of records digitized and the records management system to which the records were added:
All known hard copy Historical Contact Data had been digitized prior to the Board policy and no additional hard copy Historical Contact Data records were discovered and/or added to the records management systems during this quarter.
**Conclusion:**
This report provides information to the Board on access to Historical Contact Data during the second quarter of 2017. I will be in attendance to answer any questions the Board may have regarding this report.
Respectfully submitted,
Mark Saunders, O.O.M.
Chief of Police
Toronto Police Services Board Report
October 13, 2017
To: Members
Toronto Police Services Board
From: Ms. Audrey Campbell
Ms. Thea Herman (retired judge)
Andy Pringle, Chair
Subject: Regulated Interactions Review Panel: Review of Chief’s Report - Access to Historical Contact Data, Second Quarter, April to June 2017
Recommendation(s):
It is recommended:
1. That the Board receive the foregoing report;
2. That the Service develop a process to report how many FOI requests actually result in accessing of the Historical Contact Data, as authorized by the Chief; and
3. That the Chief provide information as to the measures taken to reduce the number of people assigned to facilitate operational access to Historical Contact Data.
Financial Implications:
There are no financial implications relating to the recommendation(s) contained within this report.
Background/Purpose:
At its meeting held on November 17, 2016, the Board approved a revised policy entitled “Regulated Interaction with the Community and the Collection of Identifying Information” (the Policy). Among other things, the policy requires the Chief to report quarterly on access to Historical Contact Data and establishes a panel to review and make recommendations to the Board about access. The Regulated Interactions Review Panel (the Review Panel) is composed of three persons: a Board member, a retired judge and a community member, whose mandate is as follows:
a. review the quarterly report for compliance with paragraphs 13 to 16 of this policy;
b. identify and track any significant trends;
c. summarize its review of the Chief’s quarterly report, in a report to the Board including, if necessary, suggestions or recommendations for consideration by the Board; and
d. make its summary review of the Chief’s quarterly report available to the public by submitting it to the Board at the same time that the Chief’s quarterly report is submitted to the Board.
Sections 13 to 16 of the Policy requires the Chief to develop procedures to ensure that, in accordance with the Policy, appropriate restrictions are placed on the access by members of the Service to Historical Contact Data; that historical contact data is stored in a way that leaves an auditable technological trail; and that access to historical data is authorized by the Chief in accordance with constraints imposed on restricted records, only when access is required for a substantial public interest or complies with a legal requirement.
The Review Panel comprised of Ms. Thea Herman (retired), Ms. Audrey Campbell and Chair Andy Pringle received the Chief’s second quarterly report, “Access to Historical Contact Data – Second Quarter 2017 (April – June),” dated August 17, 2017. The purpose of this report is to transmit the Chief’s second quarterly report to the Board and to provide the Board with the Review Panel’s summarized analysis of the Chief’s report.
**Discussion:**
The Review Panel met on September 25, 2017 to discuss the Chief’s second quarterly report. The Chief’s second quarterly report includes the Chief’s response to recommendations and a Board Motion approved at the Board’s June 15, 2017 meeting. The following chart lists the recommendations and Motion approved by the Board, indicates where the Chief’s response can be found in his second quarterly report and provide the Review Panel’s comments regarding the information provided by the Chief. The Chief’s report also includes information regarding second quarterly access to Historical Contact Data.
**RIRP Recommendations and Board Motion approved on June 15, 2017, Board Min. No. P139/17 refers.**
| June 15th Recommendations | Chief’s Response in Second Quarterly Report | Review Panel’s Response |
|-------------------------------------------------------------------------------------------|---------------------------------------------|---------------------------------------|
| In order to provide additional transparency, the Review Panel recommends that the Chief provide additional information regarding the necessity for 30 individuals, particularly the eight operational individuals, to have access to Historical Contact Data. As well, the Chief is requested to elaborate on the selection criteria used to identify these positions. | Page 5 | Additional information required |
| In addition to quantifying access to comply with the Municipal Freedom of Information and | Page 8 | Satisfactory |
| June 15th Recommendations | Chief’s Response in Second Quarterly Report | Review Panel's Response |
|-------------------------------------------------------------------------------------------|---------------------------------------------|-------------------------|
| Protection of Privacy Act (MFIPPA), provide details of the rationale for authorizing access to comply with legal requirements. | | |
| Provide additional information regarding the rationale utilized by the Chief in deciding whether or not to approve a request. | Page 7 | Satisfactory |
| Provide an assurance that all operational requests, including those pertaining to investigations and legal proceedings, are personally approved by the Chief. | Page | Satisfactory |
| Provide further information regarding the distinction between authorized and approved access, as noted on page six of the Chief’s report. | Page 8 | Satisfactory |
| The Chief should clarify in the next report, how legal proceedings differ in each category. | Page 9 | Satisfactory |
| Provide further clarification regarding the two operational requests which did not fulfil their purpose. As well, it would be beneficial if the Chief could elaborate with respect to how it is determined that a request fulfils or does not fulfil its purpose. | Page 9 | Satisfactory |
| Provide additional details in the next quarterly report regarding the breakdown of the steps involved, from beginning to end, for a request to access Historical Contact Data, including a copy of the required forms submitted by a requestor. | Page 4 | Satisfactory |
| **Motion:** THAT the Chief of Police report, in the next quarterly report, on the measures which could be undertaken to reduce the total of 30 members who are currently authorized to access the Historical Contact Data to a lesser number which is as small as possible in keeping with the intention of the access policy. | Page 6 | Additional information required |
The Review Panel is generally satisfied with the Chief’s response to the June 15th recommendations, as indicated in the preceding chart. However, two concerns remain:
(i) The Report does not adequately respond to the Panel’s recommendation and the Board’s Motion to explain the need for the number of individuals who have access to the data, and report on measures to reduce the number; and
(ii) The number of administrative access requests remains very high. It would be helpful to have the number clarified.
Subsequently, the Review Panel sought further clarification regarding the number of administrative access to Historical Contact Data, as well as additional information regarding access and privacy processes in general.
The Toronto Police Service Access and Privacy Unit provided a presentation to the Review Panel with respect to Freedom of Information (FOI) procedures and processes. The presentation provided an overview of legislative requirements and included the steps involved to process a privacy and access request from intake to conclusion. The Review Panel also had an opportunity to review the internal forms that are required to be completed by Service members requesting access to Historical Contact Data, as well as the external form completed by members of the public seeking access to information. Copies of the forms are appended to this report.
**Service Members Assigned to Facilitate Access to HCD**
The Chief’s Report states that the number of members with access will be reviewed and adjusted as appropriate, once the regular volume of access requirements has been established.
While it is understandable that the high number of individuals with access to the data for administrative requests may be necessary for operational purposes, given the large number of administrative requests (mostly FOI), it is difficult to understand why eight people need to have access to the data for operational requests, in view of the fact that there were only seven requests over a three month period. In the absence of an explanation, this number seems very high given the small number of requests.
We would request further clarification as to whether this number of people need to have access to the data for operational requests and, if they do not, we would request information as to the measures taken to reduce the number.
**Number of Access to Historical Contact Data**
The Review Panel was concerned about the high number of administrative access requests reported in the last quarter, of which 1418 were FOI requests. The number is almost the same as that reported in the previous Report.
The Review Panel was advised by Access and Privacy staff, that the number of FOI requests in the report represents all requests made during the period in question, and not just access to Historical Contact Data. It also includes both general FOI requests and requests made by individuals. Given the way in which access requests are recorded in the system, there is no way, at the present time, to provide accurate information as to the number of times Historical Contact Data was accessed for administrative purposes.
In view of this, and the importance of having a better understanding of how often Historical Contact Data is accessed, the Review Panel would ask that a process be developed to determine how many of the total FOI requests result in access to the Historical Contact Data.
Quarterly Report Compliance with Board Policy
The information provided in the Chief’s second quarterly report sufficiently complies with the requirements outlined in sections 13 to 16 of the Policy. However, based on the foregoing observations the Review Panel makes the following recommendations:
- That the Service develop a process to report how many FOI requests actually result in accessing of the Historical Contact Data, as authorized by the Chief.
- That the Chief provide information as to the measures taken to reduce the number of people assigned to facilitate operational access to Historical Contact Data.
Conclusion:
Although two quarterly reports are likely not significant for the purpose of reporting trends, we would note that the number of operational requests in this report (7) is half that in the previous report (14). The number of administrative requests is almost the same. However, given the difficulty with the data on administrative access requests, noted above, we cannot conclude that the number of times the Historical Contact Data was accessed was also almost the same.
Respectfully submitted,
Andy Pringle, Chair
on behalf of the Regulated Interactions Review Panel
Kar
Toronto Police Services Board Report
October 11, 2017
To: Chair and Members
Toronto Police Services Board
From: Mark Saunders
Chief of Police
Subject: Network Services
Recommendation(s):
It is recommended that the Toronto Police Services Board (Board):
1. approve a contract award to Cogeco Peer One for the provision of network services for a ten-year term, to begin upon contract signing; and
2. authorize the Chair to execute all required agreements and related documents on behalf of the Board on terms satisfactory to staff, subject to approval by the City Solicitor as to form.
Financial Implications:
The cost (excluding taxes) for the network services at 26 Toronto Police Service (Service) facilities and tower sites is approximately $3 Million (M) over the ten-year term of the proposed agreement. It involves an estimated one-time initial installation cost of $1M, plus an ongoing monthly cost of $16,250, which translates to approximately $195,000 annually. The monthly cost does not change over the term of the contract. This will result in an annual cost saving of approximately $95,000 over the cost of existing services at these locations, or about $1M over the ten-year term.
The installations will be completed over a three-year period. The Service has budgeted approximately $400,000 within its 2017 operating budget for the one-time installation charges. Future installation costs will be incurred as the installations are completed in 2018 and 2019. The budget requests for those years will be adjusted to include these costs. There should be no further one-time charges past 2019.
Background / Purpose:
The Service requires a network service that consists of high-speed network connections for data communications between all Service facilities and radio tower sites and its data
centres. The Voice over Internet Protocol (V.o.I.P.) telephone system, voice radio system and Closed-Circuit Television (C.C.T.V.) systems have a requirement for a very low latency when communicating between our facilities. The network must also be extremely reliable. This requirement, combined with the low latency requirement, is not readily available from existing service providers or the providers charge a significant premium for these services. In addition, the network must provide the Service with some ability to manage and control its data traffic without involving the service provider. This feature makes the operations of Service systems cost effective and efficient. These specifications ensure the Service's mission critical 24x7 systems operate reliably and effectively at all times.
The purpose of this report is to request Board approval for a vendor of record for network services. A report with more detailed information was also provided at the confidential Board meeting.
**Discussion:**
The Service has a number of locations, which have under-capacity network services. The City of Toronto and the Service have been utilizing the network services available under a City contract with Bell Canada known as the Integrated Telecommunications Infrastructure (I.T.I.) (Min. No. P84/2016 refers). As the Service must use two network providers at all its critical locations to provide redundancy, the I.T.I. contract can provide only one side of this redundant service. The City of Toronto does not have this redundancy requirement, so there was no value for a joint procurement with the City for the redundant services requested in the Request for Quotation (R.F.Q.). The Service has been in communication with the City and will continue to participate in a pending process to seek a replacement network provider as the current contract with Bell Canada is scheduled to end on September 30, 2020. This process is anticipated to take 18 to 24 months.
The Service reviewed all facilities not serviced with the higher speed network from Cogeco and identified 26 priority sites that required the additional network capabilities. In order to obtain these network capabilities, the Service issued a R.F.Q., which closed on August 1, 2017.
The Service received three bids to provide the services from Bell Canada, Zayo Canada and Cogeco Peer One. The lowest cost for both the five-year and ten-year term was provided by Cogeco Peer One.
Based on the responses received to the R.F.Q., going with a ten-year rather than five-year term, would save the Service approximately $170,000 for one-time installation charges over the term of the contract. Accordingly, the ten-year term is being recommended.
Conclusion:
Due to its mission critical operations, the Service must operate with redundant network providers.
Cogeco Peer One is the current service provider for the Wide Area Network (W.A.N.) and the vendor of record to provide W.A.N. services for future sites. Cogeco Peer One has performed well in delivery of installed and new services. The vendor has continued to provide new services as required in reasonable time frames and at competitive monthly rates. The performance of the network services exceeds that of other incumbent providers.
The Service has conducted an open and competitive process to procure the required network services at the 26 additional locations.
Cogeco Peer One was the lowest compliant response. This recommended contract will allow for successful completion of these 26 mission critical locations and reduce operating expenses at the same time.
It is therefore recommended that Cogeco Peer One be awarded the contract for network services.
Mr. Tony Veneziano, Chief Administrative Officer, will be in attendance to answer any questions the Board may have regarding this report.
Respectfully submitted,
Mark Saunders, O.O.M.
Chief of Police
CB/vfb
Filename: Cogeco Peer One Network Services.docx
Subject: Vendor of Record for Voice Radios
Recommendation(s):
It is recommended that the Toronto Police Services Board (Board):
1) approve Motorola Solutions Canada Inc. (Motorola) as the vendor of record for the supply of mobile and handheld radios, as well as all related parts, hardware, configuration and testing, hardware, software and professional services for a ten-year period, commencing October 31, 2017 and ending November 1, 2027; and
2) authorize the Chair to execute all required agreements and related documents on behalf of the Board, subject to approval by the City Solicitor as to form.
Financial Implications:
The Toronto Police Service (Service) owns and maintains approximately 5000 mobile and portable/handheld radios to enable its policing operations. The Service’s 2017 – 2027 approved capital budget, includes $39.5 Million (M) for the Radio Replacement project. The purchase of the required radios is estimated at $37.5M and would be funded on an annual basis out of this project, based on the ten-year lifecycle replacement schedule. This cost may vary due to changes to radio quantities and/or requirements.
The ongoing repair and calibration, as well as parts, hardware, software and professional services, required to keep the radios in good working order are funded from the Service’s annual operating and capital budgets. These annual costs are currently estimated at approximately $400,000 per year, but will vary each year.
Background / Purpose:
The City of Toronto Radio Infrastructure System provides critical operational voice communications for all units of the Service, as well as for Toronto Fire Services and Toronto Paramedic Services. The radio system, although manufactured by Motorola,
uses an open radio standard known as Association of Public-Safety Communication Officials (A.P.C.O.) Project 25. This non-proprietary standard allows operation of radios from other manufacturers on the radio system. The City Radio Infrastructure System is maintained on a shared services basis by the Service’s Telecommunications Services Unit (T.S.U.). The T.S.U. also maintains the Service’s approximate 5000 mobile/portable radio units.
The T.S.U. is trained and authorized as a Motorola Service Centre in support of the current voice radios and provides repair and support services for the radio units throughout the Service.
**Current Agreements with Motorola Canada Inc.:**
On August 14, 2014, following City Council approval of the City Radio Infrastructure contract, the Board approved Motorola as the vendor of record for the provision of two-way radio and voice logging infrastructure and related parts, hardware, software and professional services, for a period of 15 years, from September 1, 2014 to August 31, 2029. (Min. No. P186/14 refers).
This contract, however, does not provide for the supply of portable and mobile radios used by the Service, as well as related parts, software and services. The lifecycle for radios can be expected to last ten years. However, the Service’s current radio inventory is aging with some radios already exceeding their projected ten-year lifecycle.
At its meeting of October 15, 2012, the Board approved Motorola Canada Inc. as the vendor of record for the provision of mobile, handheld radios and all related parts, hardware, software and professional services, for the operations of the Service for a three year period commencing January 1, 2013, and ending December 31, 2015 (Min. No. P257/12 refers).
The ten-year radio replacement lifecycle was originally planned to start in 2016. However, due to delays in development of a long-term strategy, two requests for one-year extensions of Motorola as the vendor record for the supply of radios were requested and approved by the Board. (Min. No. P265/15 and P263/16 refers). The current extension expires on December 31, 2017. The extensions were required due to the extensive project scope requirements for the Request for Proposal (R.F.P.) and the potential for impacts due to transformational task force considerations. An external subject matter expert was engaged to prepare the requirements specifications for the resulting competitive bid process and evaluation, which was completed in September 2017.
The purpose of this report is to request Board approval for a vendor of record for the supply of radios and related parts, equipment and services.
**Discussion:**
The radios used by officers and other members of the Service are critical to both public and officer safety.
To ensure the on-going performance of this critical equipment, the Service requires a vendor to supply mobile and portable radios, as well as related professional and technical radio services, radio management software, and parts and materials to maintain and repair existing radios. The existing radios were procured between 2002 and 2015.
**Request for Proposals Process:**
Request for Proposals (R.F.P.), #1202732-17 to establish a vendor of record was advertised on MERX, an electronic tendering service, designed to advertise opportunities for the procurement of goods and services worldwide.
The R.F.P. was issued on June 30, 2017 and closed on August 30, 2017.
The R.F.P. included requirements for:
- Mobile, portable, and fixed radios;
- Radio accessories;
- Technician and user training;
- Battery charging and radio management;
- Radio configuration and testing software, hardware and tools; and
- All associated maintenance and support, goods and services.
The R.F.P. also included a provision permitting Toronto Fire Services, Toronto Paramedic Services and other City divisions to use the awarded contract to meet their respective radio requirements.
Fifteen vendors downloaded the R.F.P. However, only one vendor submitted a proposal.
The proposal evaluation phase began on September 5, 2017 and was completed on September 22, 2017. The R.F.P. and evaluation process were developed with input from and oversight by a Fairness Commissioner, who monitored the process to ensure all aspects were fair and open to all vendors.
The evaluation team consisted of three technical representatives from T.S.U., one from Communication Services, and one from Toronto Fire Services. In addition, representatives from the Service operational units evaluated the sample radios.
The evaluation was based on the vendor’s ability to meet the Service’s communication requirements as provided for in the R.F.P. on a lifecycle replacement and ad hoc basis.
The evaluation was scored on the following criteria:
- Technical and support requirements (50%)
- Sample Radio Evaluation (25%)
- Costing (25%)
The single compliant response to the R.F.P. was received from Motorola. The proposal met the mandatory requirements in the R.F.P. and provided a pricing structure for all radios, software, hardware, components, and professional services to meet Service requirements and ongoing support.
**Conclusion:**
Based on the evaluation of its proposal, Motorola meets all of the requirements outlined in the R.F.P. and provides a product roadmap and competitive discount structure strategy. The proposal from Motorola also allows other City divisions and agencies to take advantage of the Motorola product portfolio and pricing.
The Fairness Commissioner determined that the procurement process was fair and open and his report is provided as Attachment A to this report.
Motorola Solutions Canada Inc. is, therefore, the recommended vendor of record.
Mr. Tony Veneziano, Chief Administrative Officer, will be in attendance to answer any questions the Board may have regarding this report.
Respectfully submitted,
Mark Saunders, O.O.M.
Chief of Police
CB/vfb
Filename: Vendor of Record for Voice Radios.docx
JD CAMPBELL & ASSOCIATES
TORONTO POLICE SERVICE
RADIO REPLACEMENT LIFECYCLE PROJECT
RFP- 1202732-17
Fairness Commissioner's Report
September, 2017
JD Campbell & Associates
__________________________
16 Burnhamthorpe Park Blvd.
Toronto, ON, M9A 1H9
Tel No: (416) 231-2292
Email: firstname.lastname@example.org
# Table of Contents
1.0 EXECUTIVE SUMMARY ................................................................. 1
1.1 INTRODUCTION ........................................................................... 1
1.2 FINDINGS .................................................................................. 2
1.3 OUTCOME .................................................................................. 3
1.4 REPORT ORGANIZATION ............................................................ 3
2.0 WORDING OF THE RFP DOCUMENT ............................................. 4
2.1 APPROPRIATE PRACTICE .......................................................... 4
2.2 FINDINGS .................................................................................. 4
2.3 DESCRIPTION OF PROCESS ....................................................... 4
3.0 COMMUNICATION AND INFORMATION TO RESPONDENTS .............. 8
3.1 APPROPRIATE PRACTICE .......................................................... 8
3.2 FINDINGS .................................................................................. 8
3.3 DESCRIPTION OF PROCESS ....................................................... 8
4.0 CONFIDENTIALITY/SECURITY ....................................................... 9
4.1 APPROPRIATE PRACTICE .......................................................... 9
4.2 FINDINGS .................................................................................. 10
4.3 DESCRIPTION OF PROCESS AND FINDINGS ............................. 10
5.0 QUALIFICATIONS OF THE EVALUATION TEAM ................................ 10
5.1 APPROPRIATE PRACTICE .......................................................... 10
5.2 FINDINGS .................................................................................. 10
5.3 DESCRIPTION OF PROCESS ....................................................... 10
6.0 CONFLICT OF INTEREST/UNDUE ADVANTAGE ................................ 11
6.1 APPROPRIATE PRACTICE .......................................................... 11
6.2 FINDINGS .................................................................................. 11
6.3 DESCRIPTION OF PROCESS ....................................................... 11
7.0 THE EVALUATION PROCESS .......................................................... 12
7.1 APPROPRIATE PRACTICE .......................................................... 12
7.2 FINDINGS .................................................................................. 13
7.3 DESCRIPTION OF PROCESS ....................................................... 13
7.4 OUTCOME ................................................................................ 15
8.0 DEBRIEFING AND DOCUMENTATION ........................................... 16
8.1 APPROPRIATE PRACTICE .......................................................... 16
8.2 DESCRIPTION OF PROCESS AND FINDINGS ............................. 16
1.0 EXECUTIVE SUMMARY
1.1 Introduction
This report presents our findings for the Toronto Service Radio Replacement Lifecycle Project. In our capacity as Fairness Commissioner we reviewed and monitored the communications, evaluations, and decision-making associated with the RFP with a view to ensuring consistency of practice with the stipulations of the RFP and to ensure an open, fair and transparent process.
The purpose of the RFP was to acquire goods and services related to the replacement and support of APCO P25 (Phase 2) compliant radios including accessories over the next ten (10) years beginning at the end 2017.
For the purposes of this review:
- Openness refers to making the RFP available to all interested Proponents;
- Fairness refers to all Proponents receiving the same information and being treated in an equitable and even-handed manner;
- Transparency refers to the ability of Proponents to observe and understand how the evaluation of proposals is undertaken.
Our report is based on our first - hand observations of the procurement process, its documentation and on information provided by the procurement project team.
The report addresses the following aspects:
- Wording of the RFP document;
- Communications and information to Proponents;
- Adequate notification of changes in requirements;
- Confidentiality and security of proposals and evaluations;
- Qualifications of the evaluation team;
- Conflict of Interest;
- Compliance with the process;
- Documentation.
1.2 Findings
This report was prepared for the specific purposes of Toronto Police Service. JD Campbell & Associates, or the individual author of this report, bear no liability whatsoever for opinions that unauthorized persons may infer. Note this report, in no manner, purports to provide legal advice.
As Fairness Commissioner, we observed the RFP process, from development of the RFP document until the selection of the Successful Proponent. Given this involvement, we can attest to the fact that appropriate procurement practices were used throughout. As the report details, care was taken in managing risks involved in providing the necessary structure for an open, fair and competitive process. Particular note was made of the following:
- **Response Time** - The RFP document was posted electronically. The date of posting was June 29, 2017 and the closing date was August 31, 2017.
- **Incumbent Advantage** - While there was an incumbent vendor that was providing similar services for the TPS, staff provided assurance that the RFP had been structured such that more than one Proponent would be in a position to effectively respond. See Section 6.3 for further discussion concerning a Proponent expressed concern in this regard.
- **Full Disclosure** - The RFP contained reasonable description of specifications, terms and conditions, evaluation criteria and background information for the creation of adequate RFP submissions.
- **Communication** – One point of contact was used. Answers to Proponent questions were shared with all.
- **Consistency of Format** – Wording in the RFP encouraged Proponents to submit their responses in a like manner such that they could be consistently evaluated. The use of forms also helped in this regard.
- **Conflict of Interest/Confidentiality** – Evaluators were required to sign a conflict of interest and confidentiality declaration prior to any involvement or access to related information. Proponents were required to identify any conflict of interest as part of the RFP response process.
- **Security** - Care was taken to ensure that procurement materials and proposals were secure when not in use.
- **Rated Evaluation Criteria** – All evaluation criteria were weighted and of sufficient clarity to provide the Proponents with a thorough understanding of how they would be evaluated.
- **Undue Influence** – Throughout the procurement process, decisions were made by more than one person.
- **Debriefings** – The RFP made provision for the debriefing of Proponents after contract award.
1.3 Outcome
As a result of this procurement process:
- Only one proposal was received;
- This proposal was evaluated for all stages of the evaluation; mandatory submission requirements; the written rated evaluation; a demonstration stage and pricing;
- Based on this evaluation and having submitted a compliant bid, this Proponent was identified as being the Successful Proponent.
1.4 Report Organization
Each section of this report is organized under the following headings:
- **Appropriate Practice** – A description of elements of good practice that would apply in any RFP process. These elements serve as a benchmark;
- **Findings** – Fairness Commissioner’s summary on whether or not this aspect of the procurement process met the standard of procedural fairness;
- **Description of Process** – A description and comment on the procurement process as observed by the Fairness Commissioner.
2.0 WORDING OF THE RFP DOCUMENT
2.1 Appropriate Practice
The wording of the RFP needs to be such that the full scope of services to be performed is clearly and specifically detailed. The likelihood and magnitude of any follow-on work (contract extension) should be noted. The Proponent's necessary qualifications and the conditions under which the services are to be provided should also be made explicit. Submission mandatory requirements are required to be stated in terms of pass/fail. Sufficient response time and information should be provided to permit those unfamiliar with the TPS to prepare. The terms and conditions of the engagement need to be clear. Evaluation criteria must be stated in explicit terms and the weighting for each criterion must be given. To aid in evaluation, instruction should be such that Proponents will provide information which can be directly compared one with the other. This is particularly important for pricing information.
It is also important that the rules of the RFP and negotiations process be clear to ensure fairness, avoid misunderstanding and to give all involved a clear documentation of both their rights and obligations. Examples of additional topics to be covered include:
- Submission amendment or withdrawal;
- The rights of Region;
- The evaluation process;
- Governing law
2.2 Findings
In our role as Fairness Commissioner, we found that the wording of the RFP provided the basis for a fair and competitive procurement process.
2.3 Description of Process
Framework
The RFP provided the framework within which the evaluation process was to be conducted. A number of its attributes are described to provide context.
The document contained; submission requirements, schedule, instructions, terms and conditions, scope, background, mandatory specifications, performance specifications, description of equipment and services, installation requirements, training, maintenance and support, definitions, Form of Offer, Pricing Form, etc.
Most Favoured Customer
The RFP contained a clause indicating that the Successful Proponent would be required to ensure that all prices for goods during the term would be no less favorable to the TPS than those offered to any of its similarly situated customers.
Piggy Backing
The RFP also required that other City of Toronto Divisions could purchase against the future contract for radios of equal, similar, or lesser functionality, based on the terms and conditions of the agreement at the discount percentage applicable to the combined quantities defined at contract award, per Appendix K, applied to the list price.
In addition, any or all of the City Divisions may purchase any product the successful Proponent sells at list price less the same adjusted volume discount percentage in effect at time of procurement.
Term
The term of the proposed contract was to be for 10 years. Technical staff at TPS indicated that this time period coincides with the expected life cycle of the equipment.
Reserve Rights
Reserve right wording was included that gave broad discretion to TPS staff and could potentially have been used in an arbitrary and unfair manner. As Fairness Commissioner, I paid particular attention to the exercise of these rights and found no evidence of them being used in an unfair manner.
Evaluation
The evaluation consisted of several stages: Submission Mandatory Requirements; Rated Written; Field Test and Pricing
| Stage 1 | Evaluation of Submission Mandatory Criteria | Points | Weight |
|---------|--------------------------------------------|--------|--------|
| J1 | Mandatory Forms & and other information | N/A | Pass/Fail |
| | 1. Provide Industry Canada type acceptance number | | |
| | 2. Declaration of Conformity | | |
| | 3. Summary Test Report | | |
| | 4. Certification or References | | |
| Stage 2 | Technical Response Evaluation | Points | Weighting |
|---------|--------------------------------|--------|-----------|
| J2 | **Radio Equipment and Accessories Functional Features**
Table B1-6
The items identified in this table were evaluated on a weighted basis in the following order:
1. Highly Desirable (8 points),
2. Desired (3 points),
3. Somewhat Desired (1 points)
Battery Management System
Alias and Asset Management Capability | 360 | 21 |
| | | | |
| J3 | **Performance Specifications**
Tables
Question | 3 | 3 |
| | 2 | 2 |
| J4 | **Installation**
1. Implementation Plan
2. Mobile Installation
3. Installation Materials
4. Antenna Installation
5. Cable Installation
6. Hardware Installation | 30 | 5 |
| | 20 | |
| | 10 | |
| | 10 | |
| | 10 | |
| | 20 | |
| J5 | **Training**
1. Training Plan
2. Training Courses
3. Training: Trainers
4. End-Users Migration Training
5. Training: Radio Technician
6. Training: Network Administrator | 25 | 5 |
| | 15 | |
| | 15 | |
| | 15 | |
| | 15 | |
| | 15 | |
| J6 | **Maintenance and Support Requirements**
1. Maintenance and Support Plan
2. Proponent Information | 10 | 5 |
| | 10 | |
| J7 | **Documentation**
Documentation Plan | 5 | 5 |
| J8 | **Acceptance Test Plan** | 10 | 10 |
|----|--------------------------|----|----|
| J9 | **Sample Radios** | | |
| | Activation Steps and Visual/Audible feedback confirming action – 13 items x 5 points max each | 65 | 15 |
| | Controls size, audible and tactile feedback (using Gloves), and resultant display – 6 items x 5 points max each | 30 | |
| | Display – 4 items x 5 points max each | 20 | |
| | Physical – 4 items x 5 points max each | 20 | |
| | Sounds and Alerts – 9 items x 5 points max each | 45 | |
| Stage 3 | **Commercial (Pricing) Response Evaluation** | Weight 25 |
|---------|---------------------------------------------|-----------|
| | Pricing was to evaluated based on a formula basis. Prorating scores on a comparative basis. | |
| | • Equipment 15 | 15 |
| | • Options 3 | 3 |
| | • The Mobile Radio Discount Plan 3 | 3 |
| | • The Portable Radios Discount Plan 3 | 3 |
| | • The Battery Discount Plan 1 | 1 |
**Acceptance Testing**
Once the Successful Proponent is chosen, their proposed equipment is to be subject to acceptance testing within 90 days of contract signing after first order placed.
**Debriefing**
The RFP provided the opportunity for the debriefing of unsuccessful Proponents.
3.0 COMMUNICATION AND INFORMATION TO RESPONDENTS
3.1 Appropriate Practice
The document needs to provide opportunity for Proponents to ask questions of clarification concerning the RFP. There needs to be one point of contact for such communication. This ensures that all Proponents receive the same information and that any attempts to sway the outcome are effectively controlled. Indeed, Proponents should be warned that it is not acceptable to contact other personnel associated with the procurement during the course of the process.
Proponents need a reasonable amount of time to submit questions. If the RFP is complex, a Proponents’ meeting can be held to provide further background information and to answer questions related to the RFP. A Reading Room can also be provided to ensure that all Proponents have the background necessary to submit appropriate proposals.
It is common in the scoring of the proposals for staff to ask questions of clarification of Proponents. Such questions are not intended to allow the Proponents to introduce new information but to clarify material already provided. In allowing for such clarifications, it is important that TPS staff protect against bid repair.
3.2 Findings
In our role as Fairness Commission, we found that care was taken in ensuring consistency in communicating with Proponents.
3.3 Description of Process
One Point of Contact
Provision was made for one source of information for the procurement process. Proponents that wanted additional information were instructed to submit their questions in writing.
Distribution
The RFP Document was posted electronically. The date of posting was June 29, 2017 and the closing date was adjusted by Addenda to August 31, 2017.
Addenda
Six addenda were issued. Staff assurance was obtained that these changes were made in the interests of improving the RFP rather than to advantage a particular Proponent.
Envelope System
A Three Envelope System was used for RFP submissions. Proponents were required to provide their pricing material in one envelope and the remainder of their proposal in a second envelope. This separation was required to ensure that evaluators for the rated portion of the evaluation were not unduly influenced by price. Proponents were also offered the option of submitting a third envelope containing separate pricing for a “radios as a service” option. This optional package would only be opened for the Successful Proponent. This meant that the determination of the Successful Proponent would be made on a consistent basis, treating all Proponents in the same manner.
4.0 CONFIDENTIALITY/SECURITY
4.1 Appropriate Practice
During the writing of the RFP, information should be shared with non-team members only on a need-to-know basis. All information requests should be channelled through the Project Manager in writing and all responses need to be documented.
Proper attention needs to be paid to the confidentiality and security of proposals. The use of documents needs to be carefully managed, including access to copies of the Proponents’ proposals and evaluation materials. All proposals when they arrive need to be time stamped and placed under lock and key. All original copies of the proposals need to be stored separately in a locked file to prevent tampering and their copying prohibited.
All members of the evaluation team need to be reminded of the need for confidentiality pertaining to the evaluation process and information contained in the proposals. Instructions should be given to the evaluators to keep all documents under lock and key unless in use. This includes both proposals and evaluation sheets.
A decision needs to be taken regarding whether to allow evaluators to take this material home to work on after regular working hours. Doing so facilitates the evaluators being able to complete their work in a timely manner but has an
inherent risk of loss of materials. This is particularly true if public transportation is used.
4.2 Findings
In our role as Fairness Commissioner, we found that the management of these considerations was appropriately dealt with.
4.3 Description of Process and Findings
Proposals were time stamped and stored in secure quarters when they first arrived. All evaluators were instructed on the importance of confidentiality. The orientation session of evaluators stressed the importance of confidentiality and indicated that no communication with anyone outside of the project team concerning the content of the proposals was permitted. This prohibition pertains not only to the evaluation period but on an ongoing basis as well.
5.0 QUALIFICATIONS OF THE EVALUATION TEAM
5.1 Appropriate Practice
All members of the evaluation committees must have the appropriate expertise to be in a position to effectively evaluate the proposals.
5.2 Findings
In our role as Fairness Commissioner, we found that the qualifications of the evaluators were consistent with fair treatment of the Proponents.
5.3 Description of Process
Evaluators were chosen for their expertise (both technical and program) in the services under consideration. Because specialty expertise was needed, a Subject Matter Expert (SME) was made available to assist evaluators with the understanding of technical issues. The SME was available for the consensus session to respond to technical questions related to all proposals. The instruction to the SME was to refrain from evaluative judgements and to focus on technical explanation.
6.0 CONFLICT OF INTEREST/UNDUE ADVANTAGE
6.1 Appropriate Practice
Evaluation team members need to be reminded of their responsibilities regarding the declaration of any conflicts of interest. Assurance needs to be obtained that any consultant involved in the development of the RFP, or the evaluation of proposals, has not had links, either as an employee or subcontractor, with any of the Proponents who have responded.
It is necessary for the Project Manager to conduct a review of past projects and procurements to determine if the current RFP has been based on any previous contract which would place a participating Proponent in a situation where they would have had access to confidential information, the nature of which could place the Proponent in a position of undue advantage.
The RFP document also needs to have standard Conflict of Interest declaration wording that requires each Proponent to identify any reason why they would be in a position of conflict of interest.
6.2 Findings
In our role as Fairness Commissioner we found no issue of conflict of interest that materially impacted on the fairness of the procurement process.
6.3 Description of Process
Project Members
All members of the RFP development team were advised of the confidentiality and conflict of interest requirements during orientation. All Project Team members as employees of TPS had taken an Oath to the Queen and were required to identify any COI potential issues.
Proponent COI
The RFP contained the standard Conflict of Interest clause. The RFP also prohibited communication with any employees, officers, agents, elected or appointed officials or other representatives who could influence the outcome.
Incumbent Vendor
While there was a vendor that is currently providing radio services to the TPS, staff provided assurance that this provider had not had access to any confidential
information, relevant to this RFP, which has not been provided in the RFP document.
During the posting period another Proponent expressed concern that only the incumbent Proponent could effectively respond to the RFP specifications as they had been written. In response, the project team did an extensive review and made certain modifications to the specifications. The posting time was also extended to provide all Proponents additional time to prepare their bid.
In addition, as Fairness Commissioner I asked the technical Team for their assurance that, based on their knowledge of the market place, more than one Proponent would be able to effectively respond, that there were no artificial barriers to participation and that all specifications were based solely on business need. I received written confirmation that, in their professional opinion, all mandatory specifications of the RFP were such that multiple manufacturers would able to develop fully compliant and appropriate proposals. They further confirmed that any requested options were structured to avoid giving competitive preference to any manufacturer. As the specific market availability of all possible options was not known by the technical team members, only items of significant operational value were requested and were based on strict business need requirement.
7.0 THE EVALUATION PROCESS
7.1 Appropriate Practice
All Proposals received must be evaluated objectively and diligently. Such evaluation must be based on the requirements specified in the RFP only. Appropriate practice includes ensuring that:
- Submission mandatory requirements of a pass/fail nature are used;
- No one individual has undue influence;
- Evaluation criteria and their weighting are communicated to the Proponents;
- Common scoring sheets are used;
- The submission mandatory requirements and qualitative evaluation are done separately to ensure that the one does not influence the other;
- Roles of all involved are clear and evaluators properly trained;
- The process is properly documented;
- Questions of clarification are not used to allow Proponents to introduce new information;
- Reasons for disqualification are provided.
7.2 Findings
In our role as Fairness Commissioner, we found that the structure and management of the evaluation process supported open, fair and competitive practice.
7.3 Description of Process
See Section 2.3 for a description of the structure of the evaluation process as defined in the RFP.
**Clarity of Roles and Evaluator Training**
The Procurement Lead was responsible for:
- Managing the evaluation process;
- Ensuring that proper process was followed;
- Tabulating the results;
- Removing all pricing related information from the proposal package such that the evaluators for the rated portion would not be unduly influenced by this information;
- Documenting the process.
The Evaluation Committee members were responsible for:
- Reviewing proposal(s) and allocating individual preliminary scores;
- Attending a Consensus meeting to discuss ratings;
- Amending preliminary scores in light of group discussion if appropriate.
There was an orientation to explain the process and to provide an understanding of why it was important that the appropriate steps be followed. Topics covered included:
- Project background and overview of the RFP structure;
- Guiding principles;
- Team composition and member’s role;
- Attendance requirement;
- Evaluation steps;
- Review and scoring procedures;
• Scoring document;
• Consensus meetings and procedures;
• Security of documentation throughout the process and the need to protect the confidentiality of proposals and proponents
**Common Scoring Sheets**
Common evaluation forms were developed for each stage of the evaluation. The use of such forms helped ensure that the proposal(s) were judged on the same basis making comparisons much easier.
**Management of Undue Influence**
At no point in the process were decisions affecting the outcome of the evaluation process made by one individual.
**Submission Mandatory Requirements**
It was a requirement that only those proposals, which were successful in the submission mandatory requirement phase, would be allowed to continue on in the evaluation process.
Note that only one proposal was received.
**Use of Subject Matter Expert**
During the Consensus session a Subject Matter Expert (SME) was available to answer technical questions to aid the understanding of evaluators. The instruction to the SME was to refrain from subjective and evaluative comment and to focus on technical explanation.
**Rated Evaluation**
During the individual evaluations, evaluators were asked to do their work independently. It was agreed that no substitutions would be allowed for committee members and that the group evaluations would not take place unless there were a sufficient number of committee members present and had completed their individual evaluations. This helped to promote fairness, completeness and consistency.
An attempt was made to encourage committee members to move to scores that were within a narrow range. In the consensus meeting, if there was a significant variance between individual evaluator scores further discussion was held before a final decision was made.
The Fairness Commissioner attended the consensus meeting. Based on observations of the process I found no instance in which evaluation criteria were used other than those that had been identified in the RFP. The participants came prepared to engage in meaningful discussion. Participants recognized the value of the group discussion and did not rush to a final decision. The evaluators were ready to adjust their individual scores given reasoned argument. No one individual was in a position to unduly influence the entire process given that there were five evaluators involved.
**Demonstrations**
A script was developed for this section of the evaluation and was shared with the Proponent. Time was given for the Proponent to orientate the evaluators on the operation of the equipment such that TPS evaluators could perform the required functions. Each evaluator went through the scripted functions and used individual evaluation sheets to score both the radio’s ability to perform the function and the ease of operational use. Individual evaluator error was controlled for by having a sufficient number of evaluators and by holding a consensus session where evaluators shared both their scores and comments to arrive at a common score.
**Pricing**
Pricing was conducted using a formula method.
### 7.4 Outcome
As a result of this procurement process:
- Only one proposal was received;
- This proposal was evaluated for all stages of the evaluation; mandatory submission requirements; the written rated evaluation; a demonstration stage and pricing;
- Based on this evaluation and having submitted a compliant bid this Proponent was identified as being the successful Proponent.
8.0 DEBRIEFING AND DOCUMENTATION
8.1 Appropriate Practice
The unsuccessful Proponents should be offered a debriefing session. Care needs to be taken to ensure that the Preferred Proponent’s right to privacy regarding proprietary information of a commercial nature is protected as is stipulated under relevant legislation. It should be explained that this opportunity is for learning purposes and is not intended as a forum for dispute of outcome. The Project Manager is responsible for developing summary notes on the evaluation committees’ scores and the rationale for the awarding of those points. These notes form the basis for the debriefing session.
The TPS should also retain all relevant documentation for possible reference or audit. The TPS records retention policy/procedures should be followed. Relevant material may include:
- File Index
- Project overview
- RFP documents
- Vendor communication
- Schedule
- Posting
- Addenda
- Proponent communications
- Training/Evaluation guides
- Submissions
- Clarifications
- COI Declarations/issues
- Evaluation sheets
- Major issues and how they were handled
- Outcome and Recommendations
8.2 Description of Process and Findings
The RFP indicated that debriefings would be provided to unsuccessful Proponents upon request and will be conducted after contract award. The Fairness Advisor’s report was submitted before debriefings were completed.
It is our understanding that copies of all pertinent documentation were retained including those documents identified in Section 8.1.
Toronto Police Services Board Report
October 5, 2017
To: Chair and Members
Toronto Police Services Board
From: Mark Saunders
Chief of Police
Subject: AWARDING OF CONTRACT TO LANSDOWNE TECHNOLOGIES INC.
Recommendation(s):
It is recommended that, should the Toronto Police Services Board (the Board) determine that two retired police officers employed by Lansdowne Technologies Inc. (Lansdowne) fall into their definition of “consultant,” the Board waive the one (1) year waiting period for the re-employment of former Toronto Police Service (TPS) members. Lansdowne Technologies has been awarded the contract in relation to Request for Proposal (RFP) #1230502-17 – Public Safety/Crime Prevention Consulting Services.
Financial Implications:
There are no financial implications resulting from the approval of the recommendation.
Background / Purpose:
Board Policy entitled Re-employment of Former Service Members as Consultants or in Contract stipulates that:
1. Uniform and civilian members who have resigned from the Service may be eligible for temporary re-employment as a consultant or on contract;
2. The Chief of Police will develop procedures governing the re-hiring of former Service members as consultants or on contract; and
3. The re-hiring of former Service members as consultants or on contract requires Board approval
Service Procedure 14-30 entitled Re-employment of Former Members and Lateral Entries directs that:
Former members, who resigned in good standing, may be engaged as independent
consultants in a civilian capacity for a short predetermined period of time; provided there has been a period of one (1) year since the date of separation. The Board may waive the one (1) year waiting period in instance where the Service is in urgent need of an individual with specific qualifications/skills, which the former member possesses. A full justification and all pertinent cost details for these exceptions must be included in a Board report, which will be prepared by the requesting unit.
**Discussion:**
As part of its final report, *Action Plan: The Way Forward*, The Transformational Task Force (TTF) made the recommendation for Neighbourhood Policing to be at the centre of a modern police service. The Strategy Management Unit (STM) has now been tasked with implementing the recommendations of the TTF. In order to design and implement a more effective neighbourhood policing model, STM has sought out a consultant to design up to date crime prevention materials that can be provided to the public by neighbourhood officers. An RFP was tendered for this process to seek a qualified proponent to assist the Toronto Police Service (TPS) in developing, recommending and preparing crime prevention materials, as well as performing and documenting public safety research for the TPS on a contract basis.
Following a fair and open procurement process, the contract was awarded to Lansdowne. Two consultants that have been proposed by Lansdowne to be engaged by the TPS in a civilian capacity are retired Superintendent Bryce Evans and retired Staff Inspector Mike Earl, both formerly of the TPS.
Bryce Evans was proposed as member of the core team for Lansdowne, while Mike Earl was proposed as a subject matter expert.
Both consultants have been retired from the service for less than one (1) year.
Should Board approval be obtained, the contract is to commence as soon as practicable and will be completed by March 31, 2018.
The Technical Bid evaluating committee for the RFP has reviewed the resumes for Bryce Evans and Mike Earl and has determined that both possess the specific qualifications and skills for the services required.
The Service received $150,000 from the Province of Ontario through the PEM grant for Public Safety/Crime Prevention Consulting Services. However, as per the Provincial deadline, the deliverable product must be designed and provided to the TPS and the funds expended no later than March 31, 2018. Any delay in approvals and commencement of work will put this deadline at risk.
Furthermore, as part of the awarded contract, Lansdowne Technologies Inc. is required to submit an interim report to the Toronto Police Service by December 15, 2017. Any
delay in approvals and commencement of work will increase the difficulty in meeting this deadline.
Mike Earl and Bryce Evans were both referred to as “consultants” in Lansdowne’s technical bid. Although the two retired senior officers are part of a larger company and not “independent consultants” solely working on their own, it is unclear if they fit the Board’s definition of “consultant” or the TPS’s definition of “independent consultant”. It is out of an abundance of caution and in the interest of transparency that this board report has been submitted.
**Conclusion:**
Strategy Management would like to have Lansdowne Technologies Inc. begin their work as soon as possible. This work is required to implement the modernization vision of the TTF with respect to the Neighbourhood Officer Program.
It is therefore my recommendation that if the Board feels that Mike Earl and Bryce Evans fit into the Board’s definition of “consultant” and the TPS’s definition of “independent consultant,” that the Board waive the one (1) year waiting period for the TPS to engage the services of Lansdowne Technologies Inc.
Staff Superintendent Frank Bergen from Strategy Management will be in attendance to answer any questions that the Board may have regarding this report.
Respectfully submitted,
Mark Saunders, O.O.M.
Chief of Police
MS/DE
Filename: Lansdowne Board Report (3).docx
Toronto Police Services Board Report
October 17, 2017
To: Chair and Members
Toronto Police Services Board
From: Mark Saunders
Chief of Police
Subject: Organizational Culture Assessment of the Toronto Police Service
Recommendations:
It is recommended that the Toronto Police Services Board (the Board):
(1) approve a contract award to M.N.P., LLP (M.N.P) to conduct an Organizational Culture Assessment of the Toronto Police Service at an estimated cost of $530,000 (including 13% tax); and
(2) authorize the Chair to execute all required agreements and related documents on behalf of the Board, subject to approval by the City Solicitor as to form.
Financial Implications:
There are no financial implications. The acquisition of required Organizational Culture Assessment professional services to enable the Toronto Police Service’s (the Service) modernization initiatives is being funded from an approved Policing, Effectiveness and Modernization (P.E.M.) grant. Total cost of this acquisition is $477,300 (net of tax rebate) which is within the $500,000 grant funding.
Background / Purpose:
The Transformational Task Force (T.T.F.) described the need for organizational culture change as part of its final report, Action Plan: The Way Forward. The Organizational Culture Assessment will provide an in-depth understanding of the current organizational culture of the Service including its strengths and any areas for improvement. The assessment will also provide assistance to leaders and key stakeholder groups in
creating action plans to strengthen the culture, improve organizational performance and achieve a modernized model of policing for the City of Toronto.
**Discussion:**
A Request for Proposal (R.F.P.) # 1233724-17 was issued on August 28, 2017 by the Service’s Purchasing Services Unit, for the completion of a comprehensive Organizational Culture Assessment of the Service prior to March 31, 2018. The Service advertised the R.F.P. using MERX, a leading electronic tendering service designed to facilitate the procurement of goods and services.
The R.F.P. closed on September 15, 2017. A total of 39 vendors downloaded the R.F.P. package, and 3 proposals were received by the closing deadline.
1. M.N.P.
2. Deloitte
3. Fit4Duty
Purchasing Services reviewed the proposals for submission compliance and then released the submissions to the evaluation team.
The evaluation criterion for the service provider submission selection was included in the R.F.P., and is as follows:
- Understanding of the Assignment (10%)
- Demonstrated Experience / Qualifications of Proponent Firm (25%)
- Demonstrated Experience / Qualifications of Key Personnel (25%)
- Proposed Approach / Methodology (25%)
- Cost of Cultural Assessment services (15%)
An evaluation of the proposals was performed against the pre-determined evaluation criteria. From this evaluation, the two highest scored vendors, M.N.P. and Deloitte, moved onto to the presentation stage of the process.
After the presentations, pricing envelopes were opened and the final evaluation was conducted. This resulted in M.N.P. achieving the highest overall score. M.N.P. provided a lump sum price of $477,300 (net of tax rebate), thereby ensuring the Service will contain costs within the approved P.E.M. grant funding of $500,000.
The successful vendor is expected to commence the organizational culture assessment of the Service subsequent to Board’s approval with the Interim Report received by the Service mid-February 2018. A current state analysis utilizing an industry standard model involving the solicitation of inputs from internal and external perspectives is expected to be completed mid-February 2018. A gap analysis, recommendations and a transition
plan will be received within a five month time period from the start of the project date to meet the March 31, 2018 deadline.
**Conclusion:**
Based on the results of an in-depth evaluation of submissions obtained through an open and transparent procurement process, M.N.P. is the recommended proponent, having achieved the highest overall score and submitting a proposal that optimizes value to the Service.
Superintendent Frank Bergen from the Strategy Management Unit will be in attendance to answer any questions that the Board may have regarding this report.
Respectfully submitted,
Mark Saunders, O.O.M.
Chief of Police
MS/FB
Filename: Final Culture Assessment Board Report v6.doc
October 6, 2017
Mr. Andy Pringle
Chair, Toronto Police Services Board
40 College Street
Toronto, Ontario
M5G 2J3
Dear: Mr. Andy Pringle,
Re: Reply to your letter regarding compliance audit of Toronto Police Service Governance – Procedure 04-14 (Regulated Interactions)
I am responding to your recent enquiry on the merit of my Office conducting a review of *The Collection of Identifying Information in Certain Circumstances* by the Toronto Police Service, better known as "carding."
The original request for an Auditor General's review on this subject matter was made by the Toronto Police Services Board in 2012. Based on subsequent discussions with the then Deputy Police Chief and the former Chair of the Toronto Police Services Board, the former Auditor General decided to defer the review until the Police Service completely implemented the changes that were in progress to improve the practice. The Auditor General submitted a report to the Toronto Police Services Board's June 20, 2013 meeting to inform the Board of the deferral.
I am aware of the long-standing issue relating to police interactions with Toronto's diverse communities and racialized young people. I also recognize that the Board and the Service have directed a significant amount of effort in responding to community concerns by completing various reviews. As reported by the Board, these reviews are to improve police policies and procedures, data collection and retention, officer training, and officer performance evaluation relating to street checks.
Given the internal and legislative changes, an independent review conducted by my Office will contribute to public trust and confidence in police services. It can provide independent assurance of the police commitment to ensure police services are equitable, respectful, and inclusive.
In response to your request and considering the importance of this matter, I will be including the requested review in my 2018 Audit Work Plan, which will be presented to the City Audit Committee at its October 27th, 2017 meeting.
I look forward to working with the Board and the Toronto Police Service on this important review for the community.
Best regards,
Beverly Romeo-Beehler
Auditor General
mh
c: Mark Saunders, Chief of Police
Joanne Campbell, Executive Director, Toronto Police Services Board
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Amplicon-Based, Next-Generation Sequencing Approaches to Characterize Single Nucleotide Polymorphisms of Orthohantavirus Species
Mariah K. Taylor\textsuperscript{1}, Evan P. Williams\textsuperscript{1}, Thidathip Wongsurawat\textsuperscript{2}, Piroon Jenjaroenpun\textsuperscript{2}, Intawat Nookaew\textsuperscript{2} and Colleen B. Jonsson\textsuperscript{1*}
\textsuperscript{1} Department of Microbiology, Immunology and Biochemistry, The University of Tennessee Health Science Center, Memphis, TN, United States, \textsuperscript{2} Department of Biomedical Informatics, College of Medicine, University of Arkansas for Medical Sciences, Little Rock, AR, United States
Whole-genome sequencing (WGS) of viruses from patient or environmental samples can provide tremendous insight into the epidemiology, drug resistance or evolution of a virus. However, we face two common hurdles in obtaining robust sequence information; the low copy number of viral genomes in specimens and the error introduced by WGS techniques. To optimize detection and minimize error in WGS of hantaviruses, we tested four amplification approaches and different amplicon pooling methods for library preparation and examined these preparations using two sequencing platforms, Illumina MiSeq and Oxford Nanopore Technologies MinION. First, we tested and optimized primers used for whole segment PCR or one kilobase amplicon amplification for even coverage using RNA isolated from the supernatant of virus-infected cells. Once optimized we assessed two sources of total RNA, virus-infected cells and supernatant from the virus-infected cells, with four variations of primer pooling for amplicons, and six different amplification approaches. We show that 99–100% genome coverage was obtained using a one-step RT-PCR reaction with one forward and reverse primer. Using a two-step RT-PCR with three distinct tiling approaches for the three genomic segments (vRNAs), we optimized primer pooling approaches for PCR amplification to achieve a greater number of aligned reads, average depth of genome, and genome coverage. The single nucleotide polymorphisms identified from MiSeq and MinION sequencing suggested intrinsic mutation frequencies of $\sim 10^{-5}$-$10^{-7}$ per genome and $10^{-4}$-$10^{-5}$ per genome, respectively. We noted no difference in the coverage or accuracy when comparing WGS results with amplicons amplified from RNA extracted from infected cells or supernatant of these infected cells. Our results show that high-throughput diagnostics requiring the identification of hantavirus species or strains can be performed using MiSeq or MiniON using a one-step approach. However, the two-step MiSeq approach outperformed the MinION in coverage depth and accuracy, and hence would be superior for assessment of genomes for epidemiology or evolutionary questions using the methods developed herein.
Keywords: hantavirus, \textit{Orthohantavirus}, NGS, next generation sequencing, MinION, illumina MiSeq, single nucleotide polymorphism, SNP
INTRODUCTION
Hantaviruses, genus *Orthohantavirus*, family *Hantaviridae*, order *Bunyavirales*, are broadly distributed in nature in Old and New World rodents (Peters and Khan, 2002; Jonsson et al., 2010; Vaheri et al., 2013). Spillover of several of these viruses from rodents to humans through inhalation of aerosolized excreta can cause serious illness resulting in hantavirus pulmonary syndrome (HPS) in the Americas or hemorrhagic fever with renal syndrome (HFRS) in Europe and Asia with case fatality rates ranging from 1–40% (Peters and Khan, 2002). Hantaviruses have a tripartite, negative-sense single stranded RNA genome comprised of the small (S), medium (M), and large (L) segments; and are ~1,600, 3,600, and 6,500 nucleotides in length, respectively (Jonsson and Schmaljohn, 2001). Each genomic segment (vRNA) serves as the template for synthesis of positive-sense messenger RNA (mRNA) and complementary RNA (cRNA) during transcription and replication, respectively, within the cytoplasm (Jonsson and Schmaljohn, 2001). There is no evidence of polyadenylation of any of the hantaviral mRNAs. Diagnostic testing for patients suspected of having HFRS or HPS typically calls for qRT-PCR detection based on hantavirus S segment from blood, which does not typically discriminate among the viral vRNA or cRNA/mRNA (Terajima et al., 1999; Evander et al., 2007), and/or detection through IgM antibody capture (Le Duc et al., 1990; Ksiazek et al., 1995; Hujakka et al., 2003). Neither of these approaches provides information regarding the specific strain or genotype of hantavirus, whether the virus represents a new sequence variant or whether the infection represents a new reassortment of the genomes. The approaches are similar for detection of hantaviruses for ecological surveillance of small animals. However, the low copy number of hantaviral RNAs in tissues typically require a nested-RT-PCR approach which is not appropriate for whole genome sequencing (WGS) for evolutionary or epidemiological studies (Nichol et al., 1993). With these gaps in mind, we designed, tested and evaluated several WGS approaches and methods with the goal of creating a pipeline that would result in high quality sequences for the purpose of studies of ecology, evolution, or molecular epidemiology.
Over the past decade, WGS approaches have quickly advanced to enable the rapid detection of viral genotypes and drug resistant variants in patients or environmental samples. The accurate and robust assessment of the genetic structure of a virus population to confirm genetic drift or adaptation to antivirals or new hosts, and the phylogenetic relationships between virus species demands WGS pipelines with optimal coverage and minimal incorporation of PCR-based errors. Two of the most common sequencing platforms are the Illumina MiSeq, a second-generation sequencing platform capable of processing short reads ($\leq 300$ bp), and the Oxford Nanopore Technologies (ONT) MinION, a third-generation sequencer which detects ionic charges from single molecules of up to 2,272,580 nucleotides (Payne et al., 2018). The MiSeq provides low frequency variant analysis as error rates are very low and increased quality scores remove a majority of substitution errors (Schirmer et al., 2016). However, the MiSeq platform does not provide as rapid detection of viruses in specimens as the MinION, which provides a portable and real-time sequencing device that can be used for rapid diagnosis (Wongsurawat et al., 2019). However, MinION quality scores do not align to expected Phred values and as the quality score increases, the error rate is not significantly reduced (Laver et al., 2015). Unlike the MiSeq, early versions of the MinION showed excessive raw error rates reported to be as high as 40% (Goodwin et al., 2015). Although newer versions have drastically decreased error rates to where current substitution error rates are between 10 and 13% (Bowden et al., 2019). Thus, each NGS platform has limitations that must be considered for the application.
Four distinct approaches have been reported for WGS of Old World hantavirus species Hantaan virus (HTNV) and Seoul virus from patient and rodent specimens (Kim et al., 2016, 2018, 2019; Song et al., 2017). These include sequence-independent, single primer amplification (SISPA), rapid amplification of cDNA ends (RACE), target-capture using virus-specific probes, and amplicon-based approaches. Of these methods, the amplicon-based method provided the most sensitive approach in terms of detection of HTNV from wild reservoir rodent lung tissue (No et al., 2019). In 2019, No et al. reported near to complete genome coverage of HTNV using $10^2$ vRNA copies. Target capture and SISPA approaches did not show complete coverage even at $10^3$ or $10^5$ copies, respectively (No et al., 2019).
Given the reported success of the amplicon based NGS approach, we designed several WGS pipelines to identify the conditions most suitable for WGS recovery, optimal coverage depth and accuracy. We first present a one-step RT-PCR approach using the MiSeq and MinION which would be sufficient for diagnostic purposes with the intent of rapid species identification. However, within tissues, the one step RT-PCR approach would amplify all viral RNA species (i.e., vRNA, mRNA, and cRNA), which are all present in various concentrations; and because they represent distinct replication and transcript processes of the hantaviral polymerase, one cannot assume they have equivocal error rates. Hence, we designed an optimized a pipeline for WGS of the hantaviral vRNA or viral genome using a two-step RT-PCR, vRNA primer specific approach to enable robust single nucleotide polymorphism (SNP) calling. In this work, we focused our efforts solely on sequencing of the vRNAs to enable the study of viral genetic diversity. We present data with MinION and MiSeq in these studies. The WGS MiSeq pipeline developed minimized PCR bias, provided complete genome coverage, and provided high quality data.
MATERIALS AND METHODS
Cells and Viruses
Vero E6 cells were purchased from the American Type Culture Collection. Vero E6 cells were grown in Eagle’s minimal essential media (EMEM) (Corning, NY, USA) supplemented with 10% FBS (Gibco, Waltham, MA, USA), 5 mM penicillin/streptomycin (Gibco), and L-glutamine (Gibco). Cells were maintained at 37°C with 5% CO₂.
Andes virus (ANDV) strain Chile-9717869, Dobrava-Belgrade virus (DOBV), and Prospect Hill virus (PHV) were provided by Dr. Connie Schmaljohn (USAMRIID, Frederick, MD, USA). Sin Nombre virus (SNV) strain Muerto Canyon and was provided by Dr. Christina Spiropoulou (Centers for Disease Control and Prevention). Hantaan virus (HTNV) strain Fojnica was purchased from BEI Resources (Manassas, VA, USA). PHV passage (P4), SNV (P1), DOBV (P1) and HTNV (P2) were grown in EMEM in one T175 flask of Vero E6 cells using a multiplicity of infection (MOI) of 0.1. Each flask was refed on day three post-infection and on day seven post-infection supernatant was centrifuged at $220 \times g$ for 15 min to remove cellular debris. Cells were washed with DPBS and viral supernatant and cells were harvested with TRIzol LS or TRIzol reagent (Invitrogen, Waltham, MA, USA), respectively. RNA was extracted from supernatant using TRIzol LS and RNA from cell culture was isolated from TRIzol reagent following the manufacturer’s protocol.
To generate a concentrated stock of ANDV (P6), 10 T175 flasks of Vero E6 cells were infected with a MOI of 0.1 for 1 h, rocking every 15 min. After 6 days, the cell monolayer was harvested in TRIzol reagent and virus supernatant was collected and virions were concentrated and purified on a sucrose cushion as described previously (Parvate et al., 2019).
**Genome Amplification**
**Amplicon Amplification Schemes**
Several approaches were used for amplification of amplicons in these experiments (Figure 1), but all primers were designed to amplify the genomic vRNAs for S, M, and L segments. For one-step RT-PCR experiments that were sequenced using the Illumina MiSeq, we used one forward and one reverse primer to amplify full-length S or M segments of ANDV, DOBV or HTNV (Figure 1A), which we refer to as a *whole segment PCR approach*. Two forward and reverse primers were used to amplify two halves of the L segment of ANDV (Figure 1A). As identification of an optimal primer set of DOBV or HTNV like ANDV was not possible at that time, we proceeded with primers that amplified only the first half of the L segment. Each amplicon was purified and combined in equimolar concentration for Nextera XT library preparation.
For the one-step RT-PCR experiments that used the MinION for sequencing we multiplexed an equimolar concentration of forward and reverse primers (Figure 1B), which we refer to as a *whole genome multiplex tiling approach*.
For the two-step RT-PCR experiments, we tiled primers across the S, M, and L genomes to amplify 1 kb segments. Each amplicon overlapped with the adjacent region by 500 bp. This approach ensures that SNPs detected within the viral population would be amplified 2X more than erroneous RT-PCR-introduced SNPs. In these experiments, vRNA-specific primers for S, M, and L segment genomes were pooled for cDNA synthesis. For the subsequent PCR amplification step, we combined an equimolar mix of forward and reverse primers (Figure 1B). We also used a *segment-specific tiling approach* (i.e., S, M, or L, Figure 1C) in which we conducted PCR reactions with pools of primers for that segment. In Figure 1C, the amplicons within each segment overlapped within other and hence each segment, S, M, or L, was amplified separately in three pools (Colored as red = S segment, black = M segment and blue = L segment).
We also tested the PCR amplification of the entire genome (included all primers for S, M, and L) in multiplexed reactions in which the primers would not generate overlapping amplicons during PCR amplification (Figure 1D). We refer to this as our *disjointed tiling approach*. Hence in each primer pool in Figure 1D represented by color as black, blue or red constituted a mixture of S, M, and L primers were multiplexed to make three amplification pools.
**Primer Design**
Primers were designed based either on GenBank consensus sequences or on the MiSeq consensus sequence of our lab reference strains and assessed using IDT’s OligoAnalyzer tool, https://www.idtdna.com/calc/analyzer, under the following parameters: 0.5 µM oligonucleotide, 0 mM Na⁺, 1.5 mM Mg⁺⁺, and 0.2 mM dNTP. Additionally, we used this tool to evaluate primer length, GC content and melting temperature. The “E value” of each primer was also assessed using NCBI Blast (https://blast.ncbi.nlm.nih.gov/) to ensure each primer was highly specific to each hantavirus species. Primer sets were tested with purified viral RNA from seed stocks by RT-PCR and run on a gel electrophoresis and only redesigned if the amplicon band did not show coverage equivocal to other amplicons or suggested the presence of primer dimers (<50 bp).
**RNA Purification and One-Step RT-PCR Amplification for MiSeq**
Total RNA was extracted from 5 ml of $10^5$ to $10^6$ PFU/ml of clarified virus supernatant from ANDV, DOBV or HTNV using 15 ml TRIzol LS per the manufacturer’s instructions and 2 µL of glycogen (Ambion) per ml. RNA was resuspended in 20 µL of RNase-free water. The RNA was not quantified as the levels would be <1 pg as the weight of one genome = $6.5 \times 10^{-9}$ ng, moreover, the RNA was not taken for real-time RT-PCR given the limited amount of material. The cDNA was synthesized from 1 µL of each RNA extract ($\sim 8 \times 10^3$ PFU if 100% of the material was extracted) and amplified using SuperScript IV One-Step RT-PCR System (Invitrogen) using segment-specific vRNA primers, using the three-pool, whole segment PCR (Figure 1A) following manufacturer’s instructions of 40 PCR cycles and an annealing temperature of 60°C for DOBV and HTNV or 64.6°C for ANDV. PCR products were run on a 1% agarose gel and bands were excised and purified using Wizard SV Gel and PCR Clean-Up System (Promega, Madison, WI, USA). Library preparation was performed using Nextera XT DNA Library Preparation Kit (Illumina, San Diego, CA, USA) following the manufacturer’s protocol with the exception that tagmentation time was extended to 10 min and the final resuspension volume was in 15 µL resuspension buffer. Library concentrations were measured on the Qubit 4 Fluorometer (Invitrogen) and normalized to 4 nM and paired-end reads were sequenced using a MiSeq Reagent Kit v2 (300 cycles) on the MiSeq. The final MiSeq yield from sequencing the ANDV library on the 150-cycle v3 cartridge contained a total of 22.4 million paired-end reads passing filter
which came from a final library concentration of 1.26 ng/μL or 3.82 nM.
**RNA Purification and One-Step RT-PCR Amplification for MinION**
RNA was purified from 50 μL of twice-clarified supernatant of PHV and SNV seed stocks (10^6 PFU/ml) using MagMax Viral RNA Isolation kit (Applied Biosystems, Waltham, MA, USA). RNA was reverse transcribed and amplified through SuperScript IV One-Step RT-PCR System using 35 cycles. The annealing temperature for PHV and SNV primers were 60 and 66.1°C, respectively. Segment-specific primers were pooled and used in separate RT-PCRs per each viral genome segment (i.e., Figure 1C, three-pool, segment-specific tiling approach of S, M or L) or in a second method, all primers were used in one single RT-PCR (one pool, whole genome multiplex tiling, Figure 1B). Libraries were purified using Wizard SV Gel and PCR Clean-Up System. DNA library preparation was carried out using the one dimension (1D)-Native barcoding genomic DNA kit (SQK-LSK108) with the EXP-NBD103 kit (ONT, Oxford, United Kingdom) following the manufacturer’s protocol with two exceptions. First, as we started from known PCR amplicon size, DNA fragmentation and DNA repair processes were ignored. Second, libraries were washed in 80% ice cold ethanol, isolated using AMPure XP beads (Beckman Coulter, Brea, CA, USA) and resuspended in 10 μL nuclease-free water. The prepared DNA library was loaded into single R9.4.1/FLO-MIN106 flow cell on a MinION Mk1B for 48 h. The final MinION yield from sequencing the PHV library provided 4.2 million reads passing filter from a final library concentration of 220 ng or 333 nM.
**Two-Step RT-PCR and MiSeq Sequencing**
The virus pellet was resuspended in TRIzol LS and RNA was extracted from supernatant as well as from cells following the manufacturer’s protocols. We multiplexed vRNA-specific primers as illustrated in Figure 1 and generated cDNA using SuperScript IV First-Strand Synthesis System (Invitrogen). Forward and reverse primers were used for the second-step PCR amplification using the whole genome multiplex tiling approach (Figure 1C) or the disjointed tiling approach (Figure 1D), PCR amplification with Platinum SuperFi PCR Master Mix (Invitrogen) with 1x, 7x, 15x, and 20x amplification cycles using an annealing temperature of 64.6°C following the manufacturer’s protocols.
**Two-Step RT-PCR and MinION Sequencing**
RNA was purified as stated in the prior section. The vRNA-segment-specific primer pools were used for cDNA synthesis using SuperScript IV First-Strand Synthesis System and three-pool, segment-specific amplification approach of S, M, or L (Figure 1C) or the disjointed tiling approach (Figure 1D) were used with Phusion High-Fidelity PCR Master Mix with HF Buffer (Thermo, Waltham, MA, USA) following manufacturer’s protocols. PCR reactions were amplified with 7x or 30x cycles using a 60°C annealing temperature. Sample purification and
library preparation was carried out as described in the one-step MinION approach as stated above.
**Bioinformatics**
**Illumina MiSeq Bioinformatics Analysis**
Paired-end reads were demultiplexed on the MiSeq instrument and data was transferred to CLC Genomics Workbench v.12 (Qiagen, Hilden, Germany). Reads were quality trimmed by discarding duplicate mapped reads as well as short reads (<50 bases). The remaining trimmed reads were then aligned to previously sequenced reference genomes of each virus ANDV (accession no. SAMN14763865 of which had been aligned to GenBank reference AF291702.1, AF291703.2, AF291704.5), and GenBank references for DOBV (GU904042, GU904035, GU904029) and HTNV (X55901.1, M14627.1, M14626.1) using a length fraction of 0.9, a similarity fraction of 0.8 and keeping other settings on default. These reads were further processed by having duplicate mapped reads removed and then this final data set was used to generate a mapping report, SNPs, and generate consensus sequences. The mapping report was directly taken from the data set by excluding short contigs below a length of 200 as well as long contigs above a length of 10,000. For SNP detection, a cutoff depth of 400x and marginal variants seen below 1% were removed and a minimum quality score of 20 was used. Consensus sequences were extracted with a depth threshold of 50x or 400x. The genome coverage on consensus sequence was determined using a 50x or 400x depth of coverage threshold. Other parameters were left on default settings.
**MinION Bioinformatics Analysis**
Basecalling and demultiplexing were performed using Albacore v. 1.2.3 (ONT). The Galaxy web platform (Afgan et al., 2018) was used to trim adapters using Porechop v.0.2.3 (https://github.com/rrwick/Porechop) and fastq files were aligned to the PHV and SNV reference genomes using minimap2 (Galaxy v. 2.17 + galaxy1) (Li, 2018) where the analysis mode was set to ‘PacBio/Oxford Nanopore read to reference mapping (-Hk19)’ and other parameters were set to default. PHV fastq files were aligned to a virus previously sequenced in our lab (accession no. SAMN14838478 which had been aligned to GenBank reference EF646763, X55129.1, M34011.1) and SNV was aligned to GenBank references L37902, L37903, L37904. Mapped BAM files were transferred to CLC Genomics Workbench v.20. Reads were mapped again to the reference sequence using default settings and duplicate mapped reads were removed. This data set was then used to obtain a mapping report, determine SNPs, and generate consensus sequences. To obtain percent genome coverage and average read depth a mapping report was created using a short contigs threshold of 200 and long contigs threshold of 10,000. To obtain SNPs low frequency variants were called using a required significance of 10%, a quality score of 10, and a minimum coverage depth of 50 reads, other parameters were set to default. Consensus sequences were extracted using a minimum depth of nucleotide coverage of one. Consensus sequences were altered to reflect a coding complete genome.
**Filtering of Reads**
To assess the theoretical yield of each sequencing run we used the Lander/Waterman equation which asserts that the depth of coverage is equal to the read length multiplied by the read number which is divided by genome length (Lander and Waterman, 1988). To allow for a 400x genome coverage for each of our 16 ANDV samples which have a genome length of ~12 kb, and a read length of $2 \times 75$, we would expect to have at minimum 32,000 reads provided per sample. To allow for a 400x genome coverage for each of our 12 PHV samples which have a genome length of ~12 kb, and a read length of ~1,000 bp, we would expect to have at minimum 4,800 reads provided per sample. As evidenced in Tables 3, 5, not every sample contained this read number, and many samples had higher reads than this. Many factors affect the total output of reads allotted to each library such as short, broken reads, reads which do not contain adapters, or reads which do not pass filter are excluded from final read counts, as well as manual errors caused by uneven sample pooling.
**Network Analyses**
Consensus sequences of the coding region were aligned using MUSCLE (Edgar, 2004a,b) and these complete consensus sequence alignments were imported into PopART and run under the “Minimum Spanning Network” with epsilon value equal to 0 (Bandelt et al., 1999; Leigh and Bryant, 2015).
**Percent Identity Matrix**
MUSCLE alignments of the complete consensus sequence of each library were used to create percent identity matrices (PIM). Clustal 2.1 (https://www.ebi.ac.uk/Tools/msa/clustalo/) was used with default parameters with the exception that the “order” parameter was changed to “input” as opposed to “aligned” (Sievers et al., 2011).
**RESULTS**
**Whole Segment Primers for Amplification and MiSeq Sequencing of S and M Segments From Old and New World Hantaviruses**
To develop an WGS approach on the Illumina MiSeq platform, we first assessed a one-step RT-PCR method to amplify entire hantavirus genome segments (Figure 1A). Total RNA was purified from $10^3$ PFU of ANDV, DOBV, and HTNV seed stocks. Full-length amplicons were generated for S and M segments of ANDV, DOBV, and HTNV. Two amplicons were used to cover the full-length ANDV L segment. For DOBV and HTNV only one amplicon was amplified and tested which covered the first half of the L segment (Amplicon 1 in Figure 1A, Supplementary Table 1). Amplicons were pooled for library preparation and sequenced using an Illumina MiSeq.
The length of the S segments for ANDV, DOBV, and HTNV are 1,871, 1,672, and 1,695 nucleotides, respectively. The average depth of coverage spanned from 97–1, 273x having 1,961–16,677 aligned reads which represents ~99% genome coverage (Table 1). The length of the M segments for ANDV, DOBV, and HTNV are 3,672, 3,635, 3,616 nucleotides, respectively. The
average depth of coverage was from 87–977x having 3,691–30,028 aligned reads which represents ~99–100% genome coverage. Lastly, the length of the L segment for ANDV, DOBV and HTNV are 6,562, 6,532, and 6,533 nucleotides, respectively. Primers were designed to amplify amplicons that covered the genomes from nucleotides 1 to 3,216 from the 3’ end of the L segment of DOBV and HTNV (Amplicon 1 of L segment, Figure 1A). Sequencing of the libraries constructed from these amplicons resulted in coverage for DOBV and HTNV of 3,388 and 5,201, respectively. The additional coverage achieved is possibly a result of the cDNA step which can result in the additional extension of the genome. The average depth of coverage was from 191–483x having 11,623–26,579 aligned reads which represents ~100% genome coverage. To summarize, the one-step RT-PCR reaction provided 99–100% genome coverage for the S, M, and L of ANDV as well as 99–100% genome coverage for S, M and partial L segments of DOBV and HTNV.
**Full-Length Sequencing of the S, M, and L Segments of Two New World Hantaviruses Using ONT MinION**
Next, we assessed the versatility of the one-step RT-PCR approach using the MinION device using a amplicon tiling schema (Figures 1B,C). Total RNA was isolated from supernatant from Vero E6 cells infected with PHV or SNV and reverse transcribed into cDNA using either a one-pool of multiplexed primers that generated tiled 500 bp overlapping amplicons across all three segments (Figure 1B, Supplementary Table 2) or a three-pool, segment-specific tiling approach (Figure 1C, Supplementary Table 2) which also resulted in 500 bp overlapping amplicons. In the segment-specific tiling approach (Figure 1C), the segment specific primer sets are colored as red = S segment, black = M segment, and blue = L segment. In this one-step reaction, amplification occurred for 35 PCR cycles. The three pools of amplicons were normalized and used to prepare libraries to be sequenced on the MinION device.
The length of the S segment vRNA for PHV and SNV are 1,673 and 2,060 nucleotides, respectively. We assessed that the one-pool, whole genome multiplexed tiling (Figure 1B) and three-pool, segment-specific tiling approaches (Figure 1C) gave an average depth of coverage ranging from 24–3,090x and a total number of reads ranging from 91–8,577 reads; representing 75–100% genome coverage (Table 2).
The length of the M segments for PHV and SNV are 3,707 and 3,696 nucleotides, respectively. We assessed that the one-pool, whole genome multiplexed tiling (Figure 1B) and three-pool, segment-specific tiling approaches (Figure 1C) gave average depth of coverage ranging from 5–573x and a total number of aligned reads ranging from 23–4,213 representing 85–100% genome coverage (Table 2).
The length of the L segments for PHV and SNV are 6,559 and 6,562 nucleotides, respectively. We assessed that the one-pool, whole genome multiplexed tiling (Figure 1B), and three-pool, segment-specific tiling approach (Figure 1C) gave an average depth of coverage ranging from 356–7,340x for PHV and 8–28x for SNV and the total number of aligned reads ranged from 4,645–92,761 aligned reads for PHV and 125–248 aligned reads for SNV, representing 93–94 and 50–69% genome coverage, respectively (Table 2).
In summary, with the exception of the L segment of PHV and SNV, PHV had higher total reads, greater genome coverage and depth of coverage in every genome segment when the library preparation used the three-pool, segment-specific tiling approach (Figure 1C) as opposed to the one-pool whole genome multiplexed tiling (Figure 1B).
**Two-Step Amplification of Full-Length Sequences of S, M, and L Segment vRNA of ANDV Using MiSeq From ANDV-Infected Vero E6 Supernatant or ANDV-Infected Vero E6 Cells**
While one-step RT-PCR is a quick method, it does not distinguish among viral vRNA, mRNA, or cRNA. To amplify vRNA or cRNA/mRNA requires a primer specific, two-step RT-PCR approach to synthesize the cDNA and then amplification. A second consideration in development of a robust WGS pipeline is the associated error of the process. We know that the use of nested approaches in both one-step and two-step methods can lead to error-prone polymerase-based SNP incorporation (Kugelman et al., 2017). Due to this polymerase-based error and the need for amplification, Wang et al. determined that identification of minor variants from a virus population requires a minimum depth of 400x coverage across the genome to recognize variants found at a 1% SNP frequency (Wang et al., 2007; Ladner et al., 2014). To address this fundamental problem, we generated primer sets that would create amplicons that tiled across each segment with a 500 bp overlap. For the ends an additional primer set was employed of only 500 bp. Using this approach, the genome will be synthesized twice providing a more accurate representation of the genome. Secondly, we hypothesized that the number of PCR amplifications may contribute to introduction of error. Hence, we examined 1x, 7x, 15x, or 20x PCR of the identical cDNA synthesized using primers specific for the vRNA and measured the SNPs and apparent error. We also assessed two primer pooling schemes (Figures 1C,D, Supplementary Table 2).
The lower PCR amplification cycles (1x and 7x) of samples originating from supernatant provided the greatest coverage (Figure 2, Supplementary Table 3). In contrast, the higher PCR amplification cycles (15x and 20x) isolated from virus-infected cells provided greater coverage (Figure 2, Supplementary Table 3). Using a 1x depth of coverage threshold we obtained complete genome sequences from S, M, and L segments. Interestingly, this experiment resulted in near to complete genome coverage across the S and M segments. The L segment was completely covered across each primer pooling approach and each PCR cycle. Normally the L segment has a greater loss of coverage than the S or M which shows that this primer pooling approach was beneficial for complete L segment identification.
In contrast to the clarified supernatant of virus-infected cells, most diagnostic specimens are from tissue. Tissue will not only contain viral RNA, but viral mRNA and cRNA as well as host RNA molecules (rRNA, mRNA, tRNA, etc.). Host RNAs make up 1.1% of the total weight of a single mammalian cell (Alberts et al., 2008) and greatly outnumber viral RNAs. The host cell RNA can be reverse transcribed and amplified erroneously through nonspecific primer binding which increase sequencing background and result in less sequence reads aligning to viral genomes. Hence, we tested parameters to optimize viral RNA amplification from infected cells. As previously described for ANDV-infected Vero E6 supernatant, we sequenced in parallel libraries made from ANDV-infected Vero E6 cells to determine the extent by which host cellular RNA would inhibit complete viral genome recovery.
Total RNA isolated from the cell monolayer provided a slightly lowered percent genome coverage of ANDV vRNA than that isolated from supernatant. ANDV amplified from cell culture contained 99–100% genome coverage for the S, 96–100% coverage for the M, and 100% coverage for the L which is compared to 100% coverage for the S, M, and L taken from supernatant (Supplementary Table 3).
We used a 400x depth of coverage threshold to assess ANDV genome coverage (Table 3). The supernatant samples which gave the highest genome coverage across all segments was the 1x PCR and 7x PCR. The samples from infected cells showed good coverage at 15x and 20x PCR cycles although this was only true for the S and M segments as the L segment provided no coverage at this depth.
PCR artifacts are errors introduced during PCR amplification steps. To measure these artifacts in our pipeline, we examined ANDV sample sequences across PCR cycles and we estimated the mutation frequency of each sample based on its respective PCR cycle number (Table 4). We observed little difference in number of SNPs when using three primer pools. In fact, using multiple primer pools produces uniform mutation frequencies regardless of the number of PCR cycles. In using the multiplex primer pooling approach, we identified one instance where increased SNPs were present in the lowest PCR cycle in the sample of ANDV isolated from supernatant. There were 30 SNPs found in this library, seven in the S segment, six in the M segment, and 17 in the L segment (Figure 3). This is in contrast to previous work suggesting that lower PCR cycles reduces errors introduced by increased PCR cycles (Liu et al., 2014; Waugh et al., 2015). Our work suggests that increased PCR cycle number reduces errors amplified by a minor portion of the cDNA caused by reverse transcription. Furthermore, our approach ensures reduced introduction of PCR artifacts provided that during a multiplex primer pooling approach at least 7x PCR cycles are used.
The libraries made from RNA isolated from the supernatant vs. cell-derived ANDV consensus sequences were analyzed.
using a network analysis approach and percent identity matrix (PIM) (Figure 4, Supplementary Table 4). Our network analysis plot and PIM constructed from ANDV consensus sequences identified that viruses sequenced from supernatant were more identical than those sequenced from cell culture. Consensus sequences derived from supernatant derived RNA showed 100% amino acid similarity compared to consensus sequences derived from cell culture which showed 97–100% similarity between consensus sequences from both reference and other preparation methods. Specifically, in the S, M, and L segments, variants emerged only from the cell culture derived amplicons. This probably reflects that amplicons from virus-infected cells are more likely to defective genomes that are not packaged.
**Two-Step Amplification of Full-Length Sequences of S, M, and L Segment vRNA of PHV Using MinION From PHV-Infected Vero E6 Supernatant or PHV-Infected Vero E6 Cells**
Using the MinION, we evaluated the two-step amplification of full-length sequences of S, M, and L segment vRNA using the one-pool, whole genome multiplex (Figure 1B) and the three-pool, segment-specific tiling (Figure 1C) schemes. For these experiments, we used total RNA isolated from the supernatant or cells of PHV-infected Vero E6. For each RNA source, we sequenced cDNA, 7x or 30x PCR amplification cycles. Based on the average depth of coverage, reads aligned to a greater extent from higher amplification cycles, (30x), of viral RNA amplified from supernatant (Figure 5A). Libraries made from cell culture supernatant had 97–100% genome coverage for the S segment and M segments (Supplementary Table 5). Decreased depth and coverage of the L segment was observed for libraries made from supernatant of PHV-infected cells although genome coverage was still found at >94% from directly
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**TABLE 3 |** Percent genome coverage of ANDV Illumina MiSeq run using a 400x minimum coverage depth.
| Sample source | PCR cycle | Pool | Large segment | Medium segment | Small segment |
|---------------|-----------|------|---------------|----------------|--------------|
| Supernatant | 1x | 1 | 100% | 96% | 98% |
| | | 3 | 100% | 97% | 96% |
| | 7x | 1 | 100% | 96% | 99% |
| | | 3 | 0% | 98% | 99% |
| | 15x | 1 | 0% | 83% | 99% |
| | | 3 | 0% | 82% | 99% |
| | 20x | 1 | 0% | 82% | 99% |
| | | 3 | 0% | 96% | 98% |
| Cells | 1x | 1 | 0% | 0% | 0% |
| | | 3 | 0% | 0% | 0% |
| | 7x | 1 | 0% | 0% | 0% |
| | | 3 | 0% | 0% | 0% |
| | 15x | 1 | 0% | 0% | 0% |
| | | 3 | 0% | 82% | 97% |
| | 20x | 1 | 0% | 0% | 0% |
| | | 3 | 0% | 82% | 96% |
*For those samples stated as “3 pool”, the sequencing strategy (Figure 1D) used overlapping amplicons for each segment, however primers were placed into one of three disjointed primer pools. The multiplexed amplicons were purified and normalized before the 3 pools were mixed for preparation of Nextera XT libraries. In contrast, for those samples stated as “1 pool”, all amplicons were synthesized in one reaction in Figure 1B (one pool) and purified for preparation of Nextera XT libraries.*
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**TABLE 4 |** Mutation frequency of ANDV genomes amplified from supernatant or ANDV-infected Vero E6 cells and analyzed using the MiSeq.
| Source | Primer pool | (No. SNPs) mutation frequency |
|--------|-------------|-------------------------------|
| | | **PCR cycle** |
| | | 1x | 7x | 15x | 20x |
| Supernatant 1 | 1 | (30) 1.8 × 10⁻⁵ | (6) 3.6 × 10⁻⁶ | (5) 3 × 10⁻⁶ | (6) 3.6 × 10⁻⁶ |
| | 3 | (3) 1.8 × 10⁻⁶ | (4) 2.4 × 10⁻⁶ | (4) 2.4 × 10⁻⁶ | (3) 1.8 × 10⁻⁶ |
| Cells | 1 | N/A | N/A | N/A | (1) 5.9 × 10⁻⁶ |
| | 3 | N/A | (1) 5.9 × 10⁻⁷ | (4) 2.4 × 10⁻⁶ | (4) 2.4 × 10⁻⁶ |
*Mutation frequencies were measured based on the input PFU per sample, accounting for 10% sample loss during library preparation. N/A: Not applicable; represents mutation frequency which was not estimated as parameters identifying low frequency SNPs excluded those identified in these samples.*
sequencing cDNA (Figure 5A). Complete genome coverage and good depth of coverage was observed for cell-derived libraries (Figure 5B, Supplementary Table 5). Complete coverage of the S was observed regardless of the source of RNA or amplification approach (Supplementary Table 5). The M segment showed complete coverage except for those libraries prepared from supernatant where cDNA was synthesized using the one-primer pool, whole genome multiplex approach (Figure 1B). In summary, PHV libraries amplified from infected Vero E6 cells had higher genome coverage compared to cell culture supernatant (Supplementary Table 5).
The intrinsic mutation frequencies for libraries prepared from the three-pool, segment-specific tiling (Figure 1C) were similar (Table 5). In contrast, the intrinsic mutation frequencies for libraries prepared from the one-pool, whole genome multiplex (Figure 1B) had a log difference in mutation frequency between cDNA isolated from cell culture and using either 7x or 30x PCR cycles (Table 5). Except for the cDNA amplified library from cells using the one-pool method, all approaches showed a similar mutation frequency suggesting that amplification cycles did not contribute in our hands to increased error.
The supernatant vs. cell-derived PHV consensus sequences were analyzed using a network analysis approach and PIM (Figure 6, Supplementary Table 6). Our network analysis plot and PIM constructed from PHV consensus sequences identified that viruses sequenced from cells were more identical than those sequenced from supernatant. Our PIM comparison of amino acid and nucleotide variation was negligible as consensus sequences derived from supernatant showed 99.8–100% amino acid similarity compared to consensus sequences derived from cell culture which showed a 99.9–100% similarity between consensus sequences from both reference and other preparation methods. Specifically, in the S, M, and L segments, variants emerged only from the cell culture derived amplicons. However, variants were minimal across the 12 PHV consensus sequences. The L segment contained a substantial number of SNPs between the reference GenBank sequence (accession no. EF646763) and our sequenced lab strain.
**Assessment of Standing Genetic Variation of Hantaviruses With Various WGS Approaches and Evaluation Using a Network Analyses**
Assessment of the standing genetic variation (SGV) inherent within a hantavirus species population will give insight into the inherent genetic plasticity within the genome. This information also provides a critical baseline for adaptation experiments *in vitro* or *in vivo*. To assess the SGV of ANDV and PHV populations in our seed stocks, we examined SNPs from two-step RT-PCR MiSeq and MinION experiments (Section two-step amplification of full-length sequences of S, M, and L segment vRNA of ANDV using MiSeq from ANDV-infected Vero E6 supernatant or ANDV-infected Vero E6 cells). SNPs that occurred in multiple libraries have a greater probability of representing the SGV within the ANDV genome. While modern MMLV-based reverse transcriptase minimize misincorporation...
of erroneous nucleotides, they may still become incorporated into the population-level analyses. To reduce the likelihood of calling SNPs generated by inherent error of the polymerases used in the amplification process, we used specific thresholds and cut-off values for reads. To call SNPs sequenced on the MiSeq platform we used a 1% SNP cut-off and a minimum depth of coverage of 400. To eliminate SNPs introduced through basecalling errors, we set the MinION SNP cut-off threshold at 10% and used a coverage cut-off depth of 50. In calling ANDV SNPs from the MiSeq we determined that amino acid changes which prematurely introduced a stop codon occurred at or <2% frequency (data not shown). This indicated that MiSeq SNP frequency cut-offs would better be represented at 2% using a cut-off depth of 400. Premature stop codons were not introduced using a 10% SNP frequency cut-off for the MinION.
**Assessment of Standing Genetic Variation of ANDV Two-Step Sequenced on the MiSeq**
Thirty-four SNPs were identified in the 16 ANDV NGS data from MiSeq (Figure 7, Supplementary Tables 7, 8). In the ANDV genome, we identified eight SNPs within the S segment, seven SNPs in the M segment, and 20 SNPS in the L segment. In the S segment, four SNPs were located outside the open reading frame (ORF) within the 3’ NCR and four within the coding region. In the M segment no SNPS were identified in the NCR. In the L segment, one SNP was in the NCR while the other 19 were in the ORF.
In the S segment ORF, two SNPS resulted in amino acid changes, A21V, which lies in the homotypic interaction domain (Kaukinen et al., 2003), and F145F, which lies in the RPS19 domain (Figure 6) (Ganaie et al., 2014). In the hypervariable region the SNP at E243E did not result in an amino acid change.
In the S segment A21V was observed twice, N46S was observed eight times, F145F was observed twice, and outside the ORF nucleotides G1421A and C1488T were each identified in two out of the sixteen libraries.
In the seven M segment ORF SNPS, five SNPS did not result in an amino acid change. Moreover, none of the M segment SNPs were observed at frequencies at or >5%. None of the amino acid changes occurred within any known functional domains (Figure 7). The M segment contained one SNP K219K which occurred in two separate libraries.
In the L segment ORF SNPS, five SNPs were observed multiple times. For example, F2104L was observed 12 times at frequencies of 42–50%, P1828T was observed seven times at 43–48% frequency, I2087T was observed four times at 10–13% frequency, A2050T was observed three times at 4–5% frequency, and G6553C was observed four times at 16–23% frequency. None of these mutations mapped to domains with any known function (Figure 7). The remaining SNPs were identified in only one of the 16 NGS data sets. Of potential importance are H1124Q and A1134T which mapped to the polymerase domain C and the D178N which mapped to the endonuclease domain (Figure 7). None of the library preparation methods presented in this paper were able to fully capture the complete SGV of the 11 ANDV SNPs repeatedly observed through each of our libraries (Figure 3). Libraries sequenced from cell culture supernatant showed that the 1x PCR cycle and one pooled method incorporated the most SGV, which included seven repeated SNPs, although this also incorporated the most artifacts (Table 4). The next method which contained the highest SGV from supernatant was the 20x PCR cycle using the one pooled
method, which included six repeated SNPs. Libraries sequenced from cell culture showed that the 15x and 20x PCR cycle using the three pooled method incorporated the most SGV, which was only two SNPs.
**Assessment of Standing Genetic Variation of PHV Two-Step Sequenced on the MinION**
Thirty-eight SNPs were identified in the PHV genome (Figure 8, Supplementary Tables 9, 10). Six SNPs were in the S segment, 12 SNPs were noted in the M segment and 20 SNPs were identified in the L segment of PHV.
In the PHV S segment, two SNPs were located outside the ORF within the 3' NCR, one SNP did not have an amino acid change, and two SNPs caused amino acid changes. Three SNPs were identified multiple times, E151W was identified 10 times at frequencies of 15–38%, G333G was observed nine times at 16–76% frequency, and outside the ORF nucleotide A1514G was observed twelve times at 24–38% frequency. As in the ANDV S segment ORF, the homotypic region and the RPS19 had SNPs with amino acid changes, D37G and E151W, respectively (Figure 8).
In the M segment, one SNP was observed outside the ORF within the 5' NCR, two SNPs did not cause an amino acid change and nine SNPs resulted in an amino acid change. Four SNPs were found multiple times, Q201K was identified eight times at frequencies of 12–14%, G375E was observed seven times at 27–41% frequency, L645L was observed six times at 15–19% frequency, and E658A was observed nine times at 15–24% frequency. None of the SNPs with amino acid changes were in known functional domains (Figure 8).
In the L segment, one SNP was observed outside the ORF; seven did not cause amino acid changes, and 13 caused amino acid changes in the ORF. Eleven SNPs were observed multiple times, E107Q was observed two times at frequencies of 17 and 21%, G265G was observed two times at a frequency of 11 and 13%, G265V was observed two times at 12 and 13% frequency, D439N was observed eight times at 24–40% frequency, T722S was observed two times at a frequencies of 11%, F822C was observed two times at a frequency of 11 and 20%, S1292S was observed two times at a frequency of 11 and 12%, V1492V was observed twice times at 39 and 48% frequency, V1828V was observed two times at a frequencies of 12%, D1974N was observed five times at 10–21% frequency, and F2146F was...
observed four times at 11–14% frequency. Notably, seven SNPs with amino acid changes mapped to the endonuclease domain and the polymerase domain (Figure 8).
As previously shown with ANDV, none of the library preparation methods used with PHV were able to fully capture the complete SGV of the 18 SNPs repeatedly observed through each of our libraries (Figure 9). Libraries sequenced from cell culture supernatant showed that the 30x PCR cycle using the one pooled method incorporated the most SGV, which included 11 repeated SNPs. Libraries sequenced from cell culture showed that the cDNA sequenced with either the one or three pooled method incorporated the most SGV, which was 10 SNPs, although the one pooled method also incorporated more artifacts (Table 5). Secondary to this, the 30x PCR cycle using the three pooled method incorporated the next highest number of SNPs contributing to the SGV of PHV which was eight SNPs.
**DISCUSSION**
Herein, we have designed, tested and compared several NGS methods for detection and genetic evaluation of full-length genome sequences of hantaviruses. These versatile NGS pipelines may be employed to address various questions in clinical diagnostic research and research focused on the structure of viral populations and evolution. While we focused on the hantaviral genome, these approaches can be readily translated to other single-stranded, segmented RNA viruses. Moreover, we show that these methods can be used to identify low frequency SNPs which are critical for understanding the effect of SNPs on viral phenotypes. Critically, these methods should allow the robust evaluation of the standing genetic variation of viruses in reservoir hosts or spillover infections. The accurate identification of SNPs in viral populations is essential to building an accurate profile of virus in nature and predicting those variants which may pose a risk to public health in outbreaks of emerging viruses.
Primer sets having a large panel of short amplicons have been developed for use in sequencing viral genomes obtained from tissue or patient specimens. This method, termed RNA jackhammering, was made popular by Worobey et al. and has greatly aided the sequencing of samples with degraded viral RNA. Originally this method was designed for archived specimens and has been used to a large extent for tissue specimens in the last few years (Worobey et al., 2016). This approach is similar to the amplicon-based approach reported by No et al. (2019) in which they successfully identified HTNV genomes from *Apodemus agrarius* tissue using 118 primer sets to generate short
150 bp amplicons that covered the genome. In this approach, viral RNA present at a higher Ct value in the tissue had reduced sequencing background, but as viral titer decreased, non-viral reads increased; yet complete genome coverage was still attained at $10^2$ copies. We report a simpler tiling approach using only 23–24 primer sets of overlapping 500–1 kb amplicons to cover each viral genome. Similar to RNA jackhammering approaches, we show that longer amplicons provided excellent coverage and depth, but the pooling and multiplexing of the primers was critical.
In assessing other library preparation methods, Kugelman et al., compared target-capture, SISPA and amplicon-based approaches for whole genome sequencing of Ebola virus (EBOV) virus and reported that target capture is the optimal methodology.
for sensitivity and sample preparation error (Kugelman et al., 2017). They showed SISPA methods contained an error rate of $4.4 \times 10^{-5}$ error/site/copy for EBOV, while target capture enrichment methods show $1.4 \times 10^{-5}$ error/site/copy. In contrast No et al. showed that for HTNV, SISPA is less efficient in regards to genome coverage with $10^5$ genome copies having <50% genome coverage of L and M segments and <75% genome coverage of S segment (No et al., 2019). In agreement with Kugelman et al., No et al. concluded that target capture methods provided complete genome coverage of HTNV with as low as $10^3$ copies. In our one-step approach using one forward and one reverse primer for each segment, we obtained full-length genome coverage with libraries made from $10^3$ virions of ANDV, DOBV, or HTNV, and we showed 99–100% genome coverage across the S, M, and L segments. In sequencing of libraries for ANDV on the MiSeq we observed an intrinsic mutation frequencies of $10^{-6}$ for most samples (Table 4). MinION sequencing of PHV samples showed an intrinsic $10^{-5}$ level of mutation frequencies (Table 5). This is similar to the intrinsic mutation frequency reported by our laboratory and others as well as mirroring mutation frequencies previously determined for other RNA virus genomes (Holland et al., 1992; Severson et al., 2003; Chung et al., 2013). The highest mutation frequencies observed from ANDV and PHV, $1.8 \times 10^{-5}$ and $1 \times 10^{-4}$, respectively, were observed with the 1x PCR cycle or cDNA samples, respectively. This suggests that lower PCR cycles lead to higher mutation frequencies between samples. Previous research has supported the idea of high genomic integrity maintained within *Oligoryzomys*-borne viruses such as ANDV (Padula et al., 2000). Although these viruses have been propagated and have adapted to Vero E6 cells, further study is required to define the SGV in natural isolates. For example, SNPs which caused amino acid changes in cases of ANDV may differ from the SGV of ANDV isolated from the natural reservoir (Tischler et al., 2003).
It is interesting to note that at the 3’ and 5’ ends of each genome 20–22 nucleotides make up the putative panhandle regions. We identified four SNPs within the 3’ non-coding region (NCR) of the S, one in the L and one in the 5’ NCR of the L were identified in ANDV (Figure 7). In addition, we identified two S segment SNPs in the 3’ NCR and one M segment SNP in the 5’ NCR of PHV (Figure 8). Secondary RNA structure within the untranslated region has been shown to effect translation in Dengue virus and transcription in Influenza A virus (Manzano et al., 2011; Liu et al., 2015). Furthermore, a change in virulence was observed in newborn mice infected with HTNV having an amino acid change in the M segment and a nucleotide change in the 3’ NCR of the L segment (Ebihara et al., 2000).
In this article we have identified a variety of library preparation amplification approaches from supernatant or cell culture. In fact, greater population diversity evidenced by the SGV of low-frequency SNPs are found in higher PCR cycles (20x or 30x) in the supernatant (Figures 3, 9), whereas low frequency mutations are often lost in cell culture (Supplementary Tables 7–10). This suggests that virus particles released outside the cell in the supernatant show greater SGV than what is observed inside of the cell and this is most noticeable in higher PCR cycles. Virus within the supernatant represent infectious virus-like particles (VLPs) whereas VLPs found in cell culture are more likely to incorporate false artifacts within their genomes through the RdRp gene.
One limitation we identified with the whole segment PCR (Figure 1A) using one-step RT-PCR, is that the L segment required amplified in two individual PCR reactions (~3.6 kb max.). Another limitation is that this one-step reaction does not distinguish between mRNA, cRNA, or vRNA in specimens. In contrast to the two step, the one-step RT-PCR of PHV and SNV using the MinION gave a greater number of aligned reads, average depth of genome and genome coverage for the S, M, and L genomes of SNV as well as the S and M genomes of PHV. Hence if sensitivity is required the one step RT-PCR may be the best choice. However, in selection of the MinION, the high error rate due to homopolymer region must also be considered. The current version of nanopore (R9.4) faces a homopolymer sequencing problem. As of January 2020, ONT has manufactured R10.3 for public availability, a new version of nanopore, which has a longer barrel and a dual reader head, enabling improved resolution of homopolymeric regions and improving the consensus accuracy of sequencing data. Applying the new version pore to sequence amplicon sample would resolve this issue. A second consideration is that the sequencing chemistry of Illumina includes amplification steps; thus, the throughput will be much higher with Illumina than with nanopore sequencing, which does not amplify the DNA molecules in the library preparation step. The newest nanopore version (R10.3) has been claimed to generate higher throughout and should be tested for improvement in sequencing.
Although ONT platform allows vRNA detection within minutes of initiation of sequencing, this technology remains in early phases in application to clinical specimens. One benefit observed of the long-read data output from the MinION was that 92% genome coverage was achieved from only 23 reads aligned to the M segment of PHV (Table 2). Longer reads produced by ONT platforms may be more beneficial for more complete genome coverage from viral samples isolated from tissue, although shorter reads observed with the Illumina platform would provide greater depth of coverage across the genome. In comparing PHV sequencing from virus-infected cell culture supernatant or virus-infected cells, the number of reads aligning to the genome as well as the average depth of coverage was greater from RNA isolated from virus-infected cell sample than for supernatant (virus seed stock) (Supplementary Table 5).
A final consideration in the choice of the pipeline used is often the length of time. In comparing one-step and two-step approaches, the one-step approach took <1 h to run on the gradient cycler, while the two-step approach took 20 min for cDNA synthesis and between 8 min to run the 1x PCR cycle to 50 min to run the 30x PCR cycle. The entire MinION pipeline to sequence 12 samples from the start of library preparation to loading the library on the flow cell took ~8 h. In comparison, the length of time to prepare 16 samples to be run on the MiSeq took ~12 h from the start of library preparation to loading the final library into the cartridge.
In conclusion, the methods reported herein provide a WGS roadmap for the robust and accurate identification
and sequencing of hantaviruses. Importantly, they provide an approach to accurately measure the SGV of hantaviruses in nature. Our future efforts will employ these standardized methods to the epidemiology of hantaviruses in rodent reservoirs to gain insight into their diversity in nature.
DATA AVAILABILITY STATEMENT
The datasets generated for this study can be found in the NCBI SRA repository https://www.ncbi.nlm.nih.gov/bioproject/PRJNA628955/.
AUTHOR CONTRIBUTIONS
CJ, IN, EW, and MT contributed conception and design of the study. MT, TW, and EW performed wet lab benchwork. PJ, EW, and MT contributed to computational and bioinformatic analyses. All authors contributed to manuscript revision, read, and approved the submitted version.
ACKNOWLEDGMENTS
CJ and IN acknowledge NIH R01AI103053 and NIGMS P20GM125503 in support of this research. The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript.
SUPPLEMENTARY MATERIAL
The Supplementary Material for this article can be found online at: https://www.frontiersin.org/articles/10.3389/fcimb.2020.565591/full#supplementary-material
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**Conflict of Interest:** The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.
*Copyright © 2020 Taylor, Williams, Wongsurawat, Jenjaroenpun, Nookaew and Jonsson. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.*
|
Negotiating the future UK and EU relationship
Iain McIver, Anna Brand, Damon Davies, Angus Evans, Filippo Fontanelli, Dr Eve Hepburn, Rebecca Bartlett
This briefing sets out the process for negotiating the new economic and security relationship between the UK and the EU after Brexit. It also provides analysis of the key areas of negotiation from a Scottish perspective.
# Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Executive Summary | 3 |
| Context | 5 |
| The Political Declaration on the future relationship | 6 |
| The economic partnership sets out the following ambitions: | 6 |
| The security partnership | 7 |
| The process for negotiating the future relationship | 8 |
| The EU approach | 8 |
| Key players | 9 |
| EU priorities for the negotiations | 10 |
| The UK approach | 11 |
| Key players | 12 |
| UK priorities for the negotiations | 12 |
| Timing for the negotiations | 13 |
| Role for the devolved administrations and legislatures in the future relationship negotiations | 16 |
| UK Government proposed policy approach to international negotiations | 18 |
| Scottish Government proposed policy approach to international negotiations | 19 |
| What's happened so far? | 20 |
| Key areas of negotiation from a Scottish perspective | 22 |
| Level playing field and regulatory alignment | 22 |
| Agriculture | 24 |
| Fisheries | 30 |
| Food and drink PGIs | 32 |
| Services | 32 |
| Justice | 36 |
| Immigration | 38 |
| EU funding programmes | 40 |
| Conclusions | 43 |
| Bibliography | 44 |
Executive Summary
• After the UK leaves the European Union on 31 January 2020 attention will turn to the negotiation of the future relationship between the EU and the UK. The Political Declaration on the Future Relationship (agreed in October 2019) provides an indication of the likely direction for discussions between the UK and the EU. The key aspects of the future relationship are likely to focus on economic and security arrangements.
• From the European Union’s perspective, its legal infrastructure will guide the process and present challenges in terms of how an agreement is reached and ratified. Article 218 of the Treaty on the Functioning of the EU (TFEU) sets out the procedure for the EU’s negotiation of international agreements with third countries. The process set out in Article 218 is highlighted in the Political Declaration as the process by which the future relationship negotiations should be conducted.
• The European Commission has established a new ‘Task Force for Relations with the United Kingdom’ (UKTF). Michel Barnier is the Head of the Task Force with responsibility to oversee negotiations on the future relationship between the EU and the UK. He is likely to work closely with the new Head of the European Commission Ursula von der Leyen.
• There is little detail about the UK Government’s intended approach to the negotiations. The provisions of the original Withdrawal Agreement Bill had made reference to a role for the UK Parliament, however, these provisions were removed in the new European Union (Withdrawal Agreement) Bill which was introduced in the House of Commons on 19 December 2019. There is no role in the negotiations on the future UK-EU relationship for the Scottish Parliament or Scottish Government set out in the Withdrawal Agreement Bill.
• The European Commission is yet to publish a draft mandate for negotiations. However, recent speeches by Michel Barnier and Ursula von der Leyen have indicated that the Commission believes the depth of the future relationship will be dictated by the UK Government’s decision to end free movement and be dependent on the UK Government’s approach to level playing field provisions. The European Commission has said it hopes the negotiations can lead to a new partnership with zero tariffs, zero quotas and zero dumping. Alongside this, the EU hopes to secure a partnership that goes beyond trade and also addresses issues such as climate action, data protection, fisheries, energy, transport and financial services along with security.
• The UK Government has indicated it will seek a broad free trade agreement covering goods and services, and cooperation in other areas. The Prime Minister has also said that the UK will end freedom of movement and that “any future partnership must not involve any kind of alignment or ECJ jurisdiction”. In addition, the UK Government has indicated that it will seek to maintain control of UK fishing waters.
• The potential time available for the negotiations is very tight due to the UK Government’s pledge that it will not extend the transition period beyond the end of December 2020. Ursula von der Leyen, the European Commission President has suggested that the UK Government’s insistence on not extending the transition period beyond the end of 2020 would mean that the negotiations would have to focus on a
smaller number of priorities and that an all-encompassing future relationship might not be possible in the eleven months available.
• In the event the UK Government fails to conclude its desired future relationship with the EU before the end of December 2020, the country will once again face an effective no-deal situation (in relation to trade in goods and services). At this point, however, the UK would not be a member of the EU and there is no clear and obvious way to delay such a no-deal scenario as was possible when seeking three extensions to the Article 50 process in 2019.
• Whilst foreign affairs and international relations are matters reserved to the UK Parliament, observing and implementing international obligations are not reserved. Given the likely breadth of any future relationship negotiated with the EU, it is likely to include obligations in devolved policy areas. The Institute for Government has argued that the UK Government must involve the devolved administrations to properly reflect Scottish, Welsh and Northern Irish interests in the talks.
• At this stage, no role has been set out for the UK’s devolved administrations and legislatures in the UK-EU future relationship negotiations. The Scottish Government has said that it believes that "where there are devolved competences, the decision on those devolved competences must be made by the devolved administrations, not by anybody else". The Scottish Government has also argued that the Scottish Government and Scottish Parliament must play a much enhanced role in the development of future trade policy and the preparation, negotiation, agreement, ratification and implementation of future trade deals.
• From a Scottish perspective, the key areas of interest during the future relationship negotiations will include:
- Level playing field and regulatory alignment
- Fisheries
- Food and drink and PGIs
- Agriculture
- Services
- Justice and Security
- Immigration/Mobility
• Given both sides' red lines, it is clear that the future relationship cannot provide for the same benefits that the UK enjoys as an EU Member State. This means that in areas such as agriculture and fisheries, ensuring relatively frictionless access to the EU market will be more challenging. For the UK’s services industry, Brexit will reduce market access and lead to barriers for UK service providers seeking to provide services in the EU.
• Whilst both the UK and the EU have committed to comprehensive, close, balanced and reciprocal law enforcement and judicial co-operation in criminal matters there is little clarity about how that can be achieved given the UK will no longer be a Member State.
Context
After the UK leaves the European Union on 31 January 2020 attention will turn to the negotiation of the future relationship between the EU and the UK.
The Political Declaration on the future relationship
Whilst the Political Declaration on the future relationship has no legal basis, it provides a useful indicator of the likely direction for discussions between the UK and the EU.
The Political Declaration covers the following areas:
- Part I - initial provisions.
- Part II - economic partnership.
- Part III - security partnership.
- Part IV - institutional and other horizontal arrangements.
- Part V - forward process.
The economic partnership section covers ambitions for a Free Trade Agreement and provides details on the approach for goods, services, mobility arrangements, transport, energy, fishing opportunities, global co-operation and level playing field provisions.
The security partnership section covers joint ambitions for co-operation in criminal matters, foreign policy, security and defence.
The institutional arrangements section describes a joint desire for an overarching framework for governance, which could take the form of an Association Agreement. This includes mechanisms for dialogue, strategic direction and dispute resolution.
We provide further information on Parts II and III in more detail below.
The economic partnership sets out the following ambitions:
- Creation of a Free Trade Agreement with no tariffs and quotas.
- Recognition of rules of origin as a result of there no longer being a single UK-EU customs territory.
- Provisions to promote regulatory approaches that are "transparent, efficient, promote avoidance of unnecessary barriers to trade in goods and are compatible to the extent possible".
- Potential for UK authorities’ cooperation with Union agencies such as the European Medicines Agency (EMA), the European Chemicals Agency (ECHA), and the European Aviation Safety Agency (EASA).
- Potential for UK participation in EU funding programmes.
- Comprehensive and balanced arrangements on trade in services and investment in services and non-services sectors, respecting each Party's right to regulate.
• Attempt to reach agreement that each party’s regime for financial services can be recognised as equivalent allowing close cooperation on financial services.
These issues are discussed in more detail in the section on key areas of negotiations from a Scottish perspective.
The security partnership
The Security Partnership section of the Political Declaration indicates that the UK and EU should establish a “broad, comprehensive and balanced security partnership” which:
“will take into account geographic proximity and evolving threats, including serious international crime, terrorism, cyber-attacks, disinformation campaigns, hybrid threats, the erosion of the rules-based international order and the resurgence of state-based threats.”
The only significant amendment from the 2018 version of the Political Declaration is the removal of the explicit reference in paragraph 81 to the role of the Court of Justice of the European Union (European Court of Justice) in the resolution of disputes on law enforcement and criminal justice cooperation.
Instead, the general rules on dispute resolution in paragraphs 129-132 of the Political Declaration will apply. These provide for resolution through an independent arbitration panel if disputes cannot be resolved informally or through the Joint Committee (a body made up of EU and UK representatives). The arbitration panel’s decisions are binding. However, the panel has to refer questions on the interpretation of EU law to the European Court of Justice which can itself make binding rulings on such matters.
The European Court of Justice will therefore continue to have a role when it comes to the application of EU law to the security partnership.
The process for negotiating the future relationship
The EU’s approach to negotiating agreements with third parties is guided by the Treaties and as a result the EU is subject to tight legal restraints.
There is little detail about the UK Government’s intended approach to the negotiations. The provisions of the original Withdrawal Agreement Bill had made reference to a role for the UK Parliament, however, these provisions were removed in the new European Union (Withdrawal Agreement) Bill which was introduced in the House of Commons on 19 December 2019.
The EU approach
The EU’s legal infrastructure will guide the process and present challenges in terms of how an agreement is reached and ratified. Article 218 of the Treaty on the Functioning of the EU (TFEU) sets out the procedure for the EU’s negotiation of international agreements with third countries (the Institute for Government has produced a useful explainer). The process set out in Article 218 is highlighted in the Political Declaration as the process by which the future relationship negotiations should be conducted. In terms of getting agreement on the future relationship two factors are worth considering:
- how the final deal is agreed at EU level
- whether member state ratification is required.
Article 218(8) states that any agreement will be achieved by a qualified majority vote of the Council. This means that 72% of the 27 EU member states (representing at least 65% of the total population of the 27 EU member states) need to vote in favour of the agreement.
However, Article 218(8) adds that the Council must act unanimously when the “agreement covers a field for which unanimity is required for the adoption of a Union act, as well as for association agreements”. In addition, Article 207(4) provides that negotiations under Article 218 where they include the fields of trade in services, the commercial aspects of intellectual property and foreign direct investment should also require unanimous agreement in the Council.
In most cases any agreement also requires the consent of the European Parliament.
In a briefing for the Scottish Parliament’s Culture, Tourism, Europe and External Relations Committee, Professor Tobias Lock outlined the key constraints on the EU as being competence and procedural constraints.
On competence, Professor Lock wrote that:
“The main constraint stems from the fact that the EU is not a sovereign entity, but that it only possesses those competences that the Member States have conferred upon it. This means that its powers to conclude international agreements are limited to certain policy areas.”
Lock, 2017
On procedural constraints, Professor Lock set out the requirements in relation to finalising any agreement. This requires either unanimity or qualified majority support in the Council, and potentially the consent of the European Parliament:
“EU agreements are generally concluded by the Council – i.e. the relevant ministers of the Member States. Depending on the type of agreement concluded, the Council must either agree unanimously or by qualified majority. Furthermore, the EU Treaties sometimes require the European Parliament’s consent, sometimes mere consultation of the European Parliament, and in some cases no involvement of the European Parliament.”
The key point made by Professor Lock is that if an agreement that covers both EU and member state competences is concluded (a so-called mixed agreement) then ratification will be required not just at EU level but also by all 27 EU member states in line with their own constitutional requirements. This means it might require not just national parliamentary approvals but in some cases the approval of some regional parliaments - the example of the Walloon Parliament and the EU-Canada deal is often cited. Logically, Professor Lock concludes that:
“Mixed agreements are therefore more time-consuming to conclude and encounter more potential hurdles. The EU cannot choose to ignore these constraints. Not only would this run counter to its self-understanding as being founded on the basis of the rule of law, but it would also make any agreement concluded in violation of these limits liable to being declared incompatible with the Treaties – and thus invalid – by the European Court of Justice (ECJ).”
**Key players**
On 22 October 2019, the European Commission announced that a new ‘Task Force for Relations with the United Kingdom’ (UKTF) was to be established. Michel Barnier was appointed as Head of the Task Force with responsibility to oversee negotiations on the future relationship between the EU and the UK\(^2\). Barnier led the Commission’s Article 50 Task Force negotiating the terms of the UK’s departure from the EU. The role of the UKTF will be to continue the European Commission’s Brexit related work:
“The UKTF will include the current TF50 ('Task Force for the Preparation and the Conduct of the Negotiations with the United Kingdom under Article 50 TEU') and the Secretariat-General's 'Brexit Preparedness' unit. The Task Force, just like TF50, will coordinate all the Commission's work on all strategic, operational, legal and financial issues related to Brexit. It will be in charge of the finalisation of the Article 50 negotiations, as well as the Commission's 'no-deal' preparedness work and the future relationship negotiations with the UK. It will operate under the direct authority of the President and in close cooperation with the Secretariat-General and all Commission services concerned.”
European Commission, n.d.\(^2\)
Michel Barnier will be expected to work closely with the new Commission President Ursula von der Leyen, new Council President, Charles Michel, and the 27 Heads of State and Government represented in the European Council.
Adding further continuity, Sabine Weyand - Michel Barnier’s deputy during the Article 50 negotiations - is now the head of the European Commission’s directorate general for trade, meaning she will also play a role in the future relationship discussions with the UK.
EU priorities for the negotiations
The European Commission is yet to publish a draft mandate for negotiations to the European Council, to the Council of Ministers and to the European Parliament. Michel Barnier, has indicated that the European Commission hopes to propose the negotiating mandate by 1 February with the negotiations being launched towards the end of February or early March with the aim of "making as much progress as possible by June" when EU27 and UK leaders will meet to take stock of the negotiations.
In a speech at the London School of Economics on 8 January 2020, the Commission President Ursula von der Leyen was clear that the depth of the future relationship will be dictated by the UK Government's decision to end free movement and dependent on the UK Government's approach to level playing field provisions:
"But the truth is that our partnership cannot and will not be the same as before. And it cannot and will not be as close as before – because with every choice comes a consequence. With every decision comes a trade-off. Without the free movement of people, you cannot have the free movement of capital, goods and services. Without a level playing field on environment, labour, taxation and state aid, you cannot have the highest quality access to the world's largest single market. The more divergence there is, the more distant the partnership has to be."
European Commission, 2020
The Commission President also suggested that the UK Government's insistence on not extending the transition period beyond the end of 2020 would mean that the negotiations would have to focus on a number of priorities and that an all-encompassing future relationship might not be possible in the eleven months available. Given these limitations and the EU's determination to protect the integrity of the Single Market and the Customs Union, Ursula von der Leyen set out the EU's priorities for the negotiations:
"But we are ready to design a new partnership with zero tariffs, zero quotas, zero dumping. A partnership that goes well beyond trade and is unprecedented in scope. Everything from climate action to data protection, fisheries to energy, transport to space, financial services to security. And we are ready to work day and night to get as much of this done within the timeframe we have."
European Commission, 2020
The European Commission also highlighted the importance of a continued security partnership after the UK has left the EU. Highlighting terror attacks in the UK and across the EU, she said:
"And we must ensure that we continue to work together on upholding peace and security in Europe and around the world. We must build a new, comprehensive security partnership to fight cross-border threats, ranging from terrorism to cybersecurity to counter-intelligence. Events in recent years in Salisbury, Manchester, London and right across Europe have underlined the need for us to work together on our mutual security. The threat of terrorism is real and we have to share the necessary information and intelligence between Europe and the UK to stop terrorists from crossing borders and attacking our way of life."
European Commission, 2020
Following Ursula von der Leyen's visit to London, Michel Barnier, spoke at the European Commission representation in Stockholm. He highlighted that the time to negotiate the future relationship (eleven months) would be "hugely challenging" if the UK Government chose not to request an extension to the transition period. On the kind of future relationship the EU will seek, Barnier said:
"We will strive for a partnership that goes well beyond trade and is unprecedented in scope: covering everything from services and fisheries, to climate action, energy, transport, space, security and defence. But that is a huge agenda. And we simply cannot expect to agree on every single aspect of this new partnership in under a year."
European Commission, 2020
Reflecting on the potential time available for the negotiations and the ambitions set out in the Political Declaration, Barnier continued:
"The Political Declaration is much easier to read: 36 pages, very concise, covering all aspects of the future relationship – the ones we agreed together. If we want to agree on each and every point of this Political Declaration – which would lead to an unprecedented relationship – it will take more than 11 months."
European Commission, 2020
Barnier reiterated the EU's priorities as set out in the Political Declaration - security and an economic partnership making clear that the economic partnership will be "subject to a level playing field on environmental and social standards, state aid and tax matters".
Finally, he said that he believed that the cost of an economic no-deal at the end of 2020 would be more damaging to the UK than to the EU:
"Yes, the UK represents 9% of all EU27 trade. But more significantly, the EU27 accounts for 43% of all UK exports and 50% of its imports. So, it is clear that if we fail to reach a deal, it will be more harmful for the UK than for the EU27. All the more so because EU Member States can rely on each other or on the many other partners that the EU has free trade agreements with. So we will insist on a trade partnership with zero tariffs, zero quotas, but also zero dumping."
European Commission, 2020
**The UK approach**
The previous version of the Withdrawal Agreement Bill included clauses proposing powers for the UK Parliament in terms of approving any extension of the implementation period and in approving the UK Government’s negotiating mandate for the future relationship. Both of these provisions have been removed from the new Bill. This may result in the UK Parliament facing a challenge in being able to both scrutinise and influence the nature of the future relationship negotiations. This is in stark contrast to the role that the European Parliament has in overseeing the EU’s approach to third country negotiations. On a parliamentary role in the negotiations, the Institute for Government has argued that:
“It is far from clear what role, if any, the government now envisages for Parliament. By sidelining Parliament, the government has greater flexibility in terms of when to start the negotiations – but ministers still need to think about how to update MPs during the talks.”
Institute for Government, 2020
There is no role in the negotiations on the future UK-EU relationship for the Scottish Parliament or Scottish Government set out in the Withdrawal Agreement Bill.
**Key players**
The Prime Minister will have to decide which UK Government Department is to lead the negotiations – options include the Department for Exiting the EU (which may be wound up after 31 January 2020); the Department for International Trade or the Cabinet Office. It is likely that the Prime Minister’s Chief Adviser on Brexit, David Frost will play a key role.
The UK Government has yet to set out a process for conducting the negotiations or said whether it anticipates a role for devolved bodies.
**UK priorities for the negotiations**
The Conservative Party manifesto ahead of the December 2019 General Election provided little detail about the future UK-EU relationship, stating that:
“Our deal is the only one on the table. It is signed, sealed and ready. It puts the whole country on a path to a new free trade agreement with the EU. This will be a new relationship based on free trade and friendly cooperation, not on the EU’s treaties or EU law. There will be no political alignment with the EU. We will keep the UK out of the single market, out of any form of customs union, and end the role of the European Court of Justice. This future relationship will be one that allows us to:”
- Take back control of our laws.”
- Take back control of our money.”
- Control our own trade policy.”
- Introduce an Australian-style points-based immigration system.”
- Raise standards in areas like workers’ rights, animal welfare, agriculture and the environment.”
- Ensure we are in full control of our fishing waters.”
Conservative Party, n.d.
The manifesto essentially reiterated the content of the Political Declaration.
The Prime Minister met European Commission President Ursula von der Leyen in London on 8 January 2020. According to the UK Government’s readout of the meeting:
“On Brexit, the PM stressed that his immediate priority was to implement the Withdrawal Agreement by January 31. They discussed the progress of ratification in the UK and in the European Parliament. He said the UK wanted a positive new UK and EU partnership, based on friendly cooperation, our shared history, interests and values. The PM reiterated that we wanted a broad free trade agreement covering goods and services, and cooperation in other areas. The PM was clear that the UK would not extend the Implementation Period beyond 31 December 2020; and that any future partnership must not involve any kind of alignment or ECJ jurisdiction. He said the UK would also maintain control of UK fishing waters and our immigration system. The PM made clear that we would continue to ensure high standards in the UK in areas like workers’ rights, animal welfare, agriculture and the environment.”
UK Government, 2020
Ahead of the UK Government’s negotiation of a new relationship with the EU, it is not clear whether there will be discussion within the UK about what the country wishes to prioritise and achieve from the future relationship negotiations. On 10 January 2020, the Institute for Government published Getting Brexit done What happens now? In the paper, the IfG suggested that the UK Government needed to agree its priorities in the negotiations adding that:
“But it is far from clear how much detailed thought the Johnson administration has given to what it wants from Great Britain’s relationship with the EU… …An immediate task for the new government will be revisiting that work on the future UK–EU relationship, before reaching collective agreement within the Cabinet on the detailed negotiating objectives.”
Institute for Government, 2020
When the negotiations begin, the UK will face the challenge of trying to achieve its objectives of securing a free trade agreement in the time available whilst protecting its red lines. However, as the BBC’s Europe Editor Katya Adler has said, the EU is unlikely to agree to a free trade deal without obtaining concessions on level playing field regulations and securing EU fishing rights in UK waters.
Timing for the negotiations
The December 2019 European Council meeting conclusions set out the EU's intention to begin discussions with the UK Government as soon as possible and requested that the European Commission present a draft negotiating mandate for the European Council's consideration.
A key element which may influence the future negotiations is the restriction on the timescale to make a request to extend the transition period beyond the end of 2020. The Withdrawal Agreement provides for the Joint Committee to agree an extension of the transition period for up to one or two years but states that a decision on extending the period must be taken by 1 July 2020. As a result, there is very limited time to agree a new relationship before the implementation period ends or for a decision to be made about extending it.
In its election manifesto, the Conservative Party stated it would not extend the transition period beyond the end of 2020:
“We will negotiate a trade agreement next year – one that will strengthen our Union – and we will not extend the implementation period beyond December 2020.”
Conservative Party, n.d.
Clause 33 of the Withdrawal Agreement Bill provides that a UK Minister “may not agree in the Joint Committee to an extension of the implementation period”. As a result, this would set down in UK law that the UK would exit the implementation period at the end of December 2020. In the event the UK Government fails to conclude its desired future relationship with the EU before the end of December 2020, the country will once again face an effective no-deal situation (in relation to trade in goods and services). At this point, however, the UK would not be a member of the EU and there is no clear and obvious way to delay such a no-deal scenario as was possible when seeking three extensions to the Article 50 process in 2019. Speaking in the House of Commons debate on the European Union (Withdrawal Agreement) Bill, the Steve Barclay, the Secretary of State for Exiting the EU referred to the length of the implementation period:
“Both the EU and the UK committed to a deal by the end of 2020 in the political declaration. Now, with absolute clarity on the timetable to which we are working, the UK and the EU will be able to get on with it. In sum, clause 33 will ensure that we meet the timetable set out in the political declaration and deliver on our manifesto promise.”
UK Parliament, 2020
Professor Anand Menon and Jill Rutter writing for the UK in a Changing Europe blog have suggested that they doubt agreeing a new relationship before the end of 2020 is achievable:
“The refusal to countenance an extension beyond December 2020 means they are putting themselves — and the EU — under tremendous pressure to agree and sign-off a trade deal by that date. We doubt whether this is achievable. The EU is concerned not about where the UK is starting from but where it wants to go: it will insist ambitions for on some level playing field conditions even for a bare-bones deal on goods.”
Menon, 2019
Sir Ivan Rogers, formerly the Permanent Representative of the United Kingdom to the European Union has suggested that the limited time to reach an agreement means the UK Government may need to accept a sub-optimal deal to ensure the UK doesn't leave the transition period at the end of 2020 without having the terms of a new trading relationship in place. In a speech at Glasgow University, Sir Ivan Rogers said:
“The major threat for the UK as I see it, is therefore not that nothing at all gets done next year. But that, because we are under immense time pressure, and known to be desperate to “escape vassalage” by the end of 2020 – something to which the Prime Minister daily keeps committing, and the Tory manifesto commits – the EU side just sees a huge open goal opportunity and repeats its playbook from the Article 50 process. After all, it thinks it worked really rather well. It’s rather hard to argue that tactically it didn’t… So it entirely dictates the contents and pace of what does get done, runs the clock down towards the next cliff edge, and confronts a desperate UK Prime Minister with a binary choice between a highly asymmetrical thin deal on its terms, and “no deal” towards the end of next year. If all the time pressure is on him, you can safely assume he will make a lot of concessions in the endgame, and yet still have to emerge blinking into the light claiming victory. If the EU can then button down in legally binding form what it feels it most needs out of a deal on that timescale, then it may feel “job done”: its members are scarcely going to want to have to negotiate, then ratify a whole series of further deals with the UK thereafter, if they feel their key objectives have already been secured.”
Rogers, 2019
Role for the devolved administrations and legislatures in the future relationship negotiations
The Scotland Act (as with the Acts in relation to Wales and Northern Ireland) specifically reserves foreign affairs and international relations, including relations with territories outside the United Kingdom, whilst not reserving observing and implementing international obligations. Given the likely breadth of any future relationship negotiated with the EU, it is likely to include obligations in devolved policy areas.
The Institute for Government has argued that "the UK government must involve the devolved administrations to properly reflect Scottish, Welsh and Northern Irish interests in the talks" writing:
“Many of the areas included in the future relationship negotiations will have direct implications for devolved competencies. Decisions made in Westminster will constrain devolved activity, in particular in terms of agriculture, fisheries and any level playing field commitments on the environment. The devolved administrations will also be responsible for implementing parts of the future trade agreement, and any legislation implementing a new UK–EU trade deal will almost certainly require the consent of the devolved legislatures. A failure to actively involve the devolved administrations throughout the next phase of negotiations will increase the risk of practical and political fallout when a deal is brought back from Brussels.”
Institute for Government, 20205
SPICe has previously published a briefing on the Negotiation of Trade Agreements in Federal Countries. This examined the representation and influence of provinces/regions/states in federal countries in the negotiation and implementation of trade agreements.
At this stage, no role has been set out for the UK’s devolved administrations and legislatures in the UK-EU future relationship negotiations. As then Chancellor of the Duchy of Lancaster and Minister for the Cabinet Office, David Lidington made a written statement to the House of Commons in July 2018 on “Engaging the Devolved Administrations”. In it he set out the then UK Government’s approach to ensuring the views of all four nations of the UK are represented in the Brexit negotiations:
“It is imperative that, as the United Kingdom prepares to leave the EU, the needs and interests of each nation are considered and that the UK Government and devolved administrations benefit from a unified approach wherever possible. That is only possible through the strength of our relationships and continued constructive engagement through a number of fora at ministerial and official level.”
UK Parliament, 201811
The Minister also referred to the establishment of the intergovernmental Ministerial Forum (EU Negotiations) which first met in Edinburgh on 24 May 2018 and whose immediate task was to consider "the White Paper on the Framework for the UK’s Future Relationship with the EU" 12. The Ministerial Forum (EU Negotiations) appears to have met eight times, most recently on 25 February 2019 in Cardiff. On the agenda that day was "a discussion
on the role of the Ministerial Forum in the next phase of negotiations”\(^{13}\). However, since that meeting there appears to have been no further meetings of the Ministerial Forum. The other Brexit related intergovernmental group, the Joint Ministerial Committee (EU Negotiations) met for the 21st time on 9 January 2020. Meeting in London, the Committee’s discussions included “the UK’s exit from the EU, including preparations for the UK-EU future relationship negotiations and a forward look to post-January engagement structures”. \(^{14}\)
The intergovernmental discussions which take place under the guise of the Joint Ministerial Committees result in very little detailed information being made public following the meetings making scrutiny of the roles of each of the administrations by their respective legislatures very challenging. If information on the negotiation of the future relationship is shared in the Joint Ministerial Committees, this will present a challenge to the devolved legislatures in particular in scrutinising the negotiations.
Giving evidence to the Scottish Parliament’s Culture, Tourism, Europe and External Affairs Committee on 31 October 2019, the Cabinet Secretary for Government Business and Constitutional Relations, Michael Russell spoke about the level of devolved administration input into the Brexit negotiations and in particular the consequences for devolved competences of the negotiations for the future relationship:
“We have had enormous difficulty getting the UK to the table on this issue. The Johnson Government has added an extra dimension. We had an agreement with the previous Government at the British-Irish Council in Manchester in June. In the margins of that, we had a JMC meeting, where we finally agreed a timetable. We agreed that, by the end of September, we would have the initial outline of what should happen and that the work should be finished by the end of the year. That is not going to happen. We have not had the initial outline—we have still not seen anything, and it is almost November. In my view, there is no point in having that conversation in November, because the election will take precedence, and what will happen on this matter will be guided by what happens in the election. There is a potential solution, which is to recognise that the detailed negotiations will involve devolved competencies. You could theoretically argue that the withdrawal agreement and the political direction do not involve devolved competencies. I disagree with that, but you could argue that they are covered entirely by the international relations reservation. The fact that the UK Government has had to seek legislative consent for the withdrawal agreement bill rather gives the lie to that, but that is in the past.”
Scottish Parliament Official Report, 2019\(^{15}\)
The Cabinet Secretary reiterated the Scottish Government’s belief that “where there are devolved competences, the decision on those devolved competences must be made by the devolved administrations, not by anybody else”. He cited Philip Rycroft, former Permanent Secretary, Department for Exiting the EU who told the House of Commons Foreign Affairs Select Committee on 29 October 2019 that for the future relationship negotiations:
“For my part, the learning from the previous phase is to draw the devolved Governments into the process early, and share the thinking on the UK Government position so you develop common negotiating positions that the devolved Administrations can get locked in behind. They can promote the UK’s overall position along with the UK Government, giving us a far greater chance of succeeding in delivering the negotiating aims. Transparency is the key.”
UK Parliament, 2019
**UK Government proposed policy approach to international negotiations**
Whilst there is no formal process set out for how the devolved administrations and legislatures might be involved in the future relationship negotiations, it is helpful to look at relevant policy documents published by the UK and Scottish Governments.
In the new policy paper on devolution in Northern Ireland, *New Decade New Approach* published in January 2020, the UK Government has committed to “to consulting a restored [Northern Ireland] Executive along with the other devolved administrations on our wider trade policy”.
On 28 February 2019, the UK Government published “Processes for making free trade agreements once the UK has left the EU”. The paper set out the UK Government’s proposals for how the UK will agree future trade deals with third countries after Brexit. However, the UK Government stated that the proposals do not apply to other international negotiations and treaties, including negotiations on the future relationship with the EU. Despite these processes not applying to the negotiation of the future UK-EU relationship, the paper provides an insight into a potential role for the devolved administrations and legislatures in the next stage of the Brexit process.
From a devolved perspective, the UK Government paper states:
“Government is committed to working closely with the devolved administrations to deliver a future trade policy that works for the whole of the UK. It is important that we do this within the context of the current constitutional make-up of the UK, recognising that international treaties are a reserved matter but that the devolved governments have a strong and legitimate interest where they intersect with areas of devolved competence.”
UK Government Department for International Trade, 2019
On the role of the devolved legislatures, the UK Government wrote:
“We recognise that the devolved legislatures also have a strong and legitimate interest in future trade agreements. It will be for each devolved legislature to determine how it will scrutinise their respective Governments as part of the ongoing process. Equally, the means by which our Parliament in Westminster works with its devolved counterparts is a matter for the legislatures themselves, in line with their existing inter-parliamentary ways of working.”
UK Government Department for International Trade, 2019
Scottish Government proposed policy approach to international negotiations
Ahead of the UK Government's publication, the Scottish Government published "Scotland's role in the development of future UK trade arrangements" on 30 August 2018. The Scottish Government outlined the key conclusion of the document:
"Outside the Customs Union, the UK will become responsible for negotiating its own international trade agreements. The broad and increasing scope of modern trade agreements means that they often deal with, and merge, a range of reserved and devolved policy areas. The conduct and content of future trade policy, negotiations and agreements will therefore have very important implications for Scotland, and it is vital that the Scottish Government is fully involved in the process for determining them. This paper considers that decision making process and argues that the Scottish Government and Scottish Parliament must play a much enhanced role in the development of future trade policy and the preparation, negotiation, agreement, ratification and implementation of future trade deals, to help industries, protect devolved public services and ensure the highest standards of environmental and consumer protection in Scotland and across the UK. Doing so will require a significant change in the current arrangements for scrutiny and democratic engagement, which are already out of date, under strain and in urgent need of reform."
Scottish Government, 2018
In terms of parliamentary scrutiny of future trade negotiations and agreements, the Scottish Government's paper suggests that the current arrangements for scrutiny of trade agreements at Westminster (based on the provisions of the Constitutional Reform and Governance Act 2010) are limited. This is because the UK Parliament does not have to debate or vote on ratification and has no power to amend a treaty or be involved in treaty negotiation.
In terms of the role of devolved legislatures in the negotiation and ratification of trade agreements, the Scottish Government wrote:
"There is not currently, and nor is there proposed to be, any legal requirement to consult the devolved administrations and legislatures, stakeholders or the public. The MoU and Concordats provide the only articulation at present of Scotland's rights and responsibilities in protecting and promoting its interests in the field of international relations and international trade."
Scottish Government, 2018
The Scottish Government concluded that both it and the Scottish Parliament must have a role in "all stages of the formulation, negotiation, agreement and implementation of future trade deals and future trade policy".
In July 2019, the Scottish and Welsh First Ministers wrote to the Prime Minister to demand a commitment to full involvement of the devolved administrations in international negotiations which impact on devolved competence. The letter stated:
“We need a commitment to full involvement of the devolved administrations in international negotiations which impact on devolved competence. If we leave the European Union, we will need to renegotiate the United Kingdom’s relationship with the European Union institutions and the rest of the world. The interests and responsibilities of the devolved institutions and governments will be affected, directly and indirectly. The devolved institutions and governments also have knowledge and expertise to contribute to the UK’s negotiating efforts. The former Chancellor for the Duchy of Lancaster recognised the need for the UK Government to agree an enhanced role for the devolved institutions and governments in any such discussions and decisions. We seek an early commitment from you to do just that, without prejudice to the full completion of the IGR Review. The Scottish and Welsh Governments and our Parliaments cannot be expected to co-operate on implementing obligations in devolved areas where we have not been fully involved in the determination of those obligations.”
Scottish Government, 2019
What's happened so far?
Up to now, in preparation for Brexit, the UK Department for International Trade (DIT) has been mostly engaged in the so-called Trade Agreement Continuity Programme. That is, the focus has been on "rolling-over" existing agreements with third countries to which the UK is a party through the EU, to ensure continuity of trade with these countries. Formal negotiation with other countries that have no deal with the EU (Australia, US, India, China) is not at an advanced stage and will probably begin in earnest after Brexit.
Therefore, while not directly relevant to the UK-EU future trade relationship, the negotiating practice with respect to "roll-over" agreements can be assessed, to gauge the level of involvement of the devolved administrations. The Department for International Trade, in the Explanatory Memorandum accompanying the agreement between the UK and Colombia, Ecuador and Peru, has described in general terms a practice of informing the devolved administrations of any progress made. There is no suggestion that this interaction entailed any active role of the devolved administrations in the negotiation of the treaty.
“International relations including the making of treaties is not devolved. However, as there is likely to be significant impact on Scotland, Wales and Northern Ireland, the Government has regularly updated the Devolved Administrations and has shared the texts of parliamentary reports and explanatory memorandums with them. Throughout the Trade Agreement Continuity Programme, DIT has engaged with the Devolved Administrations (DAs). Both Ministers and officials speak to counterparts in the DAs on a regular basis, sharing progress and inviting them to highlight agreements of importance or concern. DIT can confirm that the text of agreements, once stable, are shared with DAs; DIT has also offered briefings on the agreements, where appropriate, on request to DAs, Crown Dependencies and Gibraltar. DIT shares draft Parliamentary Reports and Explanatory Memoranda on individual agreements, and DIT welcomes DAs’ views as progress is made.”
UK Government, Department for International Trade, 2019
It appears that the content of the agreements is shared not during the negotiations, but only when the text is “stable,” i.e. finalised. It also seems that the burden is on devolved
administration to "request" information. Other explanatory memos use marginally different language, but convey the same impression. In relation to the Association deal with Lebanon, for instance, the DIT stated:
"HMG shares stable agreement texts, draft Parliamentary Reports and Explanatory Memoranda on individual agreements, and HMG welcomes the views of the DAs, the Crown Dependencies and Gibraltar as progress is made."
UK Government, Department for International Trade, 2019\(^{23}\)
It must be noted, however, that the negotiation of "roll-over" treaties is a poor comparator for the negotiation of future trade treaties (both with the EU and third countries that have no deal with the EU). Because "roll-over" treaties only aim to secure trade continuity with the partner countries, their content is almost exclusively a replica of the EU agreements with them. Instead, the content of a future UK-EU agreement must be defined through negotiation between the parties.
The limited involvement of devolved administrations in the Trade Continuity Programme could be premised on, or justified by, the assumption that the content of the "roll-over" treaties is pre-established. Instead, the range of policy choices and trade-offs that the DIT will have to make to reach a deal with the EU is such that devolved administrations will demand to play an active role in shaping its content.
Key areas of negotiation from a Scottish perspective
Level playing field and regulatory alignment
Fisheries
Food and drink and PGIs
Agriculture
Services
Justice and Security
Immigration/Mobility
EU funding programmes
Level playing field and regulatory alignment
Under the first Withdrawal Agreement the Northern Ireland backstop would have created a single customs territory between the EU and the UK. To facilitate this the Ireland and Northern Ireland Protocol created a set of arrangements designed to ensure that the regulatory environments in the UK and EU custom territories were similar in some respects - this is referred to as the "level playing field". These arrangements set out to prevent companies benefiting from an unfair competitive advantage by virtue of being in a single customs territory but under different tax and regulatory regimes. This "advantage" would typically be gained due to the lowering or non-enforcement of regulatory standards or as a result of different taxation or state aid practices.
Level playing field areas covered in the Protocol included environmental protections, labour standards and State Aid. As a result of the removal of the Northern Ireland backstop - to be replaced by a permanent arrangement involving Northern Ireland only - the level playing field measures which were included in the first Withdrawal Agreement have been removed.
Section XIV of the Political Declaration now references the level-playing field provisions in a less specific way. Section XIV states:
“Given the Union and the United Kingdom’s geographic proximity and economic interdependence, the future relationship must ensure open and fair competition, encompassing robust commitments to ensure a level playing field. The precise nature of commitments should be commensurate with the scope and depth of the future relationship and the economic connectedness of the Parties. These commitments should prevent distortions of trade and unfair competitive advantages. To that end, the Parties should uphold the common high standards applicable in the Union and the United Kingdom at the end of the transition period in the areas of state aid, competition, social and employment standards, environment, climate change, and relevant tax matters. The Parties should in particular maintain a robust and comprehensive framework for competition and state aid control that prevents undue distortion of trade and competition; commit to the principles of good governance in the area of taxation and to the curbing of harmful tax practices; and maintain environmental, social and employment standards at the current high levels provided by the existing common standards. In so doing, they should rely on appropriate and relevant Union and international standards, and include appropriate mechanisms to ensure effective implementation domestically, enforcement and dispute settlement. The future relationship should also promote adherence to and effective implementation of relevant internationally agreed principles and rules in these domains, including the Paris Agreement.”
UK Government, 2019
On 14 January 2020, the European Commission published slides on the level playing field issues likely to be at play during the future relationship negotiations. The slides set out the Commission's approach to the negotiations on level playing fields would be based on the overarching principle that:
“Given the Union and the United Kingdom’s geographic proximity and economic interdependence, the future relationship must ensure open and fair competition, encompassing robust commitments to ensure a level playing field.”
European Commission, 2020
Leading from this, the Commission set out the objective of achieving common approaches in the fields of State Aid to prevent undue distortion of trade and competition along with measures on good governance in the area of taxation. In the areas of environmental policy and workers rights the Commission stated that the UK and EU should seek to:
“maintain environmental, social and employment standards at the current high levels provided by the existing common standards”
European Commission, Task Force for Relations with the United Kingdom, 2020
If the UK Government agrees to the level playing field commitments likely to be requested by the EU, it should mean a closer trading relationship is possible between the two parties. Whilst the Devolved Administrations are likely to welcome this closer trading relationship, it is likely to also mean the UK Government would be making regulatory commitments in devolved areas such as environmental or animal welfare standards. As such, the Scottish Government will have an interest in how the UK Government approaches the level playing field question in the negotiations.
On the other hand, if the UK Government wishes to conclude ambitious trade agreements with other partners (for example the United States) it may feel less able to commit to the level playing field requirements being proposed by the European Commission. As with any
proposal for close regulatory alignment with the EU (for the purpose of allowing the UK better access to the EU market), provisions in this area may limit the scope of the UK’s ability to conclude trade deals with other partners. In addition, whatever relationship is agreed, UK goods being sold into the EU will need to continue to comply with EU standards.
**Agriculture**
The Common Agriculture Policy (CAP) provides a policy framework for EU member states and has therefore set the direction for the UK nations’ agriculture policies since the UK joined the EU in 1973. Within the UK context, agriculture policy is devolved, and the Scottish Government is therefore free to design and implement a Scottish agriculture policy under the shared EU framework. As a result of the CAP, UK nations have in common with each other, and share with the EU, the following:
- A common subsidy regime. EU regulations determine the amounts that can be paid by member states, the basis for calculating payments, the schemes that *must* be offered to farmers and the schemes that *can* be offered on a voluntary basis, and so on.
- A common arrangement with the World Trade Organisation (WTO). Domestic support for agriculture (e.g. subsidies) is subject to WTO agreements which aim to ensure balanced trading arrangements between states. Domestic support is divided into three categories: Amber Box (trade distorting payments, e.g. coupled support for certain sectors), Blue Box (trade distorting payments that also require farmers to limit production) and Green Box (non-trade-distorting payments, e.g. agri-environment payments). The EU has agreed maximum levels of support that can be paid out to farmers by EU member states in the Amber Box. However, it is not clear how the UK’s share of this allocation will be determined on leaving the EU. Professor Alan Matthews has provided detailed thoughts on future WTO considerations [in this blog](#).
- A common regulatory framework. Much of the regulation governing Scottish agriculture originates from the EU. This includes environmental, animal welfare and food safety standards governed by e.g the Nitrates Directive, Birds and Habitats Directives, General Food Law, Hormones Ban Directive, directives on the protection of farmed animals, regulation on plant protection products (pesticides, herbicides and insecticides), and other regulations on public, animal and plant health.
- A common sanction mechanism in cross-compliance. In order to receive EU payments, farmers and crofters must abide by cross-compliance rules. The rules are a combination of statutory management requirements (e.g. the regulations outlined above) and standards for good agricultural and environmental conditions (e.g. good soil management). Cross-compliance adds an additional mechanism to ensure compliance with common standards; failure to meet these can result in not only legal liability, but loss of support payments.
In addition to, and partly as a result of, the shared policy framework for agriculture, agricultural producers enjoy frictionless and tariff-free trade with the EU. Food and Drink is Scotland’s largest export sector; nearly 40% of Scottish food and drink exports are traded with the EU. This is particularly important in certain sectors: 87.7% of UK beef
exports went to EU countries in 2018; likewise 95.1% of UK sheep meat exports went to EU countries in 2018, with France being the largest importer.\(^{30}\)
Outside the EU, the UK nations will not be subject to the framework of the CAP, and there will be no guaranteed EU funding or common rules for spending it. The UK will need to reach an arrangement with the WTO (and likely with the EU regarding the UK’s share of the EU’s maximum support allocation). UK nations will no longer automatically be required to ensure regulatory alignment with the EU and nor will they automatically enjoy frictionless and tariff-free trade; this will be subject to any future trading agreements with the EU.
The impact of decisions on the future relationship between the EU and the UK can be split into two categories: regulatory standards; and tariffs and access to markets.
**Regulatory standards**
Because agriculture is a devolved policy area, when the UK leaves the EU, Scotland may choose, independently of the UK, to set new standards or align with the standards of the EU or a third country; however, this may mean divergence within a UK internal market. As it stands, the Agriculture (Retained EU Law and Data) (Scotland) Bill, which is currently being scrutinised by the Scottish Parliament, will give Scotland the flexibility to align itself with either the UK or the EU (or indeed a non-EU country). In giving evidence on the Bill to the Rural Economy and Connectivity Committee, Dr George Burgess, Head of Food and Drink at the Scottish Government stated with regards to marketing standards for agricultural products:
“If standards diverge because of decisions taken either at European level or by Defra and we have to decide which way to go, the bill will give us the flexibility to do it.”
Scottish Parliament, 2019\(^{31}\)
However, while the UK government will be free to set regulatory standards, in reality, future regulatory standards may depend on the trading relationship between the UK and the EU and the influence of agreements with non-EU countries. In particular, new trade agreements with countries with lower standards on animal welfare, the environment or food safety may put Governments under pressure to reduce domestic standards so as not to give imported goods a competitive advantage, while discussions with the EU are likely to emphasise the need for regulatory alignment (see below). There may therefore be a tension between EU and non-EU interests, as well as between the protection and interests of consumers and citizens (including the interest of citizens - from consumers and producers alike – in the protection of animals and the environment) and the economic interests of producers.
Given that 70% of Scotland’s land is used for agriculture\(^{32}\), regulatory standards for agriculture are an important part of the body of legislation which protects the environment. As mentioned above, Scottish agriculture is governed by the EU’s regulatory rulebook on e.g. the protection of birds and habitats, on protecting watercourses from nitrogen and other pollutants, and on the use of permitted agri-chemicals.\(^{28}\) Likewise, standards for animal welfare, and comprehensive food safety laws govern European agriculture. In particular, European Food Law takes a precautionary approach to protect consumers where the available evidence does not allow for a risk assessment to be made.\(^{33}\) In the establishment of these rules, moreover, institutional capacity exists at EU-level. As Lydgate et al note regarding food safety legislation,
“Detaching UK food safety regulation from EU bodies, while maintaining agricultural and food systems that are no less harmful to the environment and public health, is a challenging task. This is because the UK must develop capacities, competencies and procedures that have not been required or available domestically for many years.”
Therefore, while leaving the EU may present an opportunity to design bespoke, high Scottish standards that offer protection to people, animals and the environment, there may also be risks to Scotland’s environment, and to animal welfare and food safety standards from the ability to unpick regulation, or from a lack of institutional capacity, for which Scotland’s devolved institutions have relied on the EU for many years.
Even from a production point of view, lowering standards may come with risks. It is widely acknowledged that Scottish agriculture is underpinned by quality, and cannot compete on volume and price with other global players. James Withers, Chief Executive of Scotland Food and Drink told the Scottish Parliament’s Rural Economy and Connectivity Committee on 18 September 2019:
“It is important that we do not take an opportunity to unpick the regulatory framework. To some extent, the industry is never a fan of regulation: people round this table will frequently complain about levels of regulation, but the reality is that regulation underpins our brand.”
Scottish Parliament, 2019
In the UK Parliament, the Scottish Affairs Committee conducted an inquiry into Scotland’s priorities for future trade policies post-Brexit. With regards to quality and standards, the Committee’s Report emphasised concerns from stakeholders regarding the maintenance of standards:
“Tim Allan, President, Scottish Chamber of Commerce, told us this reputation for quality was built on the foundation of EU regulatory standards, which were trusted around the world. He warned that divergence from these could impact on the saleability of products in non-EU markets. This was echoed by Cat Hay, FDF Scotland, who said international markets such as China were looking for authentic safe products, and by maintaining high standards, there was an opportunity to “capture” the market. However during this inquiry, we heard concerns that UK standards could be lowered in order to negotiate new free trade agreements with other countries such as the US. This concern has been highlighted in a recent consultation from the US Department of Trade, asking American industry what its objectives would be for a future US-UK Free Trade Agreement. Proposals included: - The mutual and comprehensive recognition of US food safety and dairy standards, potentially allowing chlorinated chicken and hormone treated beef and milk into the UK; - The removal of mandatory labelling and traceability requirements for products containing biotech ingredients, allowing genetically-modified food to be sold unlabelled, and - The removal of the EU’s “precautionary principle” for food and chemical safety, which allows the UK to take a “safety first” approach to regulation and refuse access to the UK market for certain exports which could be dangerous when scientific evidence is uncertain.”
House of Commons Scottish Affairs Committee, 2019
Responding to these concerns during the Committee’s inquiry, Dr Michael Gasiorek from the UK Trade Policy Observatory:
“argued that protecting consumers and regulating markets should be the primary focus of regulatory policy and that ‘changing regulations simply to try become more competitive is probably a really bad principle.’”
House of Commons Scottish Affairs Committee, 2019
**Market access and tariffs**
The other element of the future relationship with the EU is market access and tariffs on agricultural products. As outlined above, a significant proportion of Scotland’s exports go to the EU. Some sectors such as livestock production, which make up 42% of Scotland's agricultural output, are particularly vulnerable to the impacts of losing free trade with the EU.
The EU have indicated that they are open to free trade on all goods, but only if common standards continue to apply. In an interview with *The Guardian* and seven other European newspapers, chief Brexit negotiator for the EU, Michel Barnier, clarified the EU's position on market access conditions:
“Access to our markets will be proportional to the commitments taken to the common rules...The agreement we are ready to discuss is zero tariffs, zero quotas, zero dumping.”
Rankin, 2019
From the EU's point of view, therefore, compliance with common regulatory standards as discussed above is inextricably linked to EU market access and the setting of tariffs. Using the example of EU food safety regulation, Lydgate *et al.* from the UK Trade Policy Observatory summarise the issues that may arise as a result, and state that as a result of the ability of UK Ministers to make future changes using Statutory Instruments under the EU Withdrawal Act 2018:
“Within the UK, there is tension between the regulatory divergence that these Statutory Instruments (SIs) permit and the imperative to maintain open borders within the UK. Prime Minister Johnson indicated that he is keen for the UK standards to diverge from those of the EU [1] but Scotland wishes to maintain alignment with EU regulation [2]. Under the new Withdrawal Agreement, if passed, Northern Ireland would continue to be bound by EU law in the areas we review and the SIs would have to be amended [3]. But divergence could undermine both the UK’s ability to undertake a unified approach to external trade agreements and also the maintenance of the UK’s internal free movement of goods. With respect to external trade agreements, such as with the United States, extensive scope for ministers to change food safety legislation would provide a relatively clear path for a UK Prime Minister to overcome parliamentary opposition to any new trade agreements that cover agricultural and food products.”
Lydgate, 2019
In the absence of a Free Trade Agreement with the EU, there will be varying impacts on different agricultural sectors. An analysis commissioned by the Scottish Government into sheep and lamb processing applied the EU tariff on sheep meat products for WTO Most Favoured Nation states to 2018 sheep meat export figures and found that under a no-deal scenario:
• "Overall the effective tariffs on sheep meat would have been 48% of export value, ranging from 0% on offal to 68% for boneless cuts of mutton (note that tariffs are generally higher on more processed products)
• "On £356m of exports the tariff bill would have amounted to £171m.
• "Overall if UK exports were to face tariffs and product was to be landed in the EU at the "same delivered price as 2018 there would have needed to be a 51% price reduction in the UK for these export products (ranging from -67% for boneless mutton, -52% for fresh lamb carcases / half carcases, to -28% for frozen mutton carcases/half carcases)." 39
Similarly, under the Food and Agriculture Policy Research Institute UK (FAPRI) Project, funded by the four UK agriculture departments, an analysis was commissioned in August 2017 on the "Impacts of Alternative Post-Brexit Trade Agreements on UK Agriculture". Using three different trade scenarios, the researchers modelled the impact on commodity prices, production and value of output for different agricultural sectors. As a modelling exercise, the researchers necessarily made a variety of assumptions, including that exchange rates, regulatory frameworks and labour supply would remain the same. Given these and other assumptions (a full description can be found in the full report), the analysis showed significant changes in commodity prices, production and value of output for agriculture depending on the trade scenario. The figure below sets out the scenario definitions and conclusions of the sector-based modelling exercise.
1. Conclusions of FAPRI-UK Modelling Exercise to assess the impacts of post-Brexit trade agreements on agriculture.
Executive Summary Table: Percentage Change in UK Commodity Prices, Production and Value of Output under Three Alternative Trade Scenarios Compared to the Baseline at the End of the Projection Period (2025)
| Commodity | Bespoke Free Trade Agreement with the EU | WTO Default | Unilateral Trade Liberalisation |
|-----------|----------------------------------------|-------------|-------------------------------|
| **Scenario definitions:** | • UK retains tariff and quota free access to the EU and EU retains tariff and quota free access to the UK
• UK maintains EU tariff structure to rest of the world
• 5% trade facilitation costs on UK-EU27 trade | • MFN\(^1\) tariffs applied to imports from the EU
TRQs\(^2\) from 3rd countries retained
MFN tariffs applied to UK exports destined for the EU
No change in tariff structure for exports to the rest of the world
8% trade facilitation costs on UK-EU27 trade | • Zero tariffs applied on imports to the UK from both the EU and the rest of the world
MFN tariffs applied to UK exports destined for the EU
No change in tariff structure for exports to the rest of the world
8% trade facilitation costs on UK-EU27 trade |
| Beef: | Price +3%
Production 0%
Output Value -3% | Price +1%
Production -10%
Output Value +29% | Price -45%
Production -10%
Output Value -50% |
| Sheep: | Price -1%
Production 0%
Output Value -1% | Price -30%
Production -11%
Output Value -38% | Price -29%
Production -11%
Output Value -36% |
| Pigs: | Price 0%
Production +1%
Output Value +1% | Price +18%
Production +22%
Output Value +44% | Price -12%
Production -5%
Output Value -17% |
| Poultry: | Price 0%
Production 0%
Output Value 0% | Price +15%
Production +11%
Output Value +28% | Price -9%
Production 3%
Output Value -12% |
| Milk & Dairy: | Price +1%
Production 0%
Output Value +2% | Price +30%
Production +7%
Output Value +37% | Price -10%
Production -2%
Output Value -12% |
| Wheat: | Price -1%
Production 0%
Output Value -1% | Price -4%
Production -1%
Output Value -4% | Price -5%
Production -1%
Output Value -6% |
| Barley: | Price -1%
Production 0%
Output Value -2% | Price -5%
Production -1%
Output Value -6% | Price -7%
Production -2%
Output Value -8% |
Davis, 2017\(^{40}\)
The scenario with the least impact on any sector in this analysis is a bespoke free trade agreement with the EU, under which the UK retains tariff and quota free access to the EU and vice versa, and the UK maintains EU tariff structure to the rest of the world, with a 5% trade facilitation cost with EU-27 countries. The other two scenarios have large variability in the impact on each sector. Generally speaking, while an increase in price benefits producers and may cause a knock-on increase in production and output, it has the simultaneous effect of increasing food prices for consumers.\(^{40}\) Likewise, a decrease in price may benefit consumers but have a "depressing impact"\(^{40}\) on production. Both of the latter scenarios forecast large impacts in the beef and sheep sectors, which as mentioned make up a large share of Scottish agriculture.
As such, in the agricultural sector, there may be significant trade-offs associated with any approach to the future relationship with the EU. There may be significant tensions between the desired outcomes from Brexit, such as regulatory freedom, tariff-free access to markets, free movement of goods within the UK, and maintenance of environmental protection and animal welfare and food safety standards.
Fisheries
Fisheries has been a political hot potato during the Brexit process. This is unlikely to change in 2020 when the UK and the EU will wrangle over negotiating its future relationship.
The UK will become an independent coastal state on exit day, but the status-quo will be maintained during the transition period under the EU Common Fisheries Policy. After the transition period, the UK will have control over access to its waters and will set the conditions granting access to foreign vessels.
In the meantime, 2020 will see the UK and the EU embark on what is likely to be challenging and politically fraught negotiations on a new UK-EU fisheries agreement. Challenging because, as a recent article in Fishing News explains:
“[The two parties] enter the negotiations holding polar opposite positions - radical change versus status quo.”
Both parties have leverage with regards negotiating a new fisheries agreement. The UK has the advantage of controlling access to some of the most productive fishing grounds in Europe, which other European fishing industries are heavily reliant on, whilst the EU has the advantage of the reliance of the UK on selling its catch tariff-free primarily to EU markets.
The UK Government wants to redress a historic imbalance of fishing opportunities available to UK fishing fleets under the relative stability principle. Its *Fisheries White Paper* published in July 2018 states:
“We will be seeking to move away from relative stability towards a fairer and more scientific method for future TAC [Total Allowable Catch] shares as a condition of future access. Initially, we will seek to secure increased fishing opportunities through the process of ‘annual exchanges’ as part of annual fisheries negotiations.”
The European Commission makes it clear that its objective in negotiations for a future trade deal is for a continuation of the status quo in terms of access to waters by UK and EU vessels. *The draft negotiating guidelines for a future trade deal* states:
“Trade in goods, with the aim of covering all sectors, which should be subject to zero tariffs and no quantitative restrictions with appropriate accompanying rules of origin. In this context, existing reciprocal access to fishing waters and resources should be maintained. (Emphasis added)”
A separate declaration published following a special meeting of the European Council on 25 November 2018 states:
“...the European Council will demonstrate particular vigilance as regards safeguarding the rights and interests of citizens, the necessity to maintain ambitious level playing field conditions and to protect fishing enterprises and coastal communities. (Emphasis added)”
Fishing industry representatives will be keeping a close eye on how the UK Government proceeds with negotiations. A key concern expressed by some in the fishing industry is
that the UK Government will concede access in the context of wider negotiations on the future UK-EU economic partnership.
There is unease over a potential repeat of UK negotiations to join the European Economic Community in 1973, when the UK Government granted access in order to seek other economic objectives in the negotiations.
A day after becoming Prime Minister on 24 July 2019, Boris Johnson responded to a question on fisheries in the House of Commons with the following statement:
“We will become an independent coastal state again, and we will, under no circumstances, make the mistake of the Government in the 1970s, who traded our fisheries away at the last moment in the talks. That was a reprehensible thing to do. We will take back our fisheries, and we will boost that extraordinary industry.”
Despite this commitment, text contained within the revised Withdrawal Agreement and Political Declaration published on 19 October 2019 regarding future fisheries negotiations were unchanged from the previous version negotiated under Theresa May. It indicates a link between access to waters and negotiations on the wider UK-EU economic partnership:
“Within the context of the overall economic partnership the Parties should establish a new fisheries agreement on, inter alia, access to waters and quota shares. (Article 73).”
An article in Fishing News published on 25 November 2019 also highlighted a BBC interview in which the Foreign Secretary, Dominic Raab was unable to provide a clear answer when asked if foreign vessels would have less access to UK waters after Brexit.
The Scottish Fishermen’s Federation has been one of the most strident voices in campaigning for a rebalance in catching opportunities for Scotland's offshore fleets after Brexit. However, Scotland's fishing industry is diverse.
Inshore fisheries primarily target non-quota shellfish species such as crab, lobster and nephrops (langoustine). The majority of this catch is exported as live or fresh product to European markets tariff-free. Increased tariffs and non-tariff barriers such as customs delays and new certification requirements could reduce the inshore fleet's already narrow profit margins.
Seafood processing is also a significant part of Scotland's marine economy, and is larger than both the fishing and aquaculture industries. As with inshore fisheries, the Scottish seafood processing industry is heavily reliant on tariff-free access to European markets both for imports and exports.
Brexit will potentially open up new markets and new sources of raw material for Scottish seafood processors. However, even if the UK and the EU agree a close future trading relationship, exports to what is currently the largest external market for UK seafood products will likely face more barriers than they do at present.
Negotiating a future fisheries and trade agreement with the EU that meets the needs of all sectors of Scotland's fishing industry will be no mean feat. Negotiations inevitably require compromise, and the UK Government will have to consider carefully which needs to prioritise and the promises it has made on fishing since the 2016 referendum.
Food and drink PGIs
As discussed in the section above on agriculture and fisheries, a key concern for Scottish food producers after Brexit will be tariff free and frictionless access to markets to ensure perishable goods are still fresh when they reach the EU. However a further concern had been ensuring continued protection of products which have a Geographical Indication (GI). As an EU member state, the UK participates in the EU’s approach to GIs and operates a protected food names scheme in the UK which has 88 protected food names including 14 Scottish products. Scotch Whisky also has an EU registered GI.
More background information on geographical indications is available in the SPICe Briefing *Geographical Indications and Brexit*.
The Withdrawal Agreement finalised by Boris Johnson in October 2019 provided protection for the UK’s current recognised GI’s on the EU market after Brexit and requires the UK to set up its own list of geographical indications in domestic legislation. That list will include recognition of the EU’s current GIs. This approach applies “unless and until” superseded by the long-term trading relationship.
Whilst the Withdrawal Agreement protects GIs in place at the end of the transition period, it makes no provision for new GIs which gain that status after the date on which the transition period ends. This is likely to be an issue addressed as part of the future relationship negotiations.
Services
The UK economy relies heavily on exporting services to the EU. 45% of all outgoing trade consists in cross-border services, and more than a third of these are purchased in the EU27. Trade in services will be a vital component of the future relationship between the UK and the EU. For Scotland in particular, the obstacles entailed by Brexit could harm one main sector of domestic industry.
“With 75% of Scotland’s economy based on services, representing a third of our trade with the EU, Brexit will seriously hamper our ambitions to grow our services exports and the opportunities for businesses to expand and become international players.”
Scottish Government, 2019
Trade in services is not hindered by tariffs applied at the border, but by internal laws and regulations on the provisions of services. For instance, rules on immigration, eligibility for work visas and the recognition of qualifications are obstacles to the provision of professional services (legal, consultancy, architecture) by non UK nationals and non UK companies. Each country can decide to what extent, and in which sectors (health, education, banking, etc), it wishes to open its services market to foreign providers.
In the EU single market, the principles of non-discrimination, free movement of workers and freedom of establishment allow service providers to travel freely and establish themselves across the European Union. Moreover, services can be sold across borders even when both the providers and consumers remain where they are (e.g., financial or IT services provided by a foreign bank or company). With Brexit, the UK will leave the EU single market and will be able to differentiate its rules from those of the EU. Therefore, the
UK government has acknowledged that, in the field of services, "the UK and the EU will not have current levels of access to each other’s markets." 52
Outside a ratified trade agreement, WTO rules govern trade in services. The rules of the WTO's General Agreement on Trade in Services (GATS) do not establish a standard set of obligations. Each State can choose to maintain regulatory barriers and discriminatory measures that affect foreign services and service providers. 53
Rules on services under WTO law and free trade agreements, typically, do not increase liberalisation considerably. When States open their market to foreign services, they prefer to do it as a matter of choice rather than obligation, and want to be able to restrict access in the future.
“FTA services negotiations are not strongly liberalising. Countries do not bind a higher-level of liberalisation in FTAs by changing their applied services regimes. Rather, they prefer to retain a certain degree of policy space.”
Morita-Jaeger, 2018 54
Even advanced free trade agreements, for the most part, limit themselves to binding states to retain their current level of liberalisation, rather than increase it. For instance, the EU-Japan agreement contains few specific concessions that exceed the ones bound by WTO law, but provides for a ratchet-up system that makes it illegal to revoke existing concessions.
“The EU-Japan EPA has not introduced new market access concessions, but has contributed to the consolidation of the current level of liberalisation into binding commitments. In so doing, the parties have agreed that liberalisation in services could only increase in the future, by locking in current concessions and future ones as they might be granted.”
Fontanelli, 2019 55
To get a sense of the incomparable levels of trade liberalisation offered by the EU Single Market and an FTA, see this table relating to the EU-Japan trade agreement. With reference to a selection of service sectors, market integration in the EU exceeds that granted by the FTA in virtually all respects.
| Table 1: Relative liberalisation of services supply by mode under single market and FTA provisions |
|---------------------------------------------------------------|
| Cross-border supply of service (mode 1) | Commercial presence (mode 3) | Temporary movement of natural persons (mode 4) |
| Single Market | FTA | Single Market | FTA | Single Market | FTA |
| Banking and other financial services (excluding insurance) | | | | | |
| Insurance services | | | | | |
| Legal services | | | | | |
| Accounting and book-keeping services (excluding auditing) | | | | | |
Red: constrained Amber: notable constraints Green: few constraints
Lowe, 2018 56
For the UK and the EU to continue trading services at the pre-Brexit conditions, a customs union would not help (services do not face tariffs at the border). Instead, the UK and EU27 would have to agree to retain the same rules or, at least, to consider each other's rules equivalent (mutual recognition). For instance, the UK would have to accept that doctors with a medical degree obtained in Poland can practice in UK hospitals, or that an insurance company licensed to operate in Slovenia is as reliable as one licensed in the UK. Convergence of rules on services, however, would only address some of the trade obstacles. How smoothly services are traded depends also on general standards and rules that do not concern services specifically: immigration, safety, taxation, and consumer protection. It is estimated that around 40% of one market's "restrictiveness" for foreign services does not depend on trade regulations, but on other domestic measures.\(^{57}\) The horizontal features of the single market (the so-called "four freedoms") largely prevent trade restrictiveness through non-trade measures.
“Examples of these measures include requirements that: foreign suppliers are treated less favourably with regard to taxes and eligibility for subsidies; only locally-licensed professionals (e.g. lawyer, accountant, auditor, architect and engineer) may use the professional title; foreign programme producers have to recruit part of the cast and crew among local professionals; and discriminatory censorship fees and procedures.”
Morita-Jaeger, 2018\(^{54}\)
It is difficult to predict the outcome of the negotiations, but given the UK Government has signalled its intention to revoke freedom of movement for EU workers and service-providers, it is very likely the EU will mirror this approach. Trade in services across the UK and the EU will be a function of immigration rules or an agreed UK-EU mobility framework (see below).
Another professed goal of Brexit has been to eschew EU regulations. Without harmonised rules and standards, foreign services and service providers might fail to satisfy the local requirements, or incur additional costs to do so.
Moving forward, the UK and the EU could establish a system of mutual recognition, for instance relating to professional qualifications; remove market access and discriminatory obstacles for foreign establishments; rely on unilateral declarations of equivalence that could smooth out the regulatory divide between the home UK market and the market of the EU.
For instance, after Brexit, UK providers of financial services will no longer benefit from "passporting," the certification system allowing them to operate across the EU. Instead, they will have to apply for "equivalence," that is, the unilateral recognition by the EU that they satisfy standards that are comparably reliable to its own. The EU assesses each country's system along a series of benchmarks, and no country so far has been deemed "equivalent" in all of them.\(^{58}\)
As the chief Brexit negotiator for the EU, Michel Barnier, noted, this EU equivalence system offered to third countries should be sufficient for UK business too.
“...the EU has a long history of relying on the regulation and supervision of third countries. This is what the G20 calls deference, what you call in the US substituted compliance, and what we call in the EU equivalence. To date, the EU has adopted more than 200 so-called equivalence decisions covering more than 30 foreign jurisdictions, including of course the US. This integrates financial markets and facilitates the work of financial operators in the EU and the foreign jurisdiction. Today, to be very clear, we are in the EU the most open jurisdiction in the world for financial services. Why would this equivalence system, which works well, including for the US industry, not work for the UK? Why?”
European Commission, 2018
The Political Declaration recognises the UK’s “regulatory and decision-making autonomy,” that is, the right to diverge from EU rules. Therefore, instead of harmonised rules or mutual recognition, it refers to this equivalence framework as the viable device to promote trade continuity. It also sets an aspirational deadline (June 2020) for the conclusion of the equivalence assessments (in both directions).
“Noting that both Parties will have equivalence frameworks in place that allow them to declare a third country's regulatory and supervisory regimes equivalent for relevant purposes, the Parties should start assessing equivalence with respect to each other under these frameworks as soon as possible after the United Kingdom's withdrawal from the Union, endeavouring to conclude these assessments before the end of June 2020. The Parties will keep their respective equivalence frameworks under review.”
UK Government, 2019
The definitive features of the arrangement between the UK and the EU in trade in services will depend on the concessions each party is ready to make, and the red lines it will not cross (for the UK, ending the free movement of workers is one such line). The Political Declaration anticipates a "framework for voluntary regulatory cooperation in areas of mutual interest, including exchange of information and sharing of best practice." This language is very generic, and essentially defers to the result of the negotiations resulting from both parties promoting their economic and policy interests.
According to Sam Lowe, a senior research fellow at the Centre for European Reform, the EU will be more keen to open its market to UK providers that establish in, or travel to, the EU, while it will not increase access for cross-border services - provided from the UK to customers in the EU.
“Reading between the lines, the EU may be prepared to go further than ever before on mode 3 (establishment), mode 4 (temporary movement) and mutual recognition of qualifications. However, there is little reason to think that, when it comes to mode 1 (cross-border provision) and attendant issues like licensing and comprehensive acceptance of the UK’s regulatory regime as equivalent to its own, the EU will be prepared to go much further than it has with existing third country partners. Additionally, questions remain over mode 4, and the continued movement of people in general, due to Theresa May's insistence on ending free movement.”
Lowe, 2018
On 13 January 2020, the European Commission released some slides describing the EU stance on a future FTA with the UK. One slide illustrates the differences between the current situation and the situation that will emerge if a FTA is concluded, with respect to trade in services:
Illustration – Services
Single Market
- Fundamental freedoms (dismantling national barriers)
- Services
- Establishment
- Capital
- Persons
- Sectoral liberalisation
- Services Directive
- Sector-specific legislation (harmonising conditions for the provision of services)
- Country-of-origin approach/mutual recognition
Free Trade Agreement
- Differentiated liberalisation:
- Open on establishment (but e.g. no direct branching financial services)
- More limited for cross-border provision of services and movement of staff (only temporary)
- Based on existing levels of openness
- Sectoral exclusions to market access; reservations; exceptions
- Access requires full compliance with host state rules
- No harmonisation of rules
- No mutual recognition of rules
- Each side retains right to regulate
- Some general rules framing regulations ("rules on rules")
European Commission, Task Force for Relations with the United Kingdom, 2020
The Scottish perspective is largely aligned to that of the UK when it comes to exporting services. Scotland's most exported services are in the fields of engineering and energy, finance and business, technology, education and tourism, and EU27 markets are the majority of its top destinations for exports.
Justice
EU justice policy is primarily aimed at issues with a cross border or internal market implication - both criminal justice policy and civil law.
Key criminal justice measures include:
- The exchange of law enforcement data between Member States - e.g. DNA, fingerprints, criminal records, passenger name records, missing or wanted persons etc.
- Eurojust and Europol - EU agencies aimed at improving criminal justice and law enforcement.
- The European Arrest Warrant - a fast track extradition process between EU Member States.
Civil law examples include:
• Cross border child and family law rules (e.g. on access, custody, and maintenance)
• Rules on which Member State courts have jurisdiction to hear civil cases
• Rules on the enforcement of civil court judgments in other Member States.
For further details see the SPICe briefing "Brexit: Impact on the Justice System in Scotland".
Throughout the negotiations on the Withdrawal Agreement both the EU and the UK have emphasised that they have a mutual interest in future cooperation in these areas (in particular in relation to law enforcement and criminal justice policy).
However, the sticking point has been the degree to which the UK can continue to operate within EU frameworks as a third country post Brexit.
Broadly speaking the UK has stressed the need for a bespoke relationship reflecting current integration in the EU system, whereas the EU takes the view that, while future cooperation is crucial, a non Member State which is not bound by EU law and principles cannot have the same rights as a Member of the EU.
While the Political Declaration doesn't deal in any detail with civil law, it continues the theme of the parties' mutual interests and stresses that a deal in the field of law enforcement and criminal justice would be beneficial to both the UK and the EU given that they face shared threats - e.g. terrorism, international crime, cyber-attacks etc.
It therefore proposes a deal between the UK and EU which will provide for:
“... comprehensive, close, balanced and reciprocal law enforcement and judicial co-operation in criminal matters. (para. 80)”
The aim is that this should cover three main areas:
1. Data exchange
2. Operational co-operation between law enforcement authorities and judicial co-operation in criminal matters
3. Anti-money laundering and counter terrorism financing
The starting point for the negotiations is therefore an ambitious one. A fact emphasised in the recent speech by the new President of the European Commission, Ursula von der Leyen, who stated that the UK and EU must build a:
“new, comprehensive security partnership to fight cross-border threats, ranging from terrorism to cyber-security to counter-intelligence”
Old friends, new beginnings: building another future for the EU-UK partnership, 202061
However, as outlined in the SPICe briefing on the previous Political Declaration, although the aims are ambitious the details of the relationship still all need to be negotiated.
For example, the Political Declaration doesn't explain what future cooperation might mean for bodies such as Europol and Eurojust. Instead, there is only an agreement to, “work
together to identify … terms” (paragraph 86). What these terms might be, or what kind of role the UK might be able to have in Europol, is currently unclear.
There is a similar lack of clarity on a possible replacement for the European Arrest Warrant. Paragraph 87 of the Political Declaration merely states that the UK and EU wish to:
“… establish effective arrangements based on streamlined procedures and time limits enabling the United Kingdom and Member States to surrender suspected and convicted persons efficiently and expeditiously.”
The Political Declaration does make it clear though that, if the UK wants a close future relationship, it will have to agree to alignment with EU rules including a role for the European Court of Justice, as well as providing for adequate protection of personal data and continued adherence to the European Convention on Human Rights.
On this basis it seems unlikely that the forthcoming negotiations between the EU and UK will be straightforward. Although Michel Barnier recently indicated that a new security relationship with the UK will be a one of the EU’s negotiating priorities in the coming year, a great deal of detail will need to be negotiated in a very limited period of time. The UK will also have to come to a view on how far it wants to align with the EU and the degree to which it is prepared to trade off sovereignty for increased security. And for its part, if the EU does want a deep relationship with the UK (particularly one which fully kicks in at the end of the transition period), it will have to consider creative solutions that go beyond existing relationships with third countries.
Finally, as Scotland has a separate legal system and police force, with most criminal and civil justice matters being devolved, the negotiations will have a direct impact in Scotland.
On this point, the Scottish Government published an analysis in June 2018 of its view on the possible Scottish impacts of Brexit on security, judicial co-operation and law enforcement. The analysis stressed the fact that Scotland is “a separate legal jurisdiction with its own legal and judicial system, criminal laws and law enforcement agencies”. It also argued for a stronger Scottish role in the UK’s future negotiations with the EU, noting that:
“As the Government responsible in Scotland for many of the issues being discussed in the negotiations, we remain committed to seeking to secure more substantial opportunities to input into the negotiations. It is vital that we are given these opportunities before the UK position is finalised, and before issues are agreed in the negotiations.”
Scottish Government, 2018
**Immigration**
Immigration was one of the most contentious issues during the EU referendum. The UK Government will end EU freedom of movement when it withdraws from the EU, and EEA citizens seeking to live and work in the UK after the implementation period will be required to apply through the UK’s immigration rules.
The UK Government produced a White Paper on Immigration in 2018, setting out its future plans for EU and non-EU migration after Brexit. This paper formed the basis of the
Immigration and Social Security Coordination (EU Withdrawal) Bill, which fell when Parliament was dissolved for the general election in December 2019. The Immigration Bill ends the rights to free movement of persons under retained EU law. However, the White Paper on Immigration also signalled that the UK Government intended to explore the possibility of creating UK-EU mobility arrangements as part of a future trade agreement.
“The Government is seeking to negotiate with the EU a Mobility Framework to support businesses and tourism. Maintaining existing Mode 4 commitments, which have been taken as part of EU trade deals, and agreeing new Mode 4 commitments, as part of a trade deal with the EU and with other countries, would facilitate certain categories of business activity. However, as these arrangements are subject to the outcomes of negotiations with the EU, it is not possible to assess the impacts on trade of this future framework.”
UK Government, 2018
The White Paper specifically suggested a number of areas to explore:
- “intra-corporate transfers that allow UK and EU-based companies to train staff, move them between offices and plants and to deploy expertise where it is needed”
- “temporary mobility of scientists and researchers, self-employed professionals, employees providing services, as well as investors”
- “allow UK nationals to visit the EU without a visa for short-term business reasons and equivalent arrangements for EU citizens coming to the UK”
- “reciprocal visa-free travel arrangements to enable UK and EU citizens to continue to travel freely for tourism in the future”
- “UK-EU youth mobility scheme to ensure that young people can continue to enjoy the social, cultural and educational benefits of living in each other’s countries”
- “reciprocal arrangements with the EU that ensure smooth passage for UK nationals when they travel to the EU, for example on business or on holiday”
- “reciprocal arrangements on the future rules around some defined elements of social security coordination…provisions for the uprating of state pensions”
- “healthcare cover for state pensioners retiring to the EU or the UK, continued participation in the EHIC scheme and cooperation on planned medical treatment”
- “recognition of professional qualifications held by UK and EU nationals”
The Political Declaration that accompanies the EU (Withdrawal Agreement) Bill 2019-20 also contains a section on mobility arrangements as part of a future UK-EU trade agreement.
In Section IX on ‘Mobility’, the Political Declaration states that "the Parties should establish mobility arrangements" based on non-discrimination and reciprocity. These include:
- "visa-free travel for short-term visits"
- "conditions for entry and stay for purposes such as research, study, training and youth exchanges"
• "addressing social security coordination in the light of future movement of persons"
• "the possibility to facilitate the crossing of their respective borders for legitimate travel"
• "commitments on temporary entry and stay of natural persons for business purposes in defined areas"
The Political Declaration's provisions on mobility are therefore less detailed, and less extensive, than those contained in the UK Government's White Paper on Immigration (2018).
However, even then, the mobility provisions proposed in the Political Declaration exceed any mobility arrangements in trade agreements negotiated by the EU with any other country (with the exception of EC-Switzerland, which enables the free movement of persons).
The most extensive mobility provisions in an existing EU trade agreement are with Canada (CETA), and are based on WTO GATS Mode 4 provisions on the movement on natural persons (individuals) supplying services (including the temporary entry and stay of intra-corporate transferees, business visitors, investors, contractual services suppliers and independent professionals). The mobility provisions in the CETA agreement therefore only focus on the temporary supply of services and apply to a small number of workers.
The Political Declaration's proposals on social security coordination and mobility for the purposes of "research, study, training and youth exchanges" would therefore exceed the mobility arrangements in any trade agreements negotiated by the EU to date (with the exception of the aforementioned EC-Switzerland bilateral agreements).
As immigration is a reserved matter, the Scottish Government does not have competence over this area. However, the Scottish Government has repeatedly called for the devolution of certain immigration powers to Scotland to enable it to meet Scotland's specific economic and demographic needs. The Scottish Parliament commissioned a paper exploring the options for differentiating immigration in Scotland/the UK\(^{64}\). Furthermore, the Scottish Government's Expert Advisory Group on Migration and Population published a report on the impacts on Scotland of the UK Government's proposals to end free movement.\(^{65}\) The report found that UK Government's immigration plans could reduce the number of workers in Scotland by up to five per cent over the next two decades.
**EU funding programmes**
As a third country, the UK will be ineligible for pre-allocated EU funds but may be able to participate in some competitive programmes.
The revised Political Declaration noted the potential for future UK participation in EU programmes in areas including science and innovation, youth, culture and education. However the Political Declaration did not identify any specific funding programmes.
The UK could negotiate to participate as a third country in these programmes, but would need to abide by the conditions set out in the appropriate programme regulations. The conditions are likely to include making a financial contribution to the programmes,
however, it is currently unknown what level of contribution the UK would be required to pay to participate in individual programmes.
It is not certain at this time which funding programmes the UK might negotiate to enter beyond 2020, nor whether negotiations will have concluded in time to allow participation in the programmes from their outset in January 2021.
The SPICe briefing ‘Access to EU funding as a third country’ published in January 2020 highlights 6 funding streams that EU draft regulations have identified as being open to third countries in the MFF period 2021-2027, and consequently to which the UK may be eligible to apply once it is no longer a Member State.
These are:
- Connecting Europe Facility;
- Creative Europe;
- Environment and Climate Action (LIFE);
- Erasmus;
- Horizon Europe;
- European Territorial Cooperation fund.
Perhaps the two most high profile programmes in which UK participation is likely are the Erasmus programme and Horizon Europe.
**Erasmus**
*Erasmus+* is an EU programme which aims to promote and modernise education, training, youth work and sport across Europe.
The EU [draft regulation](#) to establish the Erasmus programme for 2021-2027 outlines the criteria for participation of third countries. Third countries will be able to participate either as associated to the programme or not associated - subject to the outcome of negotiations.
Entering as an associated third country generally allows for greater influence in the programme and the opportunity to take part fully in the actions of the programme whereas a non-associated third country can only take part in some of the actions of the programme, subject to conditions. In addition, the funding available to non-associated third countries is limited as are the opportunities for students from these countries to undertake work placements and benefit from future partnerships with their peers.
Between 2014-2018 there were 844 Erasmus projects in Scotland with 13,957 participants. Funding awarded in Scotland in this period amounted to €90.7M.
In correspondence to the Culture, Tourism, Europe and External Affairs Committee in January 2020, the Scottish Government outlined its preference for Scotland to continue with full participation in the Erasmus programme after the UK has left the EU.
During the debate on the European Union (Withdrawal Agreement) Bill on 8 January 2020, the UK Parliament voted by 344 votes to 254 against a clause that would have required the UK Government to negotiate full membership to the Erasmus programme after 2020.
The result of the vote does not prevent the UK Government from negotiating full membership during the future relationship negotiations.
**Horizon Europe**
Horizon 2020 is the EU's main funding programme for research and innovation. It is scheduled to be replaced in January 2021 by Horizon Europe.
The EU draft regulation seeking to establish Horizon Europe contains provisions for third country association to the programme. It states "the programme should promote and integrate cooperation with third countries [...] association of third countries to the programme should be promoted." 66
In terms of third country membership, Horizon Europe is open to membership as an
- associated third country or
- non-associated third country.
Non-associated third countries have reduced decision making powers in comparison to associated third countries, who themselves have less influence than Member States. The UK’s level of participation would depend on which of these options the EU and the UK agree on.
The Scottish Government has acknowledged the benefits from EU research funding programmes and collaborative working arrangements, including the Horizon 2020 funding stream. On 5 November 2018, it published a report on 'Scotland's place in Europe: science and research.' The report outlined its ambitions for continued participation in European research programmes, which it said:
“gives Scottish universities and other organisations access not only to EU funding but also to collaborative networks, expertise, facilities and data that add immense value to their work.” 67
In terms of future participation in Horizon Europe, the Scottish Government stated:
“In the longer term, we wish to be as fully involved as possible in the future research and innovation programme, Horizon Europe.” 67
Conclusions
The negotiations on the future UK and EU relationship are likely to begin shortly after the UK leaves the EU on 31 January 2020. The negotiations will be challenging, not least because the UK Government is insisting on concluding an agreement by the end of the transition period at the end of 2020. The European Commission has suggested that limiting the negotiations to the next eleven months will mean that it will need to prioritise where agreement can be reached and will lead to a less comprehensive agreement than might otherwise have been possible.
The UK Government has yet to provide details on how it plans to conduct the negotiations, but the changes to the second version of the European Union (Withdrawal Agreement) Bill suggests less consultation will take place with the UK Parliament. In addition, whilst the Institute for Government has argued that the UK government must involve the devolved administrations to properly reflect Scottish, Welsh and Northern Irish interests in the talks, there has been no indication of what kind of role the devolved administrations or legislatures might play in the negotiations.
From an EU perspective, the negotiations will focus on ensuring that the integrity of the Single Market and Customs Union is protected whilst ensuring that the terms of any deal are not as beneficial as membership of the EU would be. It is also likely that the EU will insist that the UK signs up to level playing provisions if it wishes to achieve tariff free access to the EU market. Access to the UK’s fisheries waters is also likely to be an early priority for EU Member States.
From a UK perspective, there is less clarity about what the UK wishes to achieve from the negotiations beyond a free trade agreement covering goods and services, and cooperation in other areas. What is more clear is what the UK Government wishes to end with Brexit, which is EU free movement and bringing an end to the jurisdiction of the European Court of Justice in the UK. These red lines will inevitably limit the scope of the EU’s offer to the UK and so the UK Government may need to make some choices about whether to accept the EU’s level playing field priorities in return for better access to the EU market.
Given both sides’ red lines, it is clear that the future relationship cannot provide for the same benefits that the UK enjoys as an EU Member State. This means that in areas such as agriculture and fisheries, ensuring relatively frictionless access to the EU market will be more challenging. In addition, UK goods being sold into the EU will need to continue to comply with EU standards. For the UK’s service industry, Brexit will reduce market access and lead to barriers for UK service providers seeking to provide services in the EU.
Whilst both the UK and the EU have committed to comprehensive, close, balanced and reciprocal law enforcement and judicial co-operation in criminal matters there is little clarity about how that can be achieved give the UK will no longer be a Member State.
As the negotiations continue during 2020, it will be worth watching to see how the negotiating positions develop as the scope of what is possible - given the initial red lines - becomes clearer.
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SURP’S FIRST INTERNATIONAL PROJECT COURSE: SHANGHAI, CHINA
In December 2011, Dr. John Meligrana led nine SURP students and Chinese guide/interpreter Yun Zhang on an intensive two-week field trip to China’s Shanghai Metropolitan Area as part of SURP’s first international project course. The following SURP students comprised the project team: Johannes Bendle, Kyle Gonyou, Kevin Jarus, Arthur Lo, Simona Rasanu, Carolyn Skoworodko, Tara Spears, Sharlad Sukumaran and Marisa Talarico.
The Shanghai Metropolitan Area faces enormous planning challenges, including preserving some of the world’s most productive agricultural land while managing rapid urban growth and a deteriorating natural environment. The purpose of the trip was to gain international exposure to land use, environmental and socio-economic planning ideas in this cosmopolitan megacity. Students had meetings with Shanghai government officials, private developers, urban planners, as well as Chinese university professors and students at three universities: Fudan, Tongji and Soochow. They also conducted site visits to demonstration projects in environmental planning, organic agriculture and new town development.
Information from field trip activities was supplemented by extensive background reading of the available literature to create professional reports and a photo album for two Chinese partner organizations, the World Wildlife Fund Shanghai Office and the Chinese Ministry of Land and Resources, as well as the Canadian Institute of Planners.
Despite similarities in scope between the planning issues facing China and Canada, the Shanghai area’s rapid development is challenging conventional Western ideas regarding growth management and environmental planning. Although Shanghai officials are very receptive to Western planning principles, students recommended that officials draw upon foreign expertise and international best practices, where appropriate, but focus on the development of “home-grown” solutions to planning problems.
December 10, 2011 — SURP project team and passersby in front of Shanghai’s skyline
Back Row (L to R): Kevin Jarus, Carolyn Skoworodko, Johannes Bendle
Middle Row (L to R): Dr. John Meligrana, Tara Spears, Sharlad Sukumaran, Marisa Talarico, Kyle Gonyou
Front Row (L to R): Arthur Lo, Simona Rasanu, Yun Zhang
Photo courtesy of Arthur Lo
December 15, 2011 — SURP project team in front of a statue of Chairman Mao Zedong on the campus of Shanghai’s Tongji University
Photo courtesy of Arthur Lo
DIRECTOR’S MESSAGE
SURP’s first international project course to Shanghai, China was the year’s highlight, but there was other good news on the international exchange front as the School continues to expand its relationships with comparable planning schools and government institutions. Our China Projects Office continues to coordinate research and training with our Chinese partners under the leadership of Professors Hok-Lin Leung and John Meligrana. We have made agreements with two of our new partners in the Matariki Network – the University of Western Australia (UWA) in Perth, AU, and the University of Otago in Dunedin, NZ. The first SURP graduate student went on exchange in January 2011, we hosted three UWA and Otago students in the fall 2011 term, with another SURP student in Perth in 2012, and four are in process for 2013 exchanges.
The School continued to revise its core curriculum, making major changes to the research proposal and methods courses that significantly decreased the completion time of our 2011 Master’s students. A record number (11) completed the program in five terms, rather than the usual six. The faculty will continue renewal of the optional curriculum in 2012-13. SURP continued to recruit an outstanding group of graduate students, meeting our enrolment target (66) for the fifth year in a row despite increased competition across Canada. SURP students won four SSHRC’s, three Toronto Commercial Real Estate Women Scholarships and three Society of Industrial and Office Realtors Canada Central Chapter Scholarships in 2011.
The School’s offerings were diverse and multidisciplinary, aided by our excellent adjunct faculty. We were pleased that emeritus professors Mohammad Qadeer and Hok-Lin Leung returned to teach courses on multiculturalism and international urban planning, respectively, in 2011. We have an innovative relationship with The Mediation Centre of Southeastern Ontario to deliver an alternative dispute resolution course. Former Canadian Institute of Planners President Marni Cappe taught an urban policy course, former Ontario Professional Planners Institute President Sue Cumming taught public participation techniques, CMHC analyst Dr. Patricia Streich taught affordable housing, Sukriti Agarwal taught GIS and alumnus Dr. Clarke Wilson ('73) taught a course on population forecasting. We send our condolences to Clarke, whose wife Jane passed away sadly and unexpectedly on January 24, 2012.
Many of these new courses benefit from collaboration with other Queen’s departments. We are especially proud of our partnership with the School of Policy Studies, sharing fifteen courses over the past two years and enriching the curriculum of both schools. SURP faculty also taught courses in Queen’s Geography, Environmental Studies, and Business. Additional collaboration and shared teaching began with the School of Kinesiology and Health Studies (SKHS) in winter 2012. Although SURP has no plans to offer an undergraduate planning program, these partnerships allow our faculty to interact with students outside our School, and our innovative coordinated degree programs with Civil Engineering and Geography bring us a few highly-qualified students for early admission to our graduate program. We hope to expand this program to Environmental Studies and SKHS in 2012-13.
SURP students benefited from a range of professional internships in 2011. Despite the economic recession, almost every first-year student obtained a paid professional internship, and most of the graduating classes had secured planning jobs by the end of the summer. We appreciate the loyal support of our partners from the public and private sectors, and the National Executive Forum on Public Property. Dr. John Andrew and Jo-Anne Rudachuk will continue to reach out to our partners to provide good professional experience for our students during a period of public sector constraint.
Despite the heavy load of teaching, administration and supervision, our scholars remained remarkably productive: we edited journals, wrote two books and monographs, seven chapters, 23 refereed
articles, and 14 other reports and articles in 2011. The student body contributed four professional reports and 42 master’s theses and research reports over the past year.
But this small school can only continue to accomplish these amazing feats because of the level of collegiality and teamwork that is unusual in a university setting. The secret to SURP’s success is a dedicated and experienced staff team - Angela Balesdent is in her 12th year at SURP and her 26th year at Queen’s and Jo-Anne Rudachuk has been at SURP for 23 years now and at Queen’s for just over 28. Connie Brobeck and Xu Li also kept the Forum and China Projects offices running smoothly.
Our faculty has been enhanced by our new colleague, Dr. Patricia Collins, our fourth new hire in the past four years. These new faculty positions are a remarkable vote of confidence in our School, for which we thank Vice-Provost and Dean of Graduate Studies Brenda Brouwer and former Provost Bob Silverman. The 2011-12 academic year saw the School of Urban and Regional Planning with its full faculty complement for the first time in five years. We look forward to more great teaching and research as the School enters its fifth decade of service to Queen’s and the Canadian planning profession.
Dave Gordon, Professor and Director
STUDENT HONOURS AND AWARDS
Mike Dror, Lindsey Gradeen, Tony Gkotsis and Carolyn Skoworodko were awarded fellowships by the Social Sciences and Humanities Research Council of Canada (SSHRC).
Natasha Reaney ('11) received the 2011 Canadian Institute of Planners (CIP) Award for Academic Excellence, which is given to the CIP student member with the highest academic standing in the program. Natasha also won the SURP Ida Mmari Memorial Award, which is given to the graduating student who completes the program in two years and has the highest grade point average.
Megan Jones, Michelle Nicholson and Simona Rasanu each won a $1,000 2011 Society of Industrial and Office Realtors (SIOR) Canada Central Chapter Scholarship.
The winners of SURP’s International Experience Awards for 2012 are Mladen Kukic for travel to Amsterdam, The Netherlands, Jonathan Pradinuk for travel to Helsinki, Finland, and Marisa Talarico for travel to Bogota, Colombia. They will each receive up to $1,700 toward their travel expenses.
Carl Isaak ('11) won the 2011 Stanley Lash Award, which is given to the student who has written the best term paper in the preceding calendar year.
Tara Spears is the inaugural recipient of the Sue Hendler Graduate Fellowship, which recognizes SURP students who have distinguished themselves academically and are conducting research on planning ethics or women and gender in planning. This $2,000 award will support Tara’s master’s research on improving women’s perceptions of safety in downtown Guelph, ON.
CONGRATULATIONS TO OUR RECENT GRADUATES!
Fall 2011
Tony Boutassis, Carl Isaac, Amanda Leonard, Drew MacMartin, Brook McCrady, Kieran Miller, Laura Moebs, Ashley North, Jaime Posen, Sarah Stephenson, Claire van Koughnett, Ryan Jeffrey, Annamarie Burgess, Phoebe Chan, Kevin House, Mark Janzen, Jordan Lee, Devin Reynolds, Andrew Sherstone, Stephen Takyi, Paul Yeoman
Fall 2011 SURP grads and faculty on the steps of Ontario Hall
Photo courtesy of Phoebe Chan
GOOD LUCK TO THE CLASS OF 2012!
Top Row (L to R): Dr. Graham Whitelaw, Dr. John Andrew, Dr. Andrejs Skaburskis, Dr. Dave Gordon
Fourth Row (L to R): Carolyn Skoworodko, Ms. Jo-Anne Rudachuk, Nick Michael, Nigel Terpstra, Ms. Angie Balesdent, Matthew Ippersiel, Johannes Bendle, Arthur Lo, Sharlad Sukumaran, Julia Cziraky, Anthony Hommik, Andrea Renney
Third Row (L to R): Sarah Bingham, Kevin Jarus, Anita Sott, Anya Paskovic, Marisa Talarico, Tara Spears, Christina Hovey, Laura Chris
Second Row (L to R): Carl Funk, Michelle Nicholson, Jennifer Wood, Anna Froehlich, Dr. John Meligrana, Megan Jones, Simona Rasanu, Brittany Hasler, Kyle Gonyou
First Row (L to R): Korey Walker, Eric Miles, Kris Nelson, Ali Ikram, Chris Callahan, Dr. Patricia Collins, Dr. Leela Viswanathan, Amy Doyle, Youko Leclerc-Desjardins, Jen Gawor
Photo courtesy of Carly Marshall and Anya Paskovic
GRADUATING CLASS GIFT
The Class of 2012 would like to thank the Class of 2013 for their generous dedication of a red oak tree in Victoria Park. It’s a lasting gift in one of Kingston’s most treasured green spaces close to Queen’s campus.
INTERNATIONAL EXCHANGES
Fall 2011: Claire Boland and Dylan Stokes were visiting undergraduate students from the University of Western Australia (UWA). Claire Lindsay was a visiting graduate student from the University of Otago, New Zealand.
Winter 2012: Sarah Bingham, SURP student, went on an exchange to the University of Western Australia.
In 2012, we expect to send three or four SURP students to Otago and UWA and we expect two students to come here from Otago.
ALUMNI NEWS
Denise Baker ('00) will be working for the firm of Townsend and Associates (Barristers and Solicitors) as of April 9, 2012.
Martin Barakengera ('01) and Christine Barakengera would like to announce the arrival of their new baby girl Sonia Barakengera on April 3rd, 2012.
David Fitzpatrick ('08) has recently moved back to Ontario from Vancouver to pursue working with DIALOG.
Carl Isaac ('11) and his wife Tamara have sent a beautiful photo of their darling daughter, Cara Marie Isaac, who will turn one year old on June 22nd, 2012.
Emma Kozak ('00) and Adrian Kozak would like to announce the arrival of their new daughter, Isabel Kate Kozak, born on September 21st, 2011.
Ute Maya-Giambattista ('01) has recently been featured in the Ontario Provincial Planning Institute (OPPI) Journal for being appointed Head of Urban Design at Sorensen Gravely Lowes (SGL) Planning Associates. The Urban Design division will focus on all issues related to urban design and physical planning, in addition to community visioning, site planning and intensification studies.
Mark Reade ('98) and Stacey English welcomed Greyson Thomas Reade (weighing in at 3.53 kg) on May 21st, 2011. Mark, Stacey, and Greyson are all doing fine. After 12 years in planning and engineering consulting, Mark joined the City of Saint John as a Senior Planner in February 2010, and was part of the team that developed the City’s new Municipal Plan, PlanSJ. Mark is currently the Project Manager for the City’s Zoning By-law Review.
A number of SURP graduates have gone on to successful academic careers. Three of these grads are now with the Department of Geography at Brock University: Chris Fullerton ('97) received tenure and promotion in 2009. Phillip Mackintosh ('96) has recently been promoted to chair of the Department of Geography at Brock University, starting July 1st, 2012. He is also the author of a historical planning paper forthcoming in the Annals of the Association of America Geographers entitled “Co-agent of the millennium’: City planning and Christian eschatology in North American City”. Catherine Jean Nash ('95) received tenure and promotion in 2007.
Two SURP grads are now working at the Ryerson University School of Urban and Regional Planning: Pamela Robinson ('94) was tenured and promoted in 2009 and Raktim Mitra ('07) has recently accepted a tenure-track appointment. Raktim will be teaching transportation to graduate and undergraduate students, as well as conducting their required quantitative methods course.
Raktim is also proud to announce the birth of daughter Roopkothha, born on September 28th, 2011.
At the University of Waterloo School of Planning, John Lewis ('96) earned tenure and promotion in 2010 and Markus Moos ('06) is now in his second year of a tenure-track appointment.
**FACULTY NEWS**
Ajay Agarwal taught four full courses and part of one course in 2011. He developed a new interdisciplinary planning and civil engineering course — SURP-884 Functional Planning: Urban Transportation. He also did significant outreach work to solicit a client for an international project course to be offered in India in the fall of 2012. Eleven SURP students have expressed interest in accompanying Ajay to work on a sustainable development strategy for Auroville located near Pondicherry in southern India. The project is being partially funded by the Shastri Indo-Canadian Institute.
John Andrew taught SURP-841 Real Estate Decision Making and Commerce-309 Real Estate Management and continued to run SURP’s student internship program in 2011. This summer he will begin work on his component of a collaborative research project based at Queen’s School of Business’ Monieson Centre, entitled “Research Partnerships to Revitalize Rural Communities”, funded by a $239,000 SSHRC Partnership Development Grant.
John spent much of his time in 2011 launching and growing the new Queen’s Real Estate Roundtable, founded in 2010, a unique industry organization focused on applied research and professional development for commercial real estate companies in Canada. This involved recruiting new member companies, developing the organization and planning future events. John continued to run Queen’s University’s Executive Seminars on Corporate and Investment Real Estate (ESCIRe), founded in 2004. ESCIRe offered successful and well-attended seminars in May 2011 and February 2012 in Toronto. The 2011 seminar was entitled “Recovery, Returns, Reality and Risk: Commercial Real Estate Investment and Operation in 2011” while the February 2012 seminar was entitled “Real Estate Capital Markets in Canada and the United States: Equity, Debt and Cross-Border Flows”. John is well-recognized by the media and industry as a real estate expert. For example, his quotations and appearances in national and local newspapers, radio and television counted in the hundreds in 2011. He spent much time promoting in the news the Queen’s brand in general, and the Real Estate Roundtable and ESCIRe specifically.
Finally, John provides facilitation and mediation services to several private and government clients, and continues his long affiliation with the Mediation Centre of Southeastern Ontario as a course instructor and roster mediator.
In 2011, Carl Bray was welcomed as a SURP Visiting Scholar and assisted John Meligrana in planning for the China X’ian project. In his consultancy business, Carl prepared plans for the Kingston Psychiatric Hospital property, the Old Sydenham Heritage Area and the urban design plan for Upper Princess Street/Williamsville, expanding on work completed in the 2009 SURP-848 Community Design course.
Patricia Collins commenced three research project collaborations in 2011 in her first year at SURP. First, she is working with researchers from KFL&A Public Health on analysis and dissemination of results from a survey on active transportation patterns among Kingston residents. She is also collaborating with Jim Dunn from McMaster University on designing a study that will employ a ‘natural experiment’ approach to test the effects of relocating to a neighbourhood of different walkability status on
physical activity patterns. The third project involves working with her SURP colleague, Ajay Agarwal, on a project examining the links between commuting patterns and mental health outcomes among the Canadian population.
In spite of his significant administrative duties as SURP Director, in 2011 David Gordon taught one course, SURP-840 Land Use Planning, one module and parts of four other courses; led field trips to Toronto, Montreal and Ottawa; and supervised 18 graduate students, including a post-doctoral student, and five research assistants. He developed partnerships with three community agencies to deliver project courses – the City of Kingston, the City of Ottawa and the Social Planning Council of Kingston and District. Dave participated in research conferences in Canada and around the world, and continued with his duties as coordinator for the National Executive Forum on Public Property. He is currently in the process of finalizing work supported by a SSHRC research grant on Canadian suburbs.
Professor Emeritus Hok-Lin Leung continued his biannual lecture tours in China (spring and autumn). In 2011 the tours were centred in Shanghai (based at Tongji University, where he was appointed Guest Professor) and Beijing (based at the China Academy of Urban Planning and Design). The third annual Planning Theory Festival was held in Beijing, March 3-6, 2011, with speakers from hydraulic engineering, stem cell research, chemical engineering (coal) and sculpture theory. Participants came from all over China. The idea was to stimulate the development of theory through the use of metaphors, analogies and associations drawn from theoretical and practical insights of other disciplines.
Hok-Lin completed his book draft entitled *Cultural DNA of Western Civilisation*, to be published by The Joint Publishing Company, the largest publishing house in China. It is expected to come out in late 2012. The training of senior officials and Party cadres on public policy planning methods continued at the Development Research Center, State Council and the China Executive Leadership Academy, Pudong. He was also appointed Director of the Research Institute on Policy Effectiveness (RIPE) of the Central University of Finance and Economics, which was built around his book *Towards a Subjective Approach to Policy Planning and Evaluation: Common-Sense Structured*, first published in Canada in 1986 and translated and published in China in 2010. In Canada, he continued to convene the Ambassadors' Forum which he created in 2003, with three sessions held in 2011.
In 2011 John Meligrana taught one module: SURP-800 Research Proposal and the core course SURP-815 Legal and Governmental Processes (both the winter and fall semesters). He also organized and led a group of nine SURP students to Shanghai, China for a two-week intensive field trip as part of SURP’s new International Project Course between December 8th and 22nd. Tour activities included field trips to environmental planning demonstration projects, meeting with NGOs, government agencies, professional planning firms and academic institutions. Students prepared a detailed report submitted to both China’s Ministry of Land and Resources and the Shanghai Office of the World Wildlife Fund. Students also delivered three separate presentations at Fudan University, Tongji University and Soochow University. Student activities were highlighted on the Shanghai Municipal Government website: http://planning.pudong.gov.cn/Page/Detail.aspx?id=4826.
John also published his research findings on land use disputes in China in the journal *Environment and Urbanization*. During the summer, John organized a two-week intensive training program in land use planning for approximately 50 government officials from China’s Ministry of Land and Resources. The training included 14 presentations by experts from Queen’s University, Government of Ontario, Federal Government, the private sector and three field trips: 1) Canadian Wollastonite Mining Operations, 2) Toronto Stock Exchange and 3) Village of Sydenham and South Frontenac Township Government Offices and area. On a personal note, John is proud to announce that his 18-month old son is now attending Queen’s University – the day care program!
Professor Emeritus Mohammed Qadeer taught SURP-810 Special Topic (Planning for Multiculturism) both in the fall term 2010 and 2011. He also has a new book on multiculturism underway. Our congratulations and thanks go out to
Qadeer who has now taught at SURP for 40 continuous years, which he says speaks as much to the continuity of the School as it does of his longevity!
In 2011, **Preston Schiller** was again welcomed as a Visiting Scholar at SURP. His book, *An Introduction to Sustainable Transportation: Policy, Planning and Implementation*, has been widely and favourably reviewed.
**Andrejs Skaburskis** taught four courses and part of one course in 2011. He taught SURP-842 Economics of Land Development and Planning and SURP-874 Housing Policy, as well as a significant part of SURP-819 Quantitative Methods. He supervised six students and continued his SSHRC-sponsored research on neighbourhood transitions. Andrejs continued as the Managing Editor of *Urban Studies* and sat on the Editorial Advisory Boards of *J of Architectural and Planning Research*, *Housing Studies* and *Open J of Urban Studies*. He is currently preparing an appeal to Canada’s Supreme Court on an environmental damages claim.
As well as teaching as a SURP adjunct faculty member and supervising two student master’s reports in 2011, **Patricia Streich** carried out numerous evaluation and research projects in her private consulting practice and contributed in various voluntary roles to the following local housing and poverty initiatives: Member of Housing Action Group, Community Committee for Affordable Housing; Advisor to Kingston Community Roundtable on Poverty Reduction; and Queen’s Alumni Association Kingston Branch, Member of Executive Committee.
In winter 2011, **Leela Viswanathan** taught SURP-812 Qualitative Methods in Planning and SURP-871 Social Planning, which was delivered using a model of community service learning. In fall 2011, Leela taught in both the Geography Department and at SURP. She taught GPHY-338 Urban Political Geography to third-and fourth-year undergraduate students as well as SURP-817 An Intellectual History of Urban and Regional Planning, with David Gordon; SURP-800, a module in which students prepare their Master’s Report or Thesis proposals; and SURP-823 Housing and Human Services Project Course, with Patricia Collins, and David Jackson from the Social Planning Council of Kingston and District.
Students in SURP-823 Housing and Human Services Project Course developed a tool-kit geared to businesses and various municipal and community leaders interested in implementing a model for a social enterprise in Kingston. During winter 2012, Leela developed and taught a new course, SURP-870 Program Development for Human Services. She also supervised two students conducting community practice through the course SURP-875. She was an invited guest lecturer in the Occupational Therapy program at Queen’s and a panelist at the Centre for Teaching and Learning Workshop: “Growing Community Service Learning: From Ideas to Practice” in Kingston and at Queen’s, held in October 2011. In April 2011, Leela received the **2011 Steven Cutway Accessibility Award** for promoting access for students with disabilities at Queen’s.
In 2011, **Graham Whitelaw** taught three full courses and parts of three courses - three in SURP and three in Environmental Studies. At SURP, he taught SURP-856 Environmental Assessment during the winter of 2011 and SURP-825 Environmental Services project course with David Gordon, Daniel Shipp and Julie Salter-Keane. He was also busy supervising (or co-supervising) the research of 15 Masters students and two undergraduate students. Graham is Co-Chair of the Queen’s Sustainable Development Group developing a research program on climate change adaption and urban planning. In 2011, he received five SSHRC grants, either as a collaborator or co-applicant, to continue his research in First Nations and environmental planning.
FACULTY CONGRATULATIONS
Congratulations to Dr. Andrejs Skaburskis! In its March 2012 Report on Business, *The Globe and Mail* cites him among Canada's top three researchers in the field of Urban Design / Planning. We are all proud to have such a prominent researcher in our field as our colleague, teacher and friend.
Congratulations to Dr. Ajay Agarwal and Dr. Leela Viswanathan whose applications for renewal of appointment were both successful for another three years.
SUPPORT STAFF NEWS
Jo-Anne Rudachuk was delighted by the arrival of her second grandbaby, Alexis Patricia Daum, on January 24th, 2012 in Kingston. Jo-Anne and her grandson, Aiden (now 3 years old), waited patiently at home for the news from her daughter, Melissa, and her son-in-law, Tim. Family is doing well.
Canadian Cancer Society. Jo-Anne has already organized fundraising events in Kingston in support of Relay for Life Kingston and is participating in the Relay on June 1st in honour of Sue Hendler. Donations to her team are welcome through the Canadian Cancer Society website.
Angie Balesdent and her husband Dana celebrated with joy the marriage of their son Dana Jr. to his beautiful bride Melissa last August. A lovely wedding ceremony took place in Barriefield Gardens followed by a dinner and cruise with family and friends on the Island Queen.
Last September Angie and Dana donated a full-sized fridge to the School and we are pleased to report it is being well-used by the SURP Community.
SURP INTERNSHIP PROGRAM
The economic downturn seemed to finally catch up to the SURP internship program in Summer 2011. Several of our “veteran” employers were forced to impose temporary hiring freezes, requiring considerable effort to replace these positions with new employers. The recent turnover of employers has been considerably higher than over the longer term. Nevertheless, there was a total of 31 internship positions available, compared to the 33 students moving from first to second year in the program. Four of these positions were secured by graduating students, such that 27 of the 33 returning students were placed in internships.
Fortunately, the positive trend of more students securing for their own positions is continuing, especially in their home cities outside of Ontario. Often this yields some of the best employment opportunities, ones that often become sustaining positions for subsequent SURP students. There were 10 such positions this year.
We greatly appreciate the important role played by SURP alumni/ae who hire our intelligent and hard-working students. If you or a colleague may be in a position to bring one of our finest into your organization, please contact our internship coordinator, Dr. John Andrew at 613-533-6000 ext. 75756 or firstname.lastname@example.org.
2011-2012 EVENTS
Sustainable Transportation Principles and Planning Practices
Todd Litman, Executive Director, Victoria Transport Policy Institute
The Principles of Universal Design: Achieving Social Equity, Environmental Sustainability and Economic Viability through People-Centred Design
Howard Gerry, Associate Professor, OCAD University
Optimal Matching Analysis of Social Processes and Evaluation of Public Policy
Dr. Clarke Wilson ('73), SURP Instructor
SURP International Experience Award Presentations
Kevin Jarus and Kieran Miller ('11)
Planning for Food and Farming: Myths and Opportunities
Margaret Walton ('80), MCIP, RPP, Partner, Planscape
Vibrant and Healthy Cities for All
Gil Penalosa, Executive Director, 8-80 Cities
Adaptive Reuse of a Community Asset – Risk vs. Reward
Toby Abramsky, VP, Keystone Property Management
Professional Planners Panel
A panel of planning professionals offered advice for SURP students entering the workforce, including: David Fitzpatrick ('08), Urban Planner, DIALOG; Maureen McLeod ('06), Advisor, Metrolinx; Dan Minkin ('08) Environmental Resources Planner and Environmental Assessment Coordinator, Ontario Ministry of the Environment; Michael Nowlan ('01), Real Property Policy and Information Manager, Natural Resources Canada; Pamela Sweet ('76), Vice President and Principal, FoTenn Planning and Urban Design Consultants; and Melissa Walker ('06), Project Manager, Kilmer Brownfield Equity Fund
Canadian Institute of Planners WorldLink International Internship Program for Planners Presentation
Claire van Koughnett ('11), Community Engagement Planner, Guyana Central Housing and Planning Authority
Sustainable Development 101 and the Challenges of Green Development
Scott Demark, CEO, BuildGreen Solutions
Healthy Communities Planning in Practice
Sari Liem ('02), Associate at Dillon Consulting Ltd.
QUEEN’S GRADUATE ASSOCIATION OF PLANNING STUDENTS
In 2011, SURP students established the Queen’s Graduate Association of Planning Students (QGAPS) to represent the collective will of students. QGAPS communicates on the variety of activities and associations in which students serve and promotes the activities of its members. It is fully funded by its student members through an annual levy of $20.
SURP Student Life
By Shwaan Hutton, VP Student Life
As always, Robert Sutherland Hall’s fifth floor has been extremely busy – and not just with coursework. The SURP Social Committee kicked off the new year by hosting a well-attended screening of Gary Hustwit’s documentary ‘Urbanized’ (2011). Snacks were enjoyed and students gave the film two thumbs way up!
On February 10th, students cheered for the Kingston Frontenacs at the K-Rock Centre while the Fronts played their arch rivals the Belleville Bulls.
On February 15th, students came together at the Market Square Ice Rink for an organized evening of skating and triple axels.
Hands down the most successful social event of the semester was the March 1st in-house trivia night. SURP Director Dave Gordon joined in for the fun as groups competed for bragging rights and a chance to win Tim Horton’s gift cards.
This year, the annual year-end party was held on April 13th at Kingston’s oldest surviving church structure on Queen Street, beautifully transformed into the ‘Renaissance’ event venue. Students, staff and guests celebrated another successful year, reflected on our time at SURP with a picture slideshow and announced the winner of our ‘O-week 2012’ T-Shirt design contest. The class of 2012 will be sorely missed, however, the Social Committee looks forward to September for yet another year of memorable events!
EXECUTIVE SEMINARS ON CORPORATE AND INVESTMENT REAL ESTATE
With a greater emphasis on membership recruitment and planning events for the Queen’s Real Estate Roundtable, only one ESCIRE seminar was held in 2011. The seminar, entitled “Recovery, Returns, Reality and Risk: Commercial Real Estate Investment and Operation in 2011”, was held in Toronto in May. This successful and well-attended seminar featured 21 senior executives speaking on four panels covering retail, hotel, industrial and seniors’ housing real estate. A keynote address by Jim Leech, head of the Ontario Teachers’ Pension Plan was a highlight of the day. Another successful seminar was held in Toronto on February 1, 2012, entitled “Real Estate Capital Markets in Canada and the United States: Equity, Debt and Cross-Border Flows. The next seminar is scheduled for June 6, 2012 in Toronto on the topic “Seeking Growth, Seeking Yield: Finding the Best Real Estate Investment Opportunities in Canada”; another seminar is planned for fall 2012. ESCIRE seminars are capped at 100 paying registrants in order to ensure their high quality and interactivity.
The series continues to receive very favourable feedback from clients regarding the choice of seminar themes, the design of the four panel sessions that constitute each seminar, and the high caliber of the speakers and moderators that we engage. In addition to the commercial success of the seminar series, since its creation in 2004 it has gradually built up the reputation of Queen’s as a well-respected provider of executive development events to the commercial real estate sector. In addition to revenue, ancillary benefits to SURP continue to be guest speakers for real estate courses, scholarship funds for students, jobs for graduates and research funds for faculty. ESCIRE has been run since its inception by Dr. John Andrew.
QUEEN’S REAL ESTATE ROUNDTABLE
The Queen’s Real Estate Roundtable is a national, not-for-profit organization that brings together senior executives from a variety of companies within the commercial real estate sector for the purposes of advancing and sharing best practices in the industry and discussing issues of common interest. Founded in late 2010, the Roundtable’s focus is on applied research, executive development and senior executive networking. It is based on a maximum membership of 25 of the leading companies within the commercial real estate sector in Canada. The Roundtable is based at Queen’s University, but member companies play a significant role in the governance of the organization. The Roundtable builds on the strong reputation and success of the Queen’s University’s Executive Seminars on Corporate and Investment Real Estate (ESCIRE), established in 2004. The Roundtable is run by Dr. John Andrew.
NATIONAL EXECUTIVE FORUM ON PUBLIC PROPERTY
The National Executive Forum on Public Property, founded by SURP and interested government organizations in 1998, is a networking organization for executives responsible for managing public property. The Forum, in its 14th successful year of operation, ended 2011 with 25 government Member organizations from all levels of government, eight Associate Members, three Academic Advisors and two Forum Advisors. The Forum has recently introduced an International Associates class of membership currently comprised of five Associates. Dr. David Gordon continues as the Faculty Coordinator, Cathie Macdonald as the Convenor and Connie Brobeck as the Assistant Convenor. Funded by members and symposia fees, the Forum continues to be financially strong.
Forum Events — The Fall Members’ Retreat, held in Montreal, October 27-30, 2011, saw productive discussions on current trends, including the state of
P3s, competitive dialogue, outsourcing and changes in governance. The Retreat also saw further development of the benchmarking program, as well as discussion of parameters around customer service questionnaires. In addition, Forum planning discussions covered the Research and Information program, themes for the Vancouver Symposium, and future opportunities for the Forum.
The Forum’s 2012 National Symposium, “Tools for Successful Strategic Portfolio Management Today”, was held in Vancouver, May 10-11, 2012. This event was an opportunity to share knowledge and experience of tools for successful strategic portfolio management to meet governments’ often conflicting objectives in today’s context of fiscal constraint – objectives that range from the provision of space needed for cost effective service delivery to broader public objectives of economic development, heritage protection and environmental sustainability.
Research and Information Program — The 2011 Research and Information program focussed mainly on the development of the Forum’s benchmarking program but also saw the collection of Members’ profiles. The Members-Only section of the Forum’s web site posted all reports and survey results, as well as background information about the Retreat discussion topics. Two newsletters were distributed to Members and posted on the Members-Only section of the website, the first using summaries of discussions at the Symposium’s Members’ Day Meeting and the second, with information from the Retreat. The Forum’s web site, www.publicpropertyforum.ca, continues to post presentations from the various Forum events.
Internships for SURP students—In 2011, nine SURP students were placed in internships with six Forum Members during the summer term between the first and second year of the Master of Urban and Regional Planning Program.
CHINA PROJECTS NEWS
In addition to SURP’s inaugural international project course in Shanghai, China profiled on the cover page of this newsletter, 2011 was a busy and productive year for its China Projects. A brief summary of each project is provided below:
Training for Officials from China’s Ministry of Land and Resources — During the summer, SURP organized a two-week intensive training program in land use planning for 50 government officials from China’s Ministry of Land and Resources. The training included 14 presentations from experts from Queen’s University, Government of Ontario, Federal Government, the private sector and three field trips.
Chinese Government Officials Internship Program—In 2011, five officials from the Ministry of Land and Resources spent four months in an internship placement with various Ontario Government agencies. This extended internship program is coordinated by SURP to provide Chinese government officials in-depth training and exposure to how provincial and municipal government departments are involved in various aspects of land and resource development.
Canadian Delegation to Beijing - SURP was the liaison institution helping to coordinate the visit of a delegation of Canadian experts to China at the invitation of the Ministry of Land and Resources. The Ministry of Land and Resources of the People’s Republic of China is providing an opportunity to Canadian experts who have been helping in the training of Chinese officials/interns at Queen’s University to participate in a study tour of China. The purpose of the study tour was to give the Canadian experts a closer and more intimate look at the situations and needs in China, so that they can better tailor the Canadian expertise and experiences that will be most appropriate for their Chinese colleagues. The study tour with the five Canadian delegates took place between May 16th and May 22nd, 2011, and involved meetings, field trips and presentations in both Beijing and Shanghai. In June 2012, SURP will be organizing its annual training session (now in its 16th year) for a delegation of 40 officials from China’s Ministry of Land and Resources. Training will include lectures, fields trips and roundtable discussions.
China Visiting Scholars to SURP - In 2011 there was a steady stream of scholars from China visiting SURP. These included Wavelet HSU, Joint PhD Candidate, Centre for Recreation and Tourism Research and School of Urban and Regional Planning, Peking University; Xiaolin Kang, PhD Candidate, School of Public Policy and Management, Tsinghua University, Beijing, China; Jinfeng Ding, China Executive Leadership Academy, Pudong, Shanghai, China; Shuaibang Fan, Visiting Scholar, Tsinghua University, Beijing, China; and Xiaobo Xu, Visiting Scholar, Peking University. The visiting scholars’ stay at SURP ranged from 3 to 12 months. They added a great deal to SURP’s intellectual diversity and enriched the program for our faculty and students.
Student Summer Internships in Beijing -
Congratulations to first-year SURP students Morgan Alger and Marika Atfield who have been accepted into the China Internship program sponsored by China’s Ministry of Land and Resources. During the Spring/Summer semester, Morgan will be spending a few months working for the China Academy of Land and Resources Economics, while Marika will be working for the China Land and Surveying and Planning Institute in Beijing.
AMBASSADORS’ FORUM
Started in 2003, the Forum brings together the Heads of Missions to Canada from 20 Asia-Pacific countries. It is funded by the office of the Vice-Provost (International) and the Office of Research Services. In 2010 and 2011, the following sessions were organized: “Reforming the World’s Financial System: Rules Versus Principles” (June 2010), “Managing the Oceans: The Canadian Experience” (September 2010), “Declinism and America’s Future in East Asia” (December 2010), "Canada and Asia: Building an Economically Strong and Mutually Respectful Neighbourhood" (June 2011) and "Making Parliament Work: From the Speaker's Chair" (September 2011). As is our tradition, the June session was held in Kingston with the Queen’s Principal hosting a luncheon. The other sessions were held in Ottawa.
Professors John Andrew and Hok-Lin Leung meet with Her Excellency Dienne Hardianti Moehario, Ambassador Extraordinary and Plenipotentiary of the Republic of Indonesia (above), and private sector real estate executives at a joint Queen’s Real Estate Roundtable / Ambassador’s Forum luncheon on foreign investment in Indonesia in January 2012 in Ottawa.
Photos courtesy of Dr. John Andrew
SURP AT THE OPPI CONFERENCE IN OTTAWA
By Will Robinson-Mushkat and Simona Rasanu
The 2011 Ontario Professional Planners Institute’s Annual Conference was held this past October in Ottawa at the brand new Ottawa Convention Centre, and SURP students made their presence known! Held between October 12th–14th, the theme of the conference was “25 Years and Counting: Tackling the Biggest Challenges to Planning and the Profession”. The yearly event was very well attended by first- and second-year SURP students alike.
The majority of the action occurred on the final day of the conference—Student’s Day. Second-year SURP students Sarah Bingham, Michelle Nicholson and Simona Rasanu created a presentation entitled “Gordon Stephenson: Lessons from the Past” for the Alternative Media Café on the globally influential urban renewal work of Anglo-Australian civic designer Gordon Stephenson. His *Planning Study of Kingston, Ontario*, developed in collaboration with George Muirhead, celebrated its 50th anniversary in 2010. To commemorate this event, SURP students prepared a special exhibition at Kingston City Hall and Douglas Library, along with a monograph entitled “Global Plans, Local Influences”. Student’s Day also provided an opportunity to have a glimpse at many of the exciting urban planning projects that are currently underway. Students had the opportunity to attend presentations that related to their specific interests in the field of planning. While enjoying a delicious lunch, the attendees of the conference were treated to an address by the noted futurist Richard Worzel. Following the concluding remarks, students were given a unique opportunity to have an informal Q&A with a number of planners from Ontario and beyond.
The day concluded with an extended happy hour at a charming British pub in the heart of our nation’s capital. The whole day was great for students because they were afforded an opportunity to network with hundreds of urban planners and get a real taste of the profession. Here’s looking forward to the 2012 OPPI conference being held in beautiful Markham on September 20th and 21st!
Sarah Bingham (foreground) and Michelle Nicholson (background) at the OPPI Alternative Media Café in October 2011. Photo courtesy of Sarah Bingham and OPPI
SURP AT THE ICSC CONFERENCE IN TORONTO
By Kyle Gonyou
On October 20th, 2011, Dr. John Andrew accompanied students Hossein Danesh, Shwaan Hutton, Mike Dror, Michael Lee and Kyle Gonyou at the International Council of Shopping Centers (ICSC) Canadian Convention in Toronto. Students heard an engaging luncheon keynote address by John Griffith, Target Executive Vice President of Property Development, which discussed the company’s planned expansion into Canada. Students also networked with professionals, including David Fitzpatrick ('08) and Stewart Fraser ('08).
Students at the ICSC conference: accompanied by Dr. John Andrew (L to R): Hossein Danesh, Shwaan Hutton, Mike Dror, Mike Lee and Kyle Gonyou. Photo courtesy of Dr. John Andrew
SURP AT THE CAPS-ACÉAU CONFERENCE IN VANCOUVER
By Simona Rasanu
The Canadian Association of Planning Students (CAPS) Conference was held at Simon Fraser University’s downtown Vancouver campus and various locations across the city from February 2nd to 4th, 2012. The CAPS Conference is an annual national affair and provides an excellent opportunity for students from planning schools across the country to highlight their work and meet each other.
The theme of this year’s conference was “Planning Horizons: The Edge, Future, and Potential of Planning”. Students enjoyed the tours, professional development workshops and presentations highlighting planning innovations from the West Coast and across Canada.
On the second day of the conference SURP’s Anya Paskovic and Sarah Bingham gave a presentation on their land use project course design proposal for a major interchange of the proposed Ottawa light rail transit system entitled “Hurdman Station Area Redevelopment Plan”. The design concept applies transit-oriented development (TOD) and site-specific best practices to overcome many natural and physical barriers to development. The students were particularly inspired by the presentation of one of the keynote speakers, Larry Beasley, the retired Director of Planning for the City of Vancouver and now the “Distinguished Practice Professor of Planning” at UBC and founding principal of Beasley and Associates, an international planning consultancy. He highlighted how Vancouver’s attention to planning and design details, particularly its sidewalks, streets and public spaces, is responsible for its international planning reputation.
The last day of the conference featured a presentation by two members of the social project course team, Jennifer Gawor and Megan Jones, called “Toolkit for Social Enterprise and Innovation: A Primer for Social Entrepreneurs”. The purpose of the Toolkit is to act as a ‘one-stop-shop’ and primer for Kingston and area social entrepreneurs to implement their ideas and innovations to benefit the community. Following the conference events, students enjoyed Vancouver’s beautiful sights and sounds, including the redeveloped Woodward’s Building and Southeast False Creek.
The Simon Fraser University School of Resource and Environmental Management is to be congratulated for organizing and hosting an amazing conference, especially since students took on hosting duties for the first time. We can’t wait to hear where next year’s conference will be located!
MONTREAL AND TORONTO FIELD TRIPS
By Will Robinson-Mushkat
One of the best traditions at SURP, made possible by Kingston’s convenient location, is the field trips to Montréal and Toronto for first-year SURP students. Led by Dr. David Gordon, these trips offer incoming students the chance to observe and experience Canada’s two largest cities through the lens of an urban planner, while making fast friendships and connections with fellow classmates.
The first field trip this past school year took place over Halloween weekend. Dave took a bus filled with SURP students to Montréal, Québec. The first stop was at Benny Farm in the famed Notre-Dame-de-Grâce district. Originally developed in the late 1940s by the Government of Canada for veterans returning from the Second World War, Benny Farm was redeveloped beginning in 1997 by the Canada Lands Company. This redevelopment project focused on converting buildings and space to suit the needs of aging veterans, as well as constructing additional apartment buildings for new residents. After checking into a hotel, students were led on an excellent tour of downtown Montréal by McGill professor Nic Luca. This was followed by a group dinner, socializing and a sample of the famed Montréal nightlife. The next day we headed to beautiful Parc du Mont Royale, designed by Fredrick Law Olmstead; SURP students meandered through
the park to the famed Kondiaronk Belvedere. On the way back to Kingston, a visit was made to Bois Franc, a fine example of “New Urbanism” found in the suburbs of Montréal.
The second field trip was to Toronto for a jam-packed day in mid-November. Students toured the suburban neighbourhood of Don Mills designed by Macklin Hancock. This visit allowed students an opportunity to experience a community based around many of the neighbourhood unit principles covered in the core courses being undertaken at the time of the site visit. After Don Mills, students ventured into the heart of Toronto to visit notable developments, including St. Lawrence, the Distillery District and Regent Park. This latter site visit was of particular importance as the neighbourhood is currently undergoing a major revitalization and it provided students a first-hand opportunity to see urban revitalization and social melding. This was followed by a tour of downtown Toronto and a group supper.
The field trips that SURP and especially Director Dave Gordon offer are a really unique and special opportunity for students. They provide a first-person glimpse into many notable urban planning projects that have occurred in Canada’s largest cities. This provides a direct link between what we study in class and examples in the field. Aside from the educational and academic merits of these trips, they are a great way for new students at SURP to get to know one another and have some fun as a group. Cheers to Dave for taking us on these trips and enlightening us with his planning expertise and humour!
SURP PROJECTS IN THE COMMUNITY
SURP-823 Housing and Human Services (Fall 2011)
A team of six students worked as student consultants for David Jackson of the Social Planning Council of Kingston and District to create a “Social Enterprise and Innovation Toolkit – A Primer for Establishing a Social Enterprise”. Academic direction was provided by Drs. Patricia Collins and Leela Viswanathan. This toolkit is a comprehensive resource for both aspiring and existing social entrepreneurs within the Kingston area. It includes information on a variety of topics including how to get started, feasibility study creation, social business planning, implementation techniques and monitoring and evaluation. The students recommended that the Council formally adopt the document and post it on their website. The toolkit would then be adopted by the City of Kingston, surrounding municipalities and organizations and available for use by entrepreneurs in early 2012. The students were honoured to work with the Social Planning Council and develop a resource that can potentially contribute to Kingston’s economy. The concept of a social enterprise toolkit is relatively new to Canada and is capable of providing a template for other communities across the country.
SURP-823 Housing and Human Services Project Course Team Fall 2011
Back row (L to R): Megan Jones, Claire Lindsay, Jennifer Gawor, Mr. David Jackson (Social Planning Council of Kingston and District) and Dr. Leela Viswanathan (SURP)
Front row: Fran Wiles, Amy Doyle, Jennifer Wood
Photo courtesy of Dr. Leela Viswanathan
SURP-825: Environmental Services Project Course (Fall 2011)
Under the academic supervision of Professors David Gordon and Graham Whitelaw, the course team partnered with the City of Kingston led by two staff, Julie Salter-Keane, Accessibility Compliance Project Manager, and Daniel Shipp, Sustainable Initiatives Coordinator, to produce a set of sustainable best practices for potential implementation in Kingston. The overarching aim of the project, “Sustainable Kingston: Best Practices and Policy Recommendations”, was to build upon the existing work of FOCUS Kingston and provide the background, framework and rationale to support the vision: “Kingston - Canada’s Most Sustainable City.”
The project team created a set of 15 best practices and policy recommendations that would build on the *Sustainable Kingston Plan* and four pillars of sustainability - economic, social, cultural, and environmental sustainability. An additional goal was to create policies that would endorse physical and mental health, support changing demographics and encourage diversity in Kingston.
While the 15 best practices profiled did not focus solely on the built environment, they were all indirectly related to a city’s built form. The community programs and initiatives aimed to bring vitality to a centralized downtown core. The environmental services, in encouraging a reduction in energy use, promoted high-density, compact and efficient buildings, streetscapes and city services. The transportation policies centered on endorsing active transportation modes, which inherently require a compact or well-connected built form. The objective was to leverage Kingston’s existing advantages, such as its high-density, heritage-rich downtown core, and provide a comprehensive set of best practices and policies that would continue to promote a healthy, diverse and integrated community.
Kingston Centre site plan showing a vision for a complete neighbourhood that reconnects the city’s traditional past with its innovative future. Some highlights are the large central public square, the stormwater management area and the landmark tower on the east end of the site. Photo courtesy of Jeremy Johnston
SURP-826: Land Use and Real Estate Development Project Course (Fall 2011)
In January 2010, Ottawa City Council approved a plan to convert portions of their existing Transitway from bus rapid transit to light rail transit (LRT). This LRT conversion is anticipated to stimulate land-use intensification and support transit-oriented development (TOD) in areas surrounding future stations. In anticipation of such intensification, ten graduate students led by City of Ottawa planner Cheryl Brouillard and academic advisors Drs. David Gordon and Ajay Agarwal, were requested to prepare a redevelopment plan for the area surrounding Hurdman Station, one of the future LRT stations. Hurdman Station is currently Ottawa’s busiest transit hub and land surrounding the station is primarily undeveloped, presenting the City with a significant opportunity to capitalize on transit infrastructure and meet growth management goals. The Redevelopment Plan offers three design concepts differentiated by the removal of constraints that currently affect the site, offering practical options for the City of Ottawa to implement as resources become available.
SURP-848: Community Design (Winter 2012)
The students proposed a redevelopment strategy for The Kingston Centre. The challenge was to redevelop the site as a pragmatic Transit Oriented Development. The class of 14 students was divided into three groups and each group developed a unique design solution. Final presentations were made to a panel of experts comprised of Ms. Sonya Bolton ('03), a senior planner from the City of Kingston; Dr. Carl Bray, an eminent heritage conservation and community design practitioner; Dr. David Gordon and Dr. John Meligrana from SURP. The panel considered all three proposals to be of high professional standards. The course was taught by Dr. Ajay Agarwal.
INTERNATIONAL EXPERIENCE AWARDS
Waterfront Development in Barcelona and Cadiz
By Ali Ikram
Having grown up in a city by the sea, I have always had an interest in the design of waterfronts. This interest was further developed during my internship in the Maritimes working for the City of Saint John. SURP’s International Experience Award gave me the ability to further study waterfront development models within an international context.
In February 2012 I spent a week in Spain studying the design of the waterfronts in Barcelona and Cadiz. Both these Mediterranean cities have thriving waterfronts that attract large numbers of tourists every year, but were developed using two very different models: Barcelona’s waterfront was developed as part of a large urban renewal project prior to the 1992 Barcelona Summer Olympics while Cadiz has maintained its rich maritime heritage by preserving its historic seawalls, forts, and cathedrals.
While Barcelona may have had a thriving port in the earlier part of the twentieth century, by the 1960’s existing facilities could no longer handle modern containerships, as a result of which decline set in. Like many other cities experiencing a decline in port activity around this time, Barcelona could not easily repurpose old industrial sites and warehouses. Nor could the waterfront, cutoff by a busy highway and other transportation infrastructure, be easily integrated into the urban fabric.
It would take a major catalyst, such as the coming of the Summer Olympics, to kick-start redevelopment along the waterfront. The old industrial port was transformed into a thriving urban waterfront with museums, restaurants, six man-made beaches, new cruise terminals, a grand hotel, artwork by Frank Gehry and Gaudi, and underground parking. Neighbouring areas that had long experienced decline suddenly became highly desirable residential areas as gentrification set in. While most of the Olympic facilities were located away from the waterfront on nearby Mountjui, the event served as an excuse for the port authorities to rally support and funds for the project.
On the other hand, Cadiz, located near the Rock of Gibraltar in the south of Spain, has been an important port since ancient times. The city was founded by the Phoenicians around 1100 BC. Greek mythology used it as the setting for Hercules’ tenth and final task. The city was the third most important in the Roman Empire at the time of Augustus. Many of Columbus’ expeditions also set sail from here, and the city became the home of the Spanish treasure fleet. History is thus a very important tourist attraction for the city, and Cadiz has strived to maintain its maritime heritage. The original seawalls still run around the city, and its historic maritime fortifications have undergone extensive renovations. However, the city’s waterfront is not simply frozen in time. The city has incorporated a modern port and has also built underground parking along and under the waterfront to alleviate congestion. Large sections of the waterfront are continuously being renovated without comprising the character of the city’s heritage.
Barcelona—an urban waterfront
Photo courtesy of Ali Ikram
Cadiz—historic seawalls wrap around the city
Photo courtesy of Ali Ikram
Winter Cities Planning Perspective:
Reykjavik, Iceland
By Kieran Miller ('11)
The Winter Cities movement began in Canada in the 1980s as an attempt to generate a climate-responsive northern urban form. Design elements address issues such as snow removal and storage, sunlight exposure, safety, wind and darkness in the built environment. Situated at latitude 64°08'N, Reykjavik, Iceland is a northern city. The average winter temperature is -15°C and the annual frequency of precipitation is 146 days per year. In September 2011, I travelled to Iceland to examine Winter Cities design elements in the capital city of Reykjavik.
Winter Cities design theory recognizes the need for better practical design and planning in northern cities. While in Reykjavik, I examined biking, walking, seating and lighting elements in the downtown and how they were adapted to the colder climate. Here are some of my observations:
Biking: Reykjavik has a network of bike trails around the city which are used by locals and tourists. Paths remain clear of snow during the winter and the number of people who ride year-round is increasing.
Walking: Pedestrian walkways are emphasized both visually and texturally using different coloured materials and paving techniques. Public squares are generally flat to make snow clearing easier.
Seating: Benches and seating are located throughout the downtown and utilized throughout the day and seasons. Many restaurants have outdoor seating and offer blankets to customers for extra warmth.
Lighting: Streets, squares and intersections are well-lit at night to encourage pedestrian activity and create a vibrant streetscape. Many restaurants and shops accent their entrances with gas or electric lights.
These design elements help residents and visitors in Reykjavik enjoy the city throughout the colder months. A large portion of Canada has a northern climate, and lessons learned in Reykjavik can be transferable to northern communities in our country. The winter months have a lot to offer, and their advantages and opportunities can be enhanced through careful design and planning.
Streetscape in downtown Reykjavik. Planters at the end of the street can be moved for snow clearing and other activities. Photo courtesy of by Kieran Miller
Outdoor seating in downtown Reykjavik, Iceland
Photo courtesy of Kieran Miller
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Centre Place in Melbourne, Australia
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Nanoparticles as multimodal photon transducers of ionizing radiation
Edwin C. Pratt
*Weill Cornell Medical College*
Travis M. Shaffer
*CUNY Hunter College*
Qize Zhang
*CUNY Hunter College*
Charles Michael Drain
*CUNY Hunter College*
Jan Grimm
*Weill Cornell Medical College*
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Nanoparticles as multimodal photon transducers of ionizing radiation
Edwin C. Pratt\textsuperscript{1,†}, Travis M. Shaffer\textsuperscript{2,3,5,6,7,†}, Qize Zhang\textsuperscript{3,5,6}, Charles Michael Drain\textsuperscript{5,6}, and Jan Grimm\textsuperscript{1,2,3,4,*}
\textsuperscript{1}Department of Pharmacology, Weill Cornell Medical College, New York, NY 10021, USA
\textsuperscript{2}Molecular Pharmacology Program, Memorial Sloan Kettering Cancer Center, New York, NY 10065, USA
\textsuperscript{3}Department of Radiology, Memorial Sloan Kettering Cancer Center, New York, NY 10065, USA
\textsuperscript{4}Department of Radiology, Weill Cornell Medical College, New York, NY 10021, USA
\textsuperscript{5}Department of Chemistry, Hunter College, City University of New York, New York, NY 10065, USA
\textsuperscript{6}Department of Chemistry, The Graduate Center of the City University of New York, New York, NY 10016, USA
\textsuperscript{7}Department of Radiology, Stanford University, Stanford, CA, 94305, USA
Abstract
In biomedical imaging, nanoparticles combined with radionuclides that generate Cerenkov luminescence are used in diagnostic imaging, photon-induced therapies, and as activatable probes. In these applications, the nanoparticle is often viewed as a carrier inert to ionizing radiation from the radionuclide. However, certain phenomena such as enhanced nanoparticle luminescence and generation of reactive oxygen species cannot be explained by only Cerenkov luminescence interactions with nanoparticles. Herein, we report methods to examine the mechanisms of nanoparticle excitation by radionuclides, including interactions with Cerenkov luminescence, $\beta$ particles, and $\gamma$ radiation. We demonstrate that $\beta$ scintillation contributes appreciably to excitation and reactivity in certain nanoparticle systems and that excitation of nanoparticles composed of large atomic number atoms by radionuclides generates X-rays, enabling multiplexed imaging through single photon emission computed tomography. These findings demonstrate practical optical imaging and therapy using radionuclides with emission energies below the Cerenkov threshold, thereby expanding the list of applicable radionuclides.
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*To whom correspondence should be addressed. email@example.com.
†Authors contributed equally to this work.
Author Contributions
E.C.P., T.M.S., and Q.Z. devised and carried out the experiments. E.C.P. and T.M.S. wrote the manuscript. J.G. and C.M.D. supervised the project and edited the manuscript. All authors contributed discussions on the project.
Ionizing radiation sources such as linear accelerators and more commonly radionuclides are often combined with nanoparticles (NPs) for medical applications\textsuperscript{1–5}. Radiolabelled NPs have found use in clinical\textsuperscript{6, 7} and preclinical sentinel lymph node imaging\textsuperscript{4, 8}, long-term NP integrity studies\textsuperscript{9}, and tumour imaging through active targeting and the enhanced permeability and retention mechanisms\textsuperscript{10, 11}. While radiolabelled NPs have been typically detected using single photon emission computed tomography (SPECT) or positron emission tomography (PET)\textsuperscript{12} there is increasing interest in utilizing Cerenkov luminescence (CL)\textsuperscript{13, 14}. CL is the visible blue-weighted light that emanates when a charged particle, such as a $\beta$ particle, travels faster than the phase velocity of light in a particular medium. Since first shown in preclinical in vivo systems in 2009\textsuperscript{15}, Cerenkov luminescence imaging (CLI) is being rapidly translated to the clinic\textsuperscript{16–21}.
Imaging and therapeutic applications using ionizing radiation combined with NPs have generally neglected direct interactions between the ionizing radiation and the NP. Research has focused on CL generated in the medium interacting with fluorescent NPs such as quantum dots for secondary Cerenkov-induced fluorescence imaging (SCIF)\textsuperscript{22}. CL research has extended into TiO$_2$ NP-based photodynamic therapy (PDT) with both radionuclides\textsuperscript{3} and external beams\textsuperscript{23}. These studies explained the mechanism of PDT as CL from the ionizing radiation source exciting the NP-based PDT agent, generating reactive oxygen species. However, the very low CL photon fluence predicted from radionuclides (nJ cm$^{-2}$) compared to external beam radiation (mJ cm$^{-2}$)\textsuperscript{24} strongly suggests that additional NP excitation mechanisms are necessary for therapy.
Ionizing radiation results in the excitation and ionization of the surrounding medium, in this case the NP, as energy is dissipated to reach thermal equilibrium\textsuperscript{25}. One mechanism by which NPs can relax to the ground state is through radiative processes, such as scintillation. $\gamma$-scintillation (photon production from $\gamma$-emitters) has been studied in quantum dots\textsuperscript{26} and rare-earth NPs\textsuperscript{27–31} (Fig. 1a). The contribution of $\beta$ energy on NP systems has been neglected as $\beta^+$ radionuclides in biomedical imaging (such as $^{18}$F and $^{68}$Ga) also ultimately emit $\gamma$ photons from positron annihilation in addition to CL. Common $\beta^-$ (i.e. electron) emitting radionuclides such as $^{90}$Y and $^{32}$P also emit CL, thereby obscuring each mechanism contribution. Previous studies relied on physical shielding to block specific types of interactions (CL, $\gamma$, $\beta$) between a source and target. This approach led to the conclusion that Eu$_2$O$_3$ NPs were not excited by $\beta$ interactions from the $^{18}$F positron\textsuperscript{27}. However, due to the short positron range of $^{18}$F in water\textsuperscript{32} ($\beta_{\text{avg}} = 0.25$ mm, $\beta_{\text{max}} = 2.0$ mm) most positrons annihilated prior to interacting with the NPs, limiting the photons observed.
Here, we report new assays using radionuclides that do not emit CL to determine $\beta$ and $\gamma$ interactions with NPs. We demonstrate that $\beta$ interactions significantly contribute to excitation of widely used nanoparticles such as Eu$_2$O$_3$ and TiO$_2$, investigated for imaging\textsuperscript{27} and therapy\textsuperscript{3}, respectively. We furthermore demonstrate that ionizing radiation in the presence of NPs containing high atomic number (Z) elements results in emission of...
characteristic X-rays in the 1–100 keV range. These X-rays allow for a new strategy in biomedical imaging using a SPECT scanner for multiplexed, NP-specific in vivo imaging. Our investigation into the various interactions between ionizing radiation with NPs better explains previous imaging and photodynamic therapy results in addition to a new imaging paradigm.
**Visible photon output from radionuclide-NP pairings**
Since clinical radionuclides decay through multiple high-energy emissions (Table 1), we first aimed to delineate NP excitation mechanisms that result in output of visible light. Radionuclides that emit only $\beta^-$ or $\gamma$ were selected as excitation sources and added to a library of NPs that are of interest for biomedical imaging (Table 2), including amorphous silica NP (SNP), TiO$_2$, HfO$_2$, Eu$_2$O$_3$, Gd$_2$O$_3$, and YAG:Ce (cerium-doped yttrium aluminium garnet). The pure excitation sources were combined directly with either the NP suspension or an H$_2$O control solution. The pure $\beta^-$ emitters $^{35}$S and $^3$H were used since the maximum energies ($\beta_{\text{max}}$) are below the CL threshold in water. The $\gamma$ emitter $^{99m}$Tc was used to assess contributions from $\gamma$ excitation. Although $^{99m}$Tc and $^{35}$S do not result in CL, ionization and excitation of H$_2$O can produce photons but are several orders weaker than CL.
When 30 µCi of $^3$H, the lowest energy pure $\beta^-$ emitter, were combined with the NP panel, radiance enhancements over $^3$H in H$_2$O were observed: SNP (1.2-fold), TiO$_2$ (55-fold), HfO$_2$ (4-fold), Eu$_2$O$_3$ (179-fold), Gd$_2$O$_3$ (301-fold), and YAG:Ce (376-fold) (Fig. 2a). Since the short trajectory of the low energy $\beta$ emitted for $^3$H may only interact with a few NPs, we next tested the radiance enhancements with more energetic radionuclides. $^{35}$S yielded a greater photon flux enhancements for NP combinations: SNP (2-fold), anatase TiO$_2$ (39-fold), HfO$_2$ (58-fold), Eu$_2$O$_3$ (2750-fold), Gd$_2$O$_3$ (1390-fold), and YAG:Ce (690-fold). The addition of $^{99m}$Tc, a pure $\gamma$-emitter, to NPs in the panel yielded similar enhancements: anatase TiO$_2$ (268-fold), HfO$_2$ (251-fold), Eu$_2$O$_3$ (2760-fold), Gd$_2$O$_3$ (366-fold), and YAG:Ce (775-fold). Thus, both $\beta$ and $\gamma$ emitting radionuclides combined with NPs led to scintillation and appreciable increases in radiance. Importantly, the radiances from Eu$_2$O$_3$, Gd$_2$O$_3$, and YAG:Ce were ca. 4-fold greater with $^{35}$S ($\beta$) compared to $^{99m}$Tc ($\gamma$) demonstrating that, contrary to previous reports, $\beta$ scintillation is a crucial mechanism in NP excitation (Fig. 2b). Furthermore, the enhancement of NP radiances is dependent on the amount of radioactivity present, (Fig. S1). Both activity titrations and tissue attenuation studies were conducted to confirm linearity (Fig. S2). While both $\beta$ and $\gamma$ radionuclides were shown to excite NPs without involving CL, it remained to be determined if one type of excitation would dominate or if they are additive. Therefore, $^{35}$S and $^{99m}$Tc were added sequentially to each NP well in both orders, (i.e. $\beta$ then $\gamma$ radionuclide added and vice versa). The addition of the second radionuclide yielded additive radiances thus the order of addition did not significantly matter (Fig. 2c). To assess the radiance dependence on the NP structure rather than the metal ion, an equimolar solution of europium cations was tested with 100 µCi $^{35}$S and found to yield only 13% of the radiance of Eu$_2$O$_3$ NP containing the same amount of Eu (Fig. 2d). Radiances observed from pure $\beta^-$ emitting and $\gamma$ emitting radionuclides with NPs (Figs. 2a and 2b) are summarised and plotted in Fig. 2e (standard deviation shown alone in Fig. S3). The effect of NP size on enhancement was also
determined by using three sizes of Eu$_2$O$_3$ NPs normalised to particle number, volume or surface area. When mixed with $^{18}$F-FDG, the enhancement for the different sized Eu$_2$O$_3$ NPs varied less than threefold (Fig. 2f) while each is nearly 100-fold brighter than $^{18}$F-FDG alone, suggesting the enhancement is more dependent on the molar amount of europium within NPs and less dependent on particle size in the range tested. While certain NPs are more luminescent than others, the addition of sub-CL energy radionuclides results in increased luminescence of up to nearly 3000 times that of the radionuclide alone (i.e. $^{35}$S with Eu$_2$O$_3$ NPs) and distinct from chemiluminescence (Fig. S4).
To determine overall changes in the photon flux due to NP interactions, clinically used radionuclides from Table 1 were next explored with NPs in Table 2. Clinical $\beta$-emitting isotopes emit CL in water according to the Frank–Tamm equation (1) showing that CL increases with particle energy (Fig. 2g) and the refractive index of the medium. The clinical isotopes $^{18}$F, $^{68}$Ga, $^{177}$Lu and $^{90}$Y isotopes with high-energy emission were used to observe total radiance enhancements by NPs. Radiance enhancement for high-energy electron and $\gamma$ emitting $^{90}$Y and $^{177}$Lu, and 511 keV $\gamma$ emitting $^{18}$F, $^{68}$Ga and $^{89}$Zr were measured (Fig. 2h). Similar results to $^{90}$Y were observed with the addition of the pure high-energy $\beta$ emitter $^{32}$P (Fig. S5). The 511 keV $\gamma$ from positron annihilation was also tested with the NPs from Table 2, and were not found to produce radiances as large as direct addition of $^{99m}$Tc (Figs. S6 and S21), in agreement with previous results\textsuperscript{27}.
Equation 1: Frank–Tamm formula defining photon output over a distance ($dN/dx$), where $\alpha$ is the fine structure constant, $\beta$ is the velocity of the particle relative to the speed of light in a vacuum, $n$ is the refractive index of the medium, and $\lambda$ is the wavelength of interest in the ultraviolet-visible region.
$$\frac{dN}{dx} = 2\pi \alpha \left(1 - \frac{1}{\beta^2 n^2}\right) \int_{\lambda_1}^{\lambda_2} \frac{1}{\lambda^2} d\lambda \quad (1)$$
Of the NPs tested, Eu$_2$O$_3$ and Gd$_2$O$_3$ exhibited the largest enhancement in radiance. Enhancements using $^{177}$Lu, $^{18}$F, $^{68}$Ga and $^{90}$Y with Eu$_2$O$_3$ were found to be 180, 27, 5.7 and 5.2 times that of H$_2$O respectively. Radiance enhancement ratios were greatest for low energy radionuclides since the control H$_2$O radiances are the weakest. NP radiance enhancements did not correlate with NP refractive index (Figs. S7–S8), demonstrating the effect resulted from mechanisms other than CL. Overall, the increased radiance from clinical isotopes must arise from multiple mechanisms, where photon contributions are based on the type and energy distribution of radiation emitted as well as the NP composition (Fig. S9)\textsuperscript{34}.
**Characteristics of NP photon generation**
To further understand the optical output of the NP radionuclide combinations, spectra for each of the NPs with $\beta$ and $\gamma$ emitting radionuclides were measured from 250–840 nm in a plate reader (Fig. 3a) and in smaller but discrete step values from 500–840 nm on an IVIS optical imaging system (Fig. 3b). Disregarding material specific absorption, pure CL has the
characteristic $1/\lambda^2$ wavelength intensity profile (Fig. S10), whereas discrete ionizations and excitations would exhibit known atomic transitions for scintillation or NP photoluminescence. The combination of Gd$_2$O$_3$ and Eu$_2$O$_3$ with $^{68}$Ga and $^{18}$F, respectively, produced distinct visible emission peaks (Figs. 3a, b) using a 540 nm narrow band emission filter\textsuperscript{35} for Gd$^{3+}$, and characteristic f-f transitions for Eu$^{3+}$ using 620 and 700 nm filters\textsuperscript{36}. The less luminescent NPs such as HfO$_2$, TiO$_2$, Bi$_2$O$_3$, and YAG:Ce produced weaker and broader emission peaks in the 400–840 nm window (Figs. 3a, S10). The emission peak for HfO$_2$ at 495 nm could not be resolved with the factory installed filters\textsuperscript{37} but is visible on the well plate scan (Fig. 3a). YAG:Ce has a photoluminescence peak at 540–560 nm\textsuperscript{38} but is weak compared to Gd$_2$O$_3$ and Eu$_2$O$_3$. No differences were observed between traditional laser excitation and emission spectra of these particles compared to spectra collected with radionuclides (Fig. S11). Spectral peaks were identical on the IVIS when excited by $\alpha$ emitters $^{225}$Ac or $^{223}$Ra (Fig. S12). The f-f transitions appear with both $\beta$ and $\gamma$ radionuclides, suggesting both as sources for scintillation with Eu$_2$O$_3$, Gd$_2$O$_3$ and YAG:Ce.
The signature emission peaks were retained in vivo (Fig. S14), where matrigel phantoms (Fig. 3c–e) showed nearly 5-fold enhanced radiance with Eu$_2$O$_3$ compared to $^{32}$P alone using the open filter (Fig. 3d). Using a 620 nm filter, only the emission from Eu$_2$O$_3$ phantom in the presence of activity was visible (Fig. 3e). A significant advantage is that the red photons from the europium emission spectrum are much less attenuated in vivo than the blue weighted light from CL\textsuperscript{13}. $\beta$ nuclides such as $^{32}$P can be used to produce selective optical emission both in vitro (Fig. 3b) and in vivo (Fig. 3e–j). Similarly, a comparison of Eu$_2$O$_3$ and Gd$_2$O$_3$ matrigel plugs with $^{32}$P in vivo (Fig. 3f–j) show the emission for Gd$^{3+}$ using the 540 nm filter (Fig. 3h), and for both particles at longer wavelengths using 620 nm and 700 nm filters, respectively (Fig. 3i–j).
**NP-multiplexed SPECT imaging**
$\beta$ particles can interact with matter via mechanisms that include CL, electron excitation, ionization, bremsstrahlung, and annihilation ($\beta^+$ only) while $\gamma$ particles can interact with matter through the photoelectric or Compton effects, coherent scattering, or pair production (Fig. S9). During ionization, characteristic X-rays are generated through an L shell electron occupying the vacancy of a previously ejected K shell electron. As the ejected X-ray represents a specific energy loss from an element, these X-rays are commonly used to determine elemental composition of materials based upon X-ray fluorescence (XRF)\textsuperscript{39, 40}. Therefore, the NP panel was combined with $\beta$- or $\gamma$-emitting radionuclides, and evaluated for X-rays originating from the various NPs below 100 keV. Each of the $\beta^-$ radionuclides tested (except $^3$H, which has energy emissions too low to eject K shell electrons) showed a broad bremsstrahlung emission profile as expected in addition to characteristic X-rays, denoted K$\alpha$ and K$\beta$, that were dependent on the NP composition. Fig. 4a presents the typical X-ray spectra for each of the NPs from the pure $\beta^-$ emitter $^{32}$P on top of a background of bremsstrahlung. Characteristic X-ray peaks were observed for Ge, YAG:Ce, Eu$_2$O$_3$, Gd$_2$O$_3$, HfO$_2$, Au, and Bi$_2$O$_3$, while no X-ray peaks were observed for glucose, silica, and anatase TiO$_2$. Characteristic X-ray production rates increase with both energy of the $\beta$ radionuclide and atomic number\textsuperscript{41}, explaining the lack of observed characteristic X-ray peaks for lower Z materials like silica, TiO$_2$, and glucose. Here, we observe that in
addition to scintillation occurring to produce visible light (Figs. 2 and 3), NPs are ionised producing characteristic X-rays in addition to and bremsstrahlung by $\beta^-$ emitting nuclides. The ionization peaks were identical using $^{99m}$Tc (Fig. 4b). The efficiency of X-ray peak generation by the radionuclides was not calculated; however, an overlay of $\alpha$, $\beta^+$, $\gamma$ and $\beta^-$ emitting nuclides tested with Eu$_2$O$_3$ all show the formation of characteristic X-rays (Fig. S15).
While rare earth NPs have been excited in vivo using exogenous X-ray beams to produce photons\textsuperscript{30, 42}, X-rays emitted from the NP by ionization from endogenous radionuclides can be used for multicolour NP specific imaging. With an adjustable keV photon energy window, a SPECT instrument represents an ideal imaging platform for this modality. For NP composed of higher Z atoms like europium, gadolinium, gold, and bismuth, the characteristic keV photons generated from ionization enables direct detection by X-ray imaging, and the different X-ray energy emitted (Table 2) enables multimodal detection. A titration curve was produced for Eu$_2$O$_3$ using $^{35}$S, $^{32}$P, and $^{99m}$Tc, where $^{99m}$Tc showed the greatest signal of europium X-rays per unit of activity (Fig. 4c) and demonstrated that imaging on a preclinical platform was both feasible and quantitative (Fig. S16). To test the multicolour capability of this system, a well plate was prepared containing either Eu$_2$O$_3$, HfO$_2$, or Bi$_2$O$_3$ with $^{99m}$Tc and X-ray emissions were detected at the energies corresponding to the predominant metal in each particle (Fig. 3d). The top panel in Fig. 3d shows the 140 keV photopeak from $^{99m}$Tc activity, while the subsequent panels show X-ray emission for europium, hafnium, and bismuth. A corresponding study was also done using mixtures of these NP (Fig. S17) demonstrating that X-rays from mixtures can be resolved with an X-ray signal dependent on the composition of the mixture. To test the multiplexing in vivo with a pure $\beta^-$ emitter, matrigel plugs containing Eu$_2$O$_3$ or Bi$_2$O$_3$ NPs were implanted into a nude mouse with or without $^{32}$P (Fig. 4e–g). The matrigel phantom containing both $^{32}$P and the Eu$_2$O$_3$ show a distinct signal for europium that is not seen in any other phantom (Fig. 4f). Similarly, the phantom containing Bi$_2$O$_3$ and $^{32}$P shows the highest intensity for bismuth characteristic X-rays (Fig. 4g) and is specific to the detection channel used (Fig. S18) provided the detector can resolve the X-ray energy difference.
**Clinical relevance and new imaging technology**
Beyond SiO$_2$, TiO$_2$, and AuNP, most NPs investigated face a large barrier for clinical translation. In particular, there is known toxicity for uncoated rare earth oxides in lysosomes\textsuperscript{43}. Rare earth NP toxicity must be mitigated by increasing surface biocompatibility and facilitate biological clearance. However, our results highlight that NPs in proximity to clinical radionuclides provide enhanced photon radiance and generate characteristic X-rays that can be used in several modes of imaging. The high energy of $^{90}$Y makes this new SPECT mode of imaging immediately clinically relevant with Theraspheres® or other $^{90}$Y sources. Theraspheres® are glass microspheres containing $^{90}$Y and are FDA approved for radioembolization of primary liver tumours when delivered by catheter directly to the tumour via the hepatic artery branches. Imaging their location in vivo has proved challenging. Therefore, we assessed our imaging technique on the combination of Theraspheres® and bismuth or europium NPs. This is advantageous over e.g. mixing the spheres with small molecule radiotracers which could quickly dissipate from the injection.
side (e.g. $^{99m}$Tc-MDP). Tumour bearing mice received intratumoural injections of Theraspheres® or Theraspheres® co-injected with either bismuth or europium NPs. In the europium and bismuth energy windows (~10 keV width total), Theraspheres® alone showed no appreciable signal (Fig. 5a and 5b) compared to Theraspheres® co-injected with Eu$_2$O$_3$ or Bi$_2$O$_3$ NPs (Fig. 5c and 5d). A modest CT contrast was observed with Theraspheres®, and enhanced with either europium or bismuth NPs (Fig S19) for visual location recognition. Here, select high Z NPs served as an imaging agent for Therasphere® detection by SPECT, opening up the possibility for multimodal detection with other NP agents simultaneously.
Next, this technique was used to visualise lymphatic drainage and identify sentinel, locoregional draining lymph nodes, a procedure critical in oncologic surgery\textsuperscript{8}. Eu$_2$O$_3$ NPs coated with silica and PEGylated AuNPs were synthesised to visualise drainage using chelator free\textsuperscript{4} and chelate methods with $^{90}$Y respectively. NPs were injected into either hind footpad to monitor lymph node drainage by IVIS (Fig. 5e). The smaller AuNPs (80 nm vs. 240 nm) drained nearly fifteen times faster (>30 µm/s) and reached the sentinel and higher echelon nodal stations faster as compared to the larger Eu$_2$O$_3$ NPs. This method would allow analysing lymphatic functionality preclinically. Furthermore, 620 nm and 700 nm emission windows enabled selective imaging of Eu$_2$O$_3$ only drainage (Fig. 5f). Sentinel lymph node drainage of AuNPs was also seen using the X-ray energy window for gold (Fig. 5g, S20). While other means of detecting sentinel nodes exist there are no clinical approved means to determine lymphatic function both non-invasively with SPECT for pre-surgical mapping and optically during surgery using the same agent and thus imaging the same biodistribution. Further miniaturisation and targeting could allow this system to move beyond lymph node drainage to image specifically tumour distribution for preclinical mapping and intraoperative imaging.
Combining TiO$_2$ with sub CL radionuclides produced appreciable photon flux enhancements. Therefore, based on the photodynamic therapy previously described through CL\textsuperscript{3}, we sought to evaluate and compare the therapeutic effect \textit{in vitro} of sub-CL radionuclides together with TiO$_2$ transferrin (Tf) and titanocene (Tc) NPs. The radionuclides $^{18}$F, $^{35}$S, and $^{99m}$Tc were chosen to test if CL alone, or NP derived visible light from $\beta$ or $\gamma$ scintillation, are sufficient to elicit a therapeutic effect. No significant difference in viability was seen between radionuclide and the addition of TiO$_2$Tf for all three radionuclides tested; however, the addition of TiO$_2$TTc produced a significant therapeutic effect (Fig. 5h). By using the non-CL radionuclides $^{35}$S and $^{99m}$Tc, we demonstrate each aforementioned mechanism (not just CL) can be a contributor to a PDT effect from radiotracers and TiO$_2$, as hypothesised previously.
**Conclusions**
Radionuclide-NP combinations are widely used \textit{in vivo} because of the high specific activity, payload, and multifunctional properties achievable with NPs. The types of interactions between ionizing radiation and NP that produce photons are dependent on both the NP’s and the radiotracer’s physical characteristics, summarised in Figure 6. Low energy radionuclides such as $^3$H can polarise regions on a NP while higher energy $\beta$ emitters can produce CL in a
NP but can also ionise, causing characteristic X-ray production. Gamma emitting radionuclides operate through the photoelectric effect where an incident gamma ray is converted into electrons which could recombine or relax to generate light. Gamma radiation can also generate characteristic X-rays if a K-shell electron is ionised. Clinical radionuclides can produce several high-energy $\beta$ and $\gamma$ emissions, each producing light through the aforementioned mechanisms on a given NP.
The visible light emanating from $\beta$-emitting radiotracers has allowed preclinical and clinical luminescence imaging through CLI\textsuperscript{16}, but the photon flux is quite low. NPs in proximity to either $\beta$ or $\gamma$ emitting radionuclides were shown to exhibit enhanced total photon flux and emit at discrete wavelengths in systems with luminescent metal ions. Exploring the mechanisms of NP radiance with radionuclides that emit only a single type of radiation revealed unforeseen contributions of NP luminescence from the $\beta$ particle. Our study sets the stage for imaging with all $\beta$-emitting radionuclides, exploiting the advantages of an enhanced signal emanating from the NP compared to CL alone. Using radionuclides with radiosensitizing agents for photodynamic therapy is increasingly investigated,\textsuperscript{44–46} and a greater understanding of how NPs can increase photon density for PDT should aid progress. Additionally, the heretofore unappreciated characteristic X-rays resulting from these interactions yields a new imaging modality in SPECT. These findings have broad implications for nuclear detection, optical imaging, and design of high Z NPs for imaging and therapy. Beyond the biosciences, these results can be exploited in environmental and material analytics.
**Methods**
**Nanoparticle preparation**
All NPs except SiO$_2$ and AuNP were purchased from either American Elements or Sigma Aldrich. SiO$_2$ NPs were prepared via a modified Stöber method\textsuperscript{4}. Silicated Eu$_2$O$_3$ NPs were prepared based upon a modified gold NP method described previously\textsuperscript{47}. Nanopowders were suspended in an aqueous solution of 60% by weight glucose with the aid of a 500 W tip sonicator to create a NP suspension. Au-PEG-DOTA NPs were prepared using an established AuNP protocol followed by thiol-PEG-NHS coupling (Nanocs Inc. HS-PEG10k-NHS) and immediate conjugation with S-2-(4-Aminobenzyl)-1,4,7,10-tetraazacyclododecane tetraacetic acid (macrocycles) under slightly basic conditions. Particles were purified and concentrated by tangential flow filtration using a Spectrum hollow fiber microkros 50kD mPES membrane and stored at 4°C until chelation with $^{90}$Y as described previously.
**Nanoparticle characterization**
NP morphology and diameter were determined using both a Jeol 200 kV TEM and a Malvern Zetasizer Nano ZS dynamic light scattering. A Malvern Nanosight NS500 instrument was used to determine particle concentration. The absorbance and photoluminescence was determined on a SpectraMax M5 plate reader via quartz cuvette using 1E10 particles per mL or lower and extrapolated when exceeding 1 OD. Excitation and
emission spectra were acquired on a Cary Eclipse Fluorescence Spectrometer and the SpectraMax M5 plate reader at 1 mg per mL.
**Radiotracer production (SI)**
Hydrogen-3, phosphorus-32, sulfur-35, lutetium-177, and yttrium-90 were purchased from PerkinElmer as liquid solutions. When appropriate, solutions were brought to neutral pH prior to addition to NP solutions. Zirconium-89 was produced on the MSK cyclotron and purified as zirconium oxalate. This was neutralised with sodium carbonate prior to use. Gallium-68 was produced on a germanium generator and eluted in 0.3N HCl. This was neutralised with 28% ammonium hydroxide prior to use. Fluorine-18 was obtained from the MSK nuclear pharmacy in the form of $^{18}$F-fluoro-2-deoxyglucose ($^{18}$F]-FDG). Technecium-99 metastable was obtained from the MSK nuclear pharmacy in the form of $^{99m}$Tc pertechnetate. $^{90}$Y Theraspheres® were obtained through a material trade agreement and generosity of BTG interventional medicine. $^{225}$Ac was generously gifted from the Lewis Lab at MSKCC and $^{223}$Ra was obtained through a material trade agreement with the Thorek lab at Johns Hopkins University.
**Beta, Gamma and X-ray interactions for visible light modulation**
24 well black walled plates from Greiner were used for IVIS optical imaging. NP solutions were prepared as previously stated at 1E10, 1E11 and 1E12 particles per mL. 1 mL of nanosuspension was diluted with 5 µL of the radionuclide of interest, targeting 30 µCi (1.11MBq) per well at time of measurement. Imaging was performed on an IVIS Spectrum at f=1 for durations of 60 s to 300 s with an open filter. Initially the NPs in the panel (Table 2) were measured without any radioactivity to determine background radiative output. Spectrum scans were acquired using 20 nm increment filters between 500 nm and 840 nm on the IVIS Spectrum or between 250–840nm in 10nm increments on the SpectraMax M5. For the IVIS Spectrum ROIs were drawn over each well and radiance values were reported in p/s/cm$^2$/sr after background subtraction averaging n=3 wells and decay correction. Enhancement was normalised to the radiance of an identical activity of radionuclide in H$_2$O. Well plate IVIS experiments were done in triplicate with spectral measurements done over the course of three hours per plate. Replicate plates were done on subsequent weeks with at least n=3 replicate experiments for a nanoparticle radionuclide combination. Radionuclide radiances alone were determined on the IVIS using a minimum of 4 replicates per activity level per nuclide with at least 5 different activity amounts. Radiances were then normalised to the intensity per unit of activity per volume.
**High-energy photon luminescence measurements**
The radionuclide of interest at identical concentrations to above was placed in 1 mL H$_2$O in a 24 well black walled plate upon which a poly(methyl methacrylate) plate and black paper was then placed. On top of the black paper another 24 well plate containing in triplicate wells of H$_2$O, 60% glucose, or NP solutions was then placed. IVIS imaging was conducted with an open filter at F1 for 300s per image. ROIs were drawn over the wells and background subtracted. See Fig. S22 for setup diagram.
X-ray and gamma ray spectroscopy
Measurement of the X-ray and gamma spectrum between 1 and 1700 keV was performed on a Canberra broad energy Ge detector. $1 \times 10^{12}$ particles in an Eppendorf tube were placed at a fixed height in the detector, and activity was added such that crystal dead time was between 1–5% for gamma and pure $\beta$ emitters. Clinical Isotopes were added at similar activities, resulting in ~60% dead time due to additional counts from emitted $\gamma$’s. Spectra were qualitatively compared to blank tubes containing identical amounts of activity in 60% glucose only. Channel peaks were calibrated to energies with the use of an $^{241}\text{Am}$ 1.0 $\mu\text{Ci}$ source found in a Family Gard® FG200 Smoke Detector. Spectra peaks were compared to atomic transitions of the NP elements using the NIST X-ray Transitions Database\textsuperscript{48}.
Modified SPECT-CT imaging using characteristic X-rays
0.5–1 mCi (18.5–37 MBq) of $^{32}\text{P}$ was mixed with nanoparticles ($1 \times 10^{11}$ NPs) and matrigel and subcutaneously injected into athymic nude mice for pilot phantom studies. AuNP tail drainage experiments were done using 270 $\mu\text{Ci}$ (9.9 MBq) of $^{90}\text{Y}$ chelated to ~10mg of AuNPs and injected intradermally into the tail of an athymic nude mouse. Energy windows for imaging were selected based upon main K$\alpha$ and K$\beta$ transitions on a Mediso nanoSPECT/CT (Fig. S23). We constructed artificial isotopes in the Mediso isotope master file and subsequently performed energy and uniformity calibrations to prepare the nanoSPECT/CT for NP characteristic X-ray imaging. SPECT images were acquired using the standard high-energy pinhole collimators, and a scan time of 1 hour, and with 35–60% smoothing for acquired SPECT images.
In Vivo Imaging with athymic nude mice
Animal experiments were done in accordance with protocols approved by the Institutional Animal Care and Use Committee of Memorial Sloan Kettering Cancer Center and followed National Institutes of Health guidelines for animal care. Athymic male nude mice were used for lymph node drainage studies while athymic female nude mice were implanted orthotopically with BT-474 cells and injected intratumourally with 1 mCi of $^{90}\text{Y}$ Theraspheres® with and without 1E11 Eu$_2$O$_3$ or Bi$_2$O$_3$ NPs. Cells were authenticated but not checked for mycoplasma while in culture. Europium oxide nanoparticles were silicated and annealed in a 500°C oven for one hour before chelator free radiolabelling with $^{90}\text{Y}$. Approximately 270 $\mu\text{Ci}$ (9.9 MBq) of $^{90}\text{Y}$ labelled NPs (10mg AuNP or 5mg Eu$_2$O$_3$) were injected into either hind food pad and imaged on the IVIS every 15 minutes through 3 hours and then subsequently at 6 and 12 hours.
In Vitro PDT using TiO$_2$ NPs
Experimental conditions were based off of methods described previously for TiO$_2$ NPs\textsuperscript{3}. TiO$_2$ NPs from Sigma were washed with Chelex grade water and dispersed in 1× DPBS at a concentration of 1 mg/mL. Apo-transferrin from Sigma was dissolved in 1× DPBS at a concentration of 10 mg/mL and diluted 1:1 with TiO$_2$ NP dispersion. TiO$_2$Tf dispersion was placed on a cold block and tip sonicated for 120s with a 5s on, 10s off pulse sequence. Dispersion was immediately filtered with 0.45 $\mu$m filter and measured for NP absorbance relative to a known unfiltered sample. Titanocene was dissolved in DMSO and added to the
TiO$_2$Tf NPs before incubation with HT1080 fibrosarcoma cells overnight. Cells were authenticated but not checked for mycoplasma while in culture. Radionuclides were added the following day at concentrations between 0.01–0.80 mCi/well (n=3 per condition). Plates were placed in a shielded incubator for 72h before MTS viability assay. MTS assay was read out using a M5 spectramax plate reader.
**Statistical Analysis**
Graphpad prism software V6.05 and V7.03 were used for data analysis and statistical calculations. A 2-way ANOVA analysis was done for the $^{99m}$Tc and $^{35}$S head to head radiance analysis.
**Data Availability**
The data that support the plots within this paper and other finding of this study are available from the corresponding author upon reasonable request.
**Code Availability**
Code used to reconfigure the SPECT/CT for X-Ray imaging of select elements is available upon request. Code used requires subsequent energy and uniformity mapping for each combination before use.
**Supplementary Material**
Refer to Web version on PubMed Central for supplementary material.
**Acknowledgments**
We thank BTG Interventional Medicine for the supply of Theraspheres® required to conduct the in vivo imaging. The Australian Nuclear Science and Technology Organization (ANSTO) is acknowledged for their generous provision of a research-grade gallium-68 generator and purification system along with the MSKCC nuclear pharmacy for $^{18}$FDG. We thank the MSKCC Radiochemistry and Molecular Imaging Probes Core for technical assistance with the Ge detector, P. Zanzonico and V. Longo of the Small Animal Imaging Core for their direction and assistance on the nanoSPECT/CT and medical physics discussions. This work was supported by the following grants: National Institutes of Health (NIH) R01EB014944 and R01CA183953 (to J.G.), T32 CA196585 (to T.M.S.), and National Science Foundation Integrative Graduate Education and Research Traineeship grant (DGS 0965983, at Hunter College). Technical services provided by the MSKCC Small-Animal Imaging Core Facility, supported in part by NIH Centre Grant No P30 CA08748, are gratefully acknowledged. NIH Shared Instrumentation Grant No 1 S10 RR028889-01, which provided funding support for the purchase of the NanoSPECT/CT Plus, and a Shared Resources Grant from the MSKCC Metastasis Research Centre, which provided funding support for the purchase of the IVIS Spectrum, are also gratefully acknowledged.
The authors E.C.P., T.M.S., and J.G. have filed an international patent application regarding the content of the manuscript (PCT/US2016/018502).
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Figure 1.
Interactions between ionizing radiation and nanoparticles. **a**, gamma and visible photon sources are generally considered the excitation mechanisms of NPs by ionizing radiation that produces visible light through gamma scintillation or by Cerenkov radiation energy transfer, respectively. **b**, A more complete view of mechanisms resulting in excitation and ionization of NP from both $\beta$ and $\gamma$ radionuclides. **c**, The fuller understanding of the consequences of NP excitation by ionizing radiation enables both optical and SPECT imaging with high atomic number (Z) NPs.
Figure 2.
Radiative output of nanoparticles with radionuclides. **a**, Well plate images of NPs with and without addition of low energy pure $\beta^-$ emitter $^3$H show increased radiances in wells containing HfO$_2$, Eu$_2$O$_3$, and Gd$_2$O$_3$ (representative images, n=3 per NP). **b**, Head to head comparison of $\gamma$ and $\beta$ scintillation. Addition of 30 $\mu$Ci (1.11 MBq) $^{99m}$Tc (right) or $^{35}$S (left) to glucose, Eu$_2$O$_3$, Gd$_2$O$_3$ and YAG:Ce shows $^{35}$S to be brighter while both radionuclides do not appreciably produce light in the suspending medium (top row) (representative well images, n=3 per NP and radionuclide). **c**, Computed radiance of wells from Fig 2b including subsequent addition of the other radionuclide from Fig. 2b to the
same plate to assess order of addition to radiance shows minimal difference when compared to the summation of the individual radiances by $^{99m}$Tc and $^{35}$S (n=3 independent samples, column centre=mean, error bars=SD) d, Radiance with Eu$_2$O$_3$ NPs and radionuclides is dependent on the nanostructure of the particle and not the ion content when compared with a solution containing $^{35}$S and an equal molar solution of EuCl$_3$ in glucose (n=8 independent samples, representative images above figure, column centre=mean, error bars=SD). e, summary of radiance enhancements seen with addition of either pure gamma emitter $^{99m}$Tc or pure $\beta$ emitting $^3$H and $^{35}$S with sub CL energy (in H$_2$O) also result in enhanced radiance (n=3 independent samples, grey bar=min/max per NP, bar=SD). Grey bars represent min/max radiance for each particle for visual grouping. f, Three sizes of Eu$_2$O$_3$ NP were tested and normalised by number, volume, and surface area (n=3, independent samples grey bar=min/max per NP normalisation for visual grouping, error bars=SD). g, CL radiance of select nuclides in water per unit of activity and volume (n=8, independent samples line=mean, error bars=SD). Radionuclides that do not meet the CL threshold in water were omitted. Grey bars represent min/max radiance for each radionuclide for visual grouping. h, Radiance of NPs tested with positron-emitters $^{18}$F, $^{89}$Zr, and $^{68}$Ga and $\beta^-$ emitters $^{177}$Lu and $^{90}$Y at 30 µCi (1.11 MBq) per well. Particles without activity were included as a reference (n=3 independent samples, grey bar=min/max per clinical radionuclide, error bars=SD).
Figure 3.
The visible spectrum of radionuclides with nanoparticles between 250–840 nm on well plate and IVIS imaging systems. **a**, Normalised spectra of NPs and suspending medium using 6 mCi (222 MBq) $^{68}$Ga per well from 250 nm to 840 nm measured with a well plate reader. **b**, NPs with specific spectral emissions such as Eu$_2$O$_3$ and Gd$_2$O$_3$ with 30 µCi (1.11 MBq) $^{18}$F per well (n=3 independent samples, error bars=SD) on the IVIS imaging system. **c**, Diagram of in vivo phantom setup using pure β-emitting $^{32}$P. **d**, Open filter and **e**, 620 nm filter only. n=6 Matrigel phantoms per mouse (n=3) TL: Matrigel only, TR: Matrigel + $^{32}$P, ML:Eu$_2$O$_3$, MR: Bi$_2$O$_3$, BL: Eu$_2$O$_3$ + $^{32}$P, BR: Bi$_2$O$_3$ + $^{32}$P. Fig. S14, radiance spectrum for $^{32}$P phantoms showing characteristic emission peak of Eu$^{3+}$ identical to in vitro emission peaks (n=3, error bars=SD). **f**, Diagram of in vivo phantom setup for mouse containing Matrigel phantoms with 750 µCi (27.75 MBq) $^{32}$P (clockwise from top left) Matrigel only, Eu$_2$O$_3$, YAG:Ce, and Gd$_2$O$_3$ ($3 \times 10^6 – 3 \times 10^7$ p/s/cm$^2$/sr) (n=3) **g**, open filter. **h**, Emission specific window for Gd$_2$O$_3$ at 540 nm followed by similar emission peaks at 620 nm and 700 nm windows in **i**–**j**, to that seen in **b**, p/s/cm$^2$/sr = photons/second/cm$^2$/steradian.
Figure 4.
High energy spectra and imaging of NP ionization from radionuclides. **a**, Characteristic X-ray spectra with the pure β⁻ emitter $^{32}$P showing qualitative abundance and increasing Kα and Kβ energy with increasing atomic number (Z) from 1–100 keV. ×10 magnification above YAG:Ce trace represents characteristic X-rays of the cerium dopant upon longer measurement (representative spectra shown). **b**, Identical characteristic X-rays generated using $^{99m}$Tc from 1–100 keV. For Eu$_2$O$_3$, characteristic X-ray peaks were produced using clinical radionuclides $^{90}$Y, $^{68}$Ga, $^{18}$F, and $^{177}$Lu (Fig. S15). **c**, X-ray generation curves from $^{99m}$Tc, $^{32}$P and $^{35}$S in Eu$_2$O$_3$ NPs by SPECT based upon region of interest drawn over
phantom cylinder (n=1 phantom per activity level per radionuclide, centre value=median intensity reported from 1cc volumetric cylinder, error bars=SD). **d**, Proof of concept in vitro using Eu$_2$O$_3$, HfO$_2$, and Bi$_2$O$_3$ NPs with $^{99m}$Tc to produce a multicolour image based upon characteristic X-rays captured by SPECT. **e**, Diagram of mouse phantom used for dual spectrum imaging of either europium or bismuth particles with $^{32}$P. **f**, Characteristic X-rays imaging on SPECT produced from Eu$_2$O$_3$ with enlarged phantom regions to highlight signal presence and absence **g**, Bi$_2$O$_3$ NPs ($1\times10^{11}$NPs) with $^{32}$P show signal localization to the Bi$_2$O$_3$ NP by SPECT and do not show signal from either NP alone nor activity alone.
Figure 5.
Imaging of clinical radioembolization agent $^{90}$Y Theraspheres® with characteristic X-rays.
**a, b.** Representative images of 1 mCi Theraspheres® injected intratumorally into BT-474 orthotopic breast tumours (red arrow) using characteristic X-ray energy windows for Eu$_2$O$_3$ and Bi$_2$O$_3$ NPs, respectively, shows no appreciable signal (n=3 animals, representative image shown).
**c, d.** Imaging of Theraspheres® co-injected with Eu$_2$O$_3$ or Bi$_2$O$_3$ NPs shows selective signal near NP injection site (n=4 animals, representative image shown). Lymph node imaging of drainage from right and left hind footpads with $^{90}$Y labelled Eu$_2$O$_3$ and AuNP respectively with **e.** IVIS open filter, and **f.** select 620nm and 700nm wavelengths to identify Eu$_2$O$_3$ selective drainage (n=3, representative single mouse sequence shown).
**g.** SPECT-CT showing characteristic X-rays from 66.9keV ionization of gold from Au-PEG-DOTA($^{90}$Y) NPs draining into sentinel lymph nodes 48h post intradermal tail injection (n=3 animals, representative mouse image shown). Corresponding IVIS image to (**Fig. 5g**) can be found in Fig. S20.
**h.** Non-CL light based PDT. Radionuclides $^{18}$F, $^{35}$S, and $^{99m}$Tc were...
added to cells in vitro, along with TiO$_2$ NP with transferrin attached (Tf) with and without titanocene (Tc). Therapeutic effects were demonstrated with radionuclides that do not emit CL, highlighting NP derived light can be as useful for PDT alongside CL (n=3 independent samples, centre value=mean, error bars=SD). **=P< 0.01, ****=P< 0.0001, ns=not significant.
Figure 6.
Interactions between ionizing radiation and NP. Ionizing radiation interactions with NP may result in a number of emissions. Low-energy β emissions from radionuclides like $^3$H with TiO$_2$ can cause electron hole recombination and resultant emission of photons. β emissions in the tens to hundreds of keV can result in numerous interactions with nanoparticles, such as Cerenkov emission within the NP, excitation or electron hole formation, or atom ionization in the NP of interest. High-energy photons, such as the 140 keV gamma from $^{99m}$Tc, can result in the photoelectric effect or ionization within the NP. Clinical
radionuclides such as PET tracers and radiotherapeutics, can result in the all of the aforementioned interactions along with CL interactions from the NP.
Table 1
Radionuclides used with corresponding decay mechanisms and energies. Information populated from the Nuclear Science References database\textsuperscript{49}. $\gamma\pm$ denotes positron 511 keV photons upon annihilation.
| Radionuclide | $\beta$ decay | $\beta$ energy (average keV) | $\gamma$ emission | $\gamma$ energy (average) | In vivo imaging modality |
|--------------|---------------|-------------------------------|------------------|--------------------------|-------------------------|
| $^3$H | $\beta^-$ | 5.68 | – | – | |
| $^{35}$S | $\beta^-$ | 48.76 | – | – | |
| $^{177}$Lu | $\beta^-$ | 149.35 | $\gamma$ | 208 | SPECT, CL |
| $^{33}$P | $\beta^-$ | 695.03 | – | – | |
| $^{18}$F | $e^+\beta^+$ | 249.8 | $\gamma\pm$ | – | PET, CL |
| $^{89}$Zr | $e^+\beta^+$ | 395.5 | $\gamma$, $\gamma\pm$ | 909 | PET, CL |
| $^{68}$Ga | $e^+\beta^+$ | 836.02 | $\gamma$, $\gamma\pm$ | 1077 | PET, CL |
| $^{90}$Y | $\beta^-$ | 933.7 | $\gamma$ | 1761 | CL |
| $^{99m}$Tc | – | – | $\gamma$ | 140 | SPECT |
NP characterization information. Dynamic light scattering of NPs in 60% glucose ($Z_{\text{avg}}$), absorbance of NPs at 633 nm at $1E10$ particles per mL, $K_{\text{edge}}$ values reproduced from NIST X-ray transition Database\textsuperscript{38}.
| Nanoparticle | DLS (nm) | PDI | Absorbance (633 nm) | $K_{\text{edge}}$ (keV) | Vendor |
|--------------|----------|-------|---------------------|-------------------------|-------------------------|
| SNP (SiO$_2$)| 165.7±4.8| 0.039 | 0.0725 | 1.85 | Synthesised |
| TiO$_2$ (Anatase) | 12.8±1.5 | 0.082 | 0.192 | 4.98 | American Elements |
| HfO$_2$ | 34.9±0.7 | 0.192 | 0.189 | 65.35 | American Elements |
| Eu$_2$O$_3$ | 90.7±3.6 | 0.432 | 0.443 | 48.52 | Sigma-Aldrich |
| Gd$_2$O$_3$ | 75.7±6.8 | 0.503 | 0.357 | 50.25 | Sigma-Aldrich |
| YAG:Ce | 36.6±4.0 | 0.401 | 0.149 | 40.45 | Nanostructured & Amorphous Materials Inc. |
| Bi$_2$O$_3$ | 201.2±4.4| 0.315 | 0.242 | 90.54 | Sigma-Aldrich |
| AuNP | 85.8±0.099| 0.092 | 0.200 | 80.72 | Synthesised |
|
QIAN HU CORPORATION LIMITED
ANNUAL REPORT 2000
THE WORLD THROUGH THE EYES OF A FISH
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*Kenny The Fish*
**THE QIAN HU STORY**
*Life*, whether in the aquarium, the vast expanse of the ocean, or the air-breathing world, sometimes offers shortcuts to success and happiness. The truth of the matter is, even for a fish, there are no shortcuts to achieving one’s goals.
Even if success is meted out to you on a silver platter, in *The Fish*’s case, tasty morsels on a steel hook, taking shortcuts in trying to outdo one another often comes with heavy, sometimes fatal, opportunity costs.
With regard to Qian Hu, our story is one of persistence, determination to succeed, and sticking to the path of time before we finally arrived at the centre of opportunity. We are always trying to find new ways to do the same things.
Our history can be traced back to the early days of my late father Yap Tik Huay and my uncle, Yap Hey Cha, who were pig farmers. In 1985, their pig farm was eradicated due to the Government’s move to stem pollution and to free up more land for residential purposes.
At that point in time, my three elder brothers, Yap Peng Heng, Yap Hock Huat and Yap Kim Choon joined the family business. They converted the old pig pens into concrete ponds and started breeding guppies for the local tropical fish exporters. However, in 1989, during a heavy thunderstorm, our entire stock of guppies were washed away.
We had to start all over again. With a new name “Qian Hu”, which means a thousand lakes in Chinese, my cousins Alvin, Andy and I joined Qian Hu and together hoped for brighter days to come.
Little did we realise that we were in for another setback. After our failure in rearing guppies, we thought that we would farm high-fin loaches instead although we knew very little about this particular variety of fish. In a single swoop, our entire stock of 4,000 loaches died and we lost almost everything, except our mettle and our drive to succeed. We realised our mistake of not spreading our risks, and not
knowing anything about our products. Since then, however, we learnt our lesson well. In fact, this lesson was so valuable to us that we kept the high-fin loach as our mascot, a daily reminder of where we were, and where we never want to be.
In 1990, we expanded into the local wholesale distribution business, and increased our range of ornamental fish to include Discus, Chichlid, Gourami and began diversifying into the aquarium accessories business. Two years later, in 1992, we started exporting to the rest of the world, a journey which helped position Singapore as a major player in the export of ornamental fish.
In 1993, we entered in a joint venture with The China Aquaculture Society and incorporated Beijing Qianyang Aquarium Co. Ltd, based in Beijing, to supply cold-water ornamental fish and aquarium accessories to Northern China. We acquired full ownership of the joint venture company two years later.
In 1995, a year after we moved to our present farm, located within the Sungei Tengah Agrotechnology Park, Qian Hu developed quality systems for our operations. This led to our achieving three ISO 9002 certifications for conditioning and packing of ornamental fish for export (1996); the trading, quarantine and breeding of Dragon Fish (1997), and the retail and wholesale of aquarium accessories and pet products (2000).
We also designed the landscape of our farm in such a way that runoffs from heavy rainfall would not affect our fish stock and breeding ponds. Our unique system of recycling water had won us the ISO 14001 certification for our environmental management system involving the import, export, conditioning, distributing and farming of tropical fish in 1998.
1997 was also an exciting year for Qian Hu. We developed our own auto-packing machines for the packing of ornamental fish, a project encouraged by the Agri-food and Veterinary Authority of Singapore (AVA), and partially funded by the EDB Innovative Development Scheme. During the same year, Qian Hu was also admitted to the Productivity and Standards Board’s Promising Small and Medium Enterprises Programme which helped us to formulate and realise our strategic business plan for the Group.
Two years later, we began distributing aquarium and pet accessories to Malaysia, and subsequently to China and Thailand. We see much growth in this segment of our business as we believe that for every dollar spent on ornamental fish, five more dollars will be spent on accessories. As such, in 2001, we established a joint venture company, Wan Jiang Technology Co Ltd, in Guangzhou together with a Taiwanese partner. Wan Jiang will produce our own house brands of aquarium and pet accessories, as well as other third party brands. Initially, Wan Jiang’s products will be distributed through our regional subsidiaries. However, our plans are to distribute them to Japan, Germany, United Kingdom and the rest of the world.
“Opportunities abound when we see the world through the eyes of a fish...we will continue to build our brand and grow the Company in Singapore and beyond.”
Kenny The Fish
CHAIRMAN’S MESSAGE
Dear Shareholders
On behalf of the Board of Directors, I am pleased to present the first annual statement and audited accounts of Qian Hu Corporation Limited as a listed entity.
With your strong support, the Company successfully completed its listing on 8 November 2000, and in the process, accorded Qian Hu the distinction of being the first company of its kind to list on the Singapore Exchange.
Funds raised from the initial public offer (IPO) are being channeled into various projects which we hope will sustain the growth of the Company in the years ahead.
These include the expansion of our distribution network in Malaysia, Thailand and China and the development of e-commerce capabilities within the Group. Some money were also earmarked for loan repayment while the balance was set aside for additional working capital.
Joining the fraternity of listed companies in Singapore has meant an immense sense of pride and achievement for me as well as for all the people who were involved in the success of the Group. To them, my thanks and appreciation.
To our new shareholders, I bid you a warm welcome to the Qian Hu family. We look forward to your continued support as we build the brand and grow the Company in Singapore and beyond.
Financial Review
Qian Hu has done better than expected in the year under review, with export sales growing at a healthy 30% compared with the industry’s average growth rate of 6%.
As a result, the Group was able to post a record net profit of $3.2 million which comfortably exceeded the forecast net profit of $3 million which we promised during the launch of our IPO in November.
Group turnover rose 34.8% to $33.9 million, of which 49% came from the sale and export of ornamental fish, 35% from manufacturing and distribution of aquarium and pet accessories, and 16% from the manufacture of plastic bags.
During the year in review, 61% of the Group’s turnover came from our operations in Singapore, whilst 39% were derived from overseas.
We have been busy developing new markets as well as expanding our existing channels of distribution. Globally, we currently export more than 500 species and varieties of ornamental fish to more than 50 countries, helping to place Singapore on the world map for exporting more than 30% of the world’s output from a single country. We also distribute more than 5,000 types of aquarium accessories to hobbyists in Singapore, Southeast Asia and China.
At home base, we have increased the number of retail outlets, authorised by the Agri-food and Veterinary Authority of Singapore to sell the highly-prized Dragon Fish (Arowana) by 10, making it a total of 40 retail outlets.
We have put in place strategic plans to move the company forward. In the current financial year, we expect to see the Group’s overseas subsidiaries expanding at a faster rate. Our joint venture in Guangzhou, Wan Jiang Technology Co Ltd, which we tied-up with a Taiwanese partner, has commenced production of our proprietary brands of aquarium and pet accessories under the “Ocean Free” brand name as well as a host of third-party brands.
We expect Wan Jiang, which initially will distribute its products to our regional subsidiaries, to widen its distribution network to include Japan, Germany, United Kingdom, and the rest of the world.
At our home base in Singapore, we will continue to build on the goodwill that we have garnered from our export and retail partners in the various distribution channels. Even our plastic manufacturing subsidiary, Tat Leng, which was initially set out to support our main export business, has made inroads in supplying high-grade plastic bags to the electronics, IT and food industries as well. Tat Leng is expected to increase its production capacity by 50% when its new Woodlands facility, which commences operations by March 2001, is fully-phased in by 2002.
With the expected positive contributions from the Group’s overall manufacturing and distribution operations, we are confident of achieving sustainable growth in FY2001.
**Achievements and Acknowledgements**
We are proud of the achievements we have made over the years. These are due in no small measure to the support we get, and continue to get, from some of Singapore’s leading institutions.
Despite our humble beginnings, having emerged from the backwaters of Singapore’s agrarian industries, we have become sterling case studies for Productivity Standards Board’s SME 21 blueprint, and National University of Singapore’s best practices among local enterprises.
Qian Hu was among four companies in Singapore who received the inaugural International Management Action Award (IMAA) by the Institute of Management and Productivity & Standards Board on 8 November 2000, in recognition of our ability to innovate, create and produce sustainable and tangible results.
We were also among the three most transparent companies, out of a total of 268 listed companies in Singapore whose financial year ended in December, as shown in *The Business Times’ Corporate Transparency Index 2001*. The CTI is a tool to measure how transparent a company is when it announces its
financial results by assessing the quality of information disclosed, and effectiveness of the company’s communication to investors.
We would not have been where we are today without the support of our management and staff, our customers, our suppliers, business associates and fellow directors.
I am particularly gratified that in a recent employee survey, some 83% of our staff said that they were very happy with the Company. The importance of our staff to the success of the Group cannot be over-emphasised.
I would like to take this opportunity to thank all of them for their support in the past as well as in the years ahead.
Kenny Yap
Executive Chairman & Group Managing Director
a.k.a Kenny The Fish
Kenny Yap Kim Lee
Executive Chairman and Managing Director
Center
Alvin Yap Ah Seng
Deputy Managing Director
Far Left
Andy Yap Ah Siong
Deputy Managing Director
Left
Robson Lee Teck Leng
Independent Director
Right
Chang Weng Leong
Independent Director
Far Right
“In Qian Hu, whether you are a YAP or not doesn’t matter at all…what matters is that we are all part of the Qian Hu family, working together and respecting one another. We may have begun as a family business, but we have evolved into a professionally-managed, knowledge-based company that is committed to developing our people assets.”
Kenny The Fish
THE QIAN HU FAMILY
As a knowledge-based business, the role that our staff play in Qian Hu’s performance in the global ornamental fish industry can never be over-emphasised.
We have therefore placed special emphasis on developing and motivating our people assets, providing them with the professional tools they need to succeed.
Through a structured planning process, the training needs of each staff is identified with the direct involvement of the respective departmental manager or supervisor. However, this process is not driven from the top, but through regular reviews and staff feedback, each programme is assessed for its relevance and effectiveness by each staff. This encourages our staff to be closely involved in his or her own development, ensuring the programme’s effectiveness and success.
Another way we encourage communication is the annual performance appraisal when staff are given feedback on their strengths and areas for improvement. This is also a time when staff are encouraged to speak out and contribute work improvement ideas as we truly believe that creativity is a very important ingredient to our business success. To motivate our staff further, we have in place a variety of schemes to reward and recognise our staff.
Since 1999, we introduced an annual survey to allow our staff to assess the Company as well. In the Year 2000 survey, some 83% of the respondents expressed that they were very happy with the Company. This is yet another testimony that we are definitely on the right track! Indeed, the spirit of open communication and teamwork is a corporate culture that is uniquely Qian Hu’s. It is a culture that encourages creativity, team work and a happy environment to work in.
FINANCIAL HIGHLIGHTS
Turnover ($'000)
| Year | Turnover |
|------|----------|
| 1999 | 25,151 |
| 2000 | 33,903 |
Profit before taxation ($'000)
| Year | Profit before taxation |
|------|------------------------|
| 1999 | 1,808 |
| 2000 | 4,129 |
Turnover - Business Activities
- **1999**
- Fish: 46%
- Accessories: 37%
- Others: 17%
- **2000**
- Fish: 49%
- Accessories: 35%
- Others: 16%
Turnover - Geographical
- **1999**
- Singapore: 64%
- Asia: 27%
- Europe: 8%
- Others: 1%
- **2000**
- Singapore: 61%
- Asia: 24%
- Europe: 13%
- Others: 2%
## VALUE ADDED STATEMENT FOR THE YEAR ENDED 31 DECEMBER 2000
| (S$'000) | 2000 | 1999 |
|-----------------------------------------------|----------|----------|
| Revenue earned | | |
| less: Purchase of goods | | |
| | 33,903 | 25,151 |
| | (24,690) | (19,614) |
| **Gross value added from operations** | **9,213**| **5,537**|
| Other operating income | 495 | 205 |
| Exchange gain | 94 | 2 |
| Share of profit (loss) of associated company | 8 | (7) |
| **Total value added** | **9,810**| **5,737**|
### Distribution:
- To employees in salaries and other related costs: 4,422 2,747
- To government in corporate and other taxes: 1,042 505
- To providers of capital:
- Interest paid on borrowings from bank (net): 158 150
- Dividends to shareholders: 312 0
- Retained for re-investment and future growth: 948 827
- Depreciation and amortisation: 2,847 1,314
- Minority interest: (18) 0
- Non-production cost and income:
- Bad debts and provision for doubtful debts (net): 99 194
**Total distribution**: 9,810 5,737
### Production data
| | 2000 | 1999 |
|-------------------------------|----------|----------|
| Number of employee | 166 | 135 |
| Value added per employee ($'000) | 59 | 42 |
| Value added per $ of employment cost | 2.22 | 2.09 |
| Value added per $ sales | 0.29 | 0.22 |
| Value added per $ of investment in fixed assets | 1.05 | 0.82 |
YEAR IN REVIEW
At Qian Hu, we have always been unwavering in our business focus. We recognise that doing too many things keeps one from doing our best. That is why we have chosen to stay focused on our core expertise of distributing and exporting ornamental fish, and its related activities, to the world’s aquariums - whether it be the farming of ornamental fish, manufacturing and distributing aquarium and pet accessories, breeding highly-prized Dragon fish, or producing plastic bags for the packing of fish for export.
Listing on Singapore Exchange
For the past one year, we too have been very focused on preparing for our initial public offer in October 2000. We are glad that our hard work has finally paid off. The eighth day of November 2000 - the day Qian Hu Corporation Limited got listed on the Singapore Exchange - has been entered in the annals of Qian Hu as a sort of coming-of-age, and transformation of an agrarian, family-run business into a professionally-managed, export-driven agro-technology company. We were also doubly blessed to receive the International Management Action Award (IMAA) from the Institute of Management and the Productivity & Standards Board that same day.
Aquarium and Pet Accessories
While we are focused on developing new markets and expanding our existing distribution channels, we have made progress in expanding our manufacturing capabilities for aquarium and pet accessories. In 2001, we established a joint venture company, Wan Jiang Technology Co Ltd, in Guangzhou with a Taiwanese partner. Wan Jiang will produce our own house brands of aquarium and pet accessories as well as other third party brands. Initially, Wan Jiang will supply accessories to our regional subsidiaries. Its distribution network will be widened to include countries such as Japan, Germany, the United Kingdom and the rest of the world.
In the year under review, we expanded our distribution network for aquarium and pet accessories in Thailand through our 66%-owned subsidiary Qian Hu Marketing. Qian Hu Marketing is in the process of restructuring before a licence can be approved by the local authorities.
**Breeding of Dragon Fish**
In the second half of FY2000, we received the licence from the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) to sell Dragon Fish bred by our farm. Under CITES, we are only allowed to sell the second generation of Dragon Fish which takes about 4 years before it can reproduce. Commercial breeding of the endangered and highly-prized Dragon Fish requires specialised knowledge and techniques that we have acquired over the last five years. We are believed to be one of the first few farms in Singapore to have achieved this.
By the close of fiscal year 2000, Qian Hu has added another 10 retail outlets to our chain of 30 retail outlets authorised by the Agri-food and Veterinary Authority of Singapore (AVA) to sell Dragon Fish.
**Expanding Production Capacity of Plastic Bags**
Our plastic manufacturing subsidiary, Tat Leng, is in the midst of finalising its plans for the move to a new facility in Woodlands. Tat Leng was initially incorporated to support the demand for plastic bags from our core export business. However, its high-grade plastic bags have made inroads into the electronics, IT and food industries as well. When fully operational in 2002, Tat Leng will have increased its production capacity by 50%.
CORPORATE INFORMATION
BOARD OF DIRECTORS
Kenny Yap Kim Lee
(Executive Chairman and Managing Director)
Alvin Yap Ah Seng
Andy Yap Ah Siong
Robson Lee Teck Leng
Chang Weng Leong
COMPANY SECRETARY
Chia Yong Yong
AUDIT COMMITTEE
Robson Lee Teck Leng (Chairman)
Chang Weng Leong
Kenny Yap Kim Lee
REGISTERED OFFICE
133 New Bridge Road #11-09
Chinatown Point
Singapore 059413
SHARE REGISTRAR
M & C Service Private Limited
138 Robinson Road
#17-00 Hong Leong Centre
Singapore 068906
AUDITORS
Arthur Andersen
10 Hoe Chiang Road
#18-00 Keppel Towers
Singapore 089315
Partner-in-charge: Steven Phan Swee Kim
PRINCIPAL BANKERS
The Development Bank of Singapore Ltd
6 Shenton Way
DBS Building Tower One
Singapore 068809
Overseas Chinese Banking Corporation Limited
65 Chulia Street #29-02/04
OCBC Centre
Singapore 049513
GROUP STRUCTURE
QIAN HU CORPORATION LIMITED
- QIAN HU FISH FARM TRADING
- YI HU FISH FARM TRADING
- WAN HU FISH FARM TRADING
- DAUDO AQUARIUM
SUBSIDIARIES
- TAT LENG PLASTIC PTE LTD (SINGAPORE) 100%
- GUAN GUAN AQUARIUM SDN BHD (MALAYSIA) 100%
- QIAN HU MARKETING CO LTD (THAILAND) 66%
- BEIJING QIAN YANG AQUARIUM CO LTD (CHINA) 100%
- FUJIAN ANXI QIAN LONG PLASTICS PRIVATE CO LTD (CHINA) 100%
ASSOCIATES
- FUJIAN ANXI JI YING HANDICRAFT ARTICLE CO LTD (CHINA) 25%
- WAN JIANG TECHNOLOGY CO LTD (CHINA) 50%
CORPORATE GOVERNANCE
The directors and management are committed to high standards of corporate governance and embrace the best practices contained in the Best Practice Guide issued by the Singapore Exchange Securities Trading Limited.
The Board of Directors
The Board currently has 5 members consisting of 3 executive directors and 2 non-executive directors who are independent directors. The Board meets regularly throughout the year and amongst other matters, reviewed the financial management and performance of the Group including matters relating to corporate governance. The other responsibilities of the Board include the deliberation of the Group’s overall business strategy, approval of major investments, review of the Group’s financial policies and annual budget. To discharge its responsibilities effectively and efficiently, the Board has set up a number of committees to oversee specific task areas. These committees includes:
The Executive Committee
The Executive Committee meets once a month to review the performance of the Company and its subsidiaries, to deliberate on corporate strategies, the Group’s businesses and principal risks and to address important issues. It comprises 3 executive directors and is chaired by Kenny Yap Kim Lee.
The Audit Committee
The Audit Committee, comprises 2 independent directors and 1 executive director, is chaired by Robson Lee Teck Leng. The principal responsibility of the Audit Committee is to assist the Board of Directors in the identification and monitoring of areas of significant financial and business risks. It reviews the compliance with the Listing Manual and the Best Practice Guide of the Singapore Exchange Securities Trading Limited and evaluates the adequacy and effectiveness of internal accounting controls and financial reporting controls. The Committee also reviews interested party transactions as well as the Company’s procedures set up to monitor and report on all interested party transactions. Specific function of the Committee includes reviewing the scope of work of the external auditors and receiving and considering the external auditors’ reports. The Group’s annual consolidated financial statements and announcement were reviewed by the Committee before they are submitted to the Board of Directors for approval.
The Committee met 2 times after the Company was listed on 8 November 2000.
The Employees’ Share Option Scheme Committee
The Employees’ Share Option Scheme Committee comprises 1 executive and 2 non-executive directors and is chaired by Chang Weng Leong. The Committee administers the Employees’ Share Option Scheme of the Company and deliberates on matters of eligibility as well as the number of options to be granted to each participant, in accordance with the terms and conditions of the Scheme.
Dealing in Securities
The Group has procedures in place on dealing in securities, whereby there should be no dealings in the Company’s shares by its officers during the period commencing one month prior to the announcement
of the Company’s half-year and full year results. Directors and executives are also expected to observe insider trading laws at all times even when dealing in securities within permitted trading period.
**Compliance with existing Best Practices Guide of the Singapore Exchange**
The Board of Directors confirms that during the year ended 31 December 2000, the Company has complied with the corporate governance policies set out in the Best Practices Guide issued by the Singapore Exchange Securities Trading Limited.
**Corporate Governance for FY2001**
In respect of the present financial year ending 31 December 2001, the Audit Committee is in the process of reviewing the consultation papers published by the various public and private-sector-led committees initiated by the Government, with the object of institutionalizing a culture of good corporate governance and best practices for the group during the present financial year. An institutionalized system and culture of good corporate governance is of paramount importance to attract both local and international institutional investors to invest in the Company’s shares. Institutional and sophisticated investors place great importance on corporate governance when making investment decisions. The importance of good corporate governance and best practices to the Qian Hu group cannot be over-emphasised.
In particular, the Audit Committee will review and carefully study (i) the recommendations of the Final Report and Code of Corporate Governance, published on 4 April 2001, (ii) the Consultation Paper on the Proposed Securities and Futures Act published on 21 March 2001 and (iii) the Consultation Paper on Disclosure and Accounting Standards published on 6 December 2000.
The guidelines and recommendations set out in these consultation papers will fundamentally form the benchmark standards and instructive principles for the Audit Committee to instill high standards of corporate governance, international transparency practices and timely disclosures in the following four broad aspects of the group’s corporate management:-
- Appointment of Directors and Board Management
- Compensation and Remuneration Policies for Executive Directors and Senior Management Staff
- Accountability and Audit
- Communication with the Public and Shareholders
The Audit Committee is heartened by the Company’s overall third position this year in the Corporate Transparency Index Rankings initiated and published by the Business Times in respect of the financial results disclosures of all public listed companies in Singapore. The Audit Committee has every intention, wherever possible, to comply with the spirit and the letter of the abovementioned consultation papers in its task to institutionalize and maintain the international discipline and standards of good corporate governance and best practices for the Qian Hu group.
OUR PUBLIC RESPONSIBILITIES
We are indebted to the environment without which we would not be able to draw valuable resources to conduct our business. The setbacks that we had experienced way back in our history has taught us the importance of protecting our environment. Since then, our operations and processes in our farm have been modified, minimising the environmental impact on our natural surroundings.
Since 1997, Qian Hu embarked on a programme to preserve our natural resources and minimise wastes by participating in the ISO 14000 Environmental Management System which is an international standard for managing the environment. A year later, we obtained another ISO 14001 certification, underscoring once again our commitment towards preserving the environment. Through these two programmes, we have an integrated system in place to manage our operations sensitively, and minimising the possible stress that our business can impose on the environment.
Besides our commitment to preserving our natural surroundings, we have been careful not to neglect our social responsibility as well. Our community forms an integral part of the environment that we operate in, and we encourage our staff to be good corporate citizens by actively participating in a number of fund raising activities such as:
- Annual fund raising projects for various societies, clubs, community centres
- Direct contributions to organisations such as Society for the Visually Handicapped, homes for the aged, and schools
- The SHARE programme
QIAN HU CORPORATION LIMITED
71 Jalan Lekar, Singapore 698950
Tel: (65) 766 7087 Fax: (65) 766 3995
www.qianhu.com
|
19th November 2021
Welcome to our latest news round-up from across the Dignity Group. Can't wait for the next issue? Then go to www.dignityinside.co.uk to see the news, comment and get involved. (P.S. Don't forget to print out a copy for any colleagues who don't have email!)
HELP IS AT HAND
The creation of a new taskforce means we can work together to overcome operational challenges.
Home in desperate need of a makeover? Send out a DIY SOS.
Prized family heirloom looking past its prime? Take it to the Repair Shop.
All very well for fans of reality TV, but what can we do when expert help is required right here at work? Call the Dignity Taskforce of course!
This exciting new initiative is designed to relieve pressure in areas where we're experiencing extra client demand for our services or still trying to fill vacancies.
Members of the taskforce can be sent to join up with local operational teams until things get back on track, with accommodation provided for those working away for a period of time.
The idea came out of our experiences during the pandemic where help was sometimes needed to cover absences and higher than usual volumes of business.
Now it's being used to improve our business continuity planning and ensure we can be fully prepared for any eventuality.
Action stations
First to make use of taskforce support has been our London region, where an increase in the number of families choosing Dignity as their preferred funeral director has created a need for extra resource.
Dave Smith, Matthew Bickerdicke, Daniel Tate and John Slinn (pictured above from left to right) were welcomed at J H Kenyon by Area Manager Douglas Carr.
Continued on the next page >
He said: “North West London requires additional help and the taskforce has now arrived so we can continue to service our clients and ensure they are not affected by any delays. They have immediately been asked to go out on funerals and we really appreciate their help.”
In South West London, Jonathon Firth, Conor Smith, Darren Smith, Andrew Wright, and Anthony Phillips are also hard at work performing a similar role.
Care Centre Manager Doug Sartain said: “The taskforce have hit the ground running and are proving to be a fantastic help as we look to complete and provide more funeral services locally.”
**Across all functions**
It’s not just Funeral Operations who are working collaboratively in this way. The Crematorium and Memorial Group regularly deploys managers and colleagues to other parts of the country to resolve local issues.
The Client Service Centre has also recently welcomed colleagues from other telephony areas to handle increasing call volumes.
Among those helping out are Lewis Gregory and Lee Allen from the Funeral Plan Call Centre, while Donna Bennett, Lesley Masters, Jenna Tallis, Jennifer Harris Jones and Connor Baughan have temporarily moved across from the Client Care Team.
Our ambition is to make the new Dignity Taskforce fully cross-functional in the New Year, so any business area or department can call on its services and make full use of its skills.
In the meantime, if you think you might be able to contribute and join the taskforce then we’d love to hear from you.
Please discuss it with your manager first, then simply email your name and job role to email@example.com and we’ll keep your details on file should any suitable opportunities come up.
Throughout the COVID-19 pandemic, our funeral directors have worked even more closely with hospice staff from across the UK.
Teams have done all they can to ensure the preferences and individual wishes of families have still found space for expression, even amidst the various restrictions required to stay COVID-secure.
Earlier this month, Dignity also supported Hospice UK’s National Conference held at the Liverpool Arena and Conference Centre and attended by more than 700 directors, managers and healthcare specialists.
Hospice UK is the national charity for those experiencing dying, death and bereavement. They help more than 200 hospices nationwide who care for 200,000 terminally ill adults and children every year.
**Showcasing Dignity**
Our Communications and Marketing teams collaborated so that Dignity could have an exhibition stand with promotional literature during the conference.
We also created professional videos for broadcast in the exhibition hall and prior to the various conference seminars.
Representing Dignity were Anthony Driver, David Boyes, Jenni Calvert and Jacky Nutter from the North West Region, who spent time over the three day event engaging with delegates.
**Grief and bereavement**
The conference was an opportunity for people to share their individual experiences of the pandemic and this provided the theme for an engaging discussion panel.
Regional Manager Anthony Driver represented the funeral sector during the session titled ‘the impact on grief and bereavement’.
It prompted a very strong reaction from the audience, with praise for Dignity and Anthony’s contributions. We were also pleased to note positive comments from many delegates about Dignity’s branches in their local areas, especially those where a working relationship already exists.
“Hospice UK is the national charity for those experiencing dying, death and bereavement.”
Dying Matters
Coinciding with the conference, we were delighted to confirm a donation from CMG’s metal recycling scheme which will help to fund a community grant initiative by Dying Matters.
Established in 2009 by the Department of Health and NHS England, Dying Matters was taken over by Hospice UK four years ago and campaigns for greater conversation around death and dying.
Our contribution will help community groups raise awareness of Dying Matters locally, remove the stigma associated with talking about death and support people in having the ability to die where and how they want.
Looking to the future, it’s important we recognise the need for strong relationships with stakeholders such as Hospice UK.
Supporting their conference demonstrated to those professionals in attendance that we are a responsible and caring company. Moreover, it showed that when we work together it can result in better outcomes for those at the end of their life and their families.
“Our contribution will help community groups raise awareness of Dying Matters locally.”
CHRISTMAS IS COMING
And our eye-catching decorations will brighten up your tree, while helping clients remember a loved one.
Yes, we know. We’ve only just said boo to Halloween and Bonfire Night went with a very recent bang.
However much you want to ignore the mince pies in the Tesco aisles or the John Lewis ad on the telly, Christmas is actually creeping up on us.
That means planning for any festive activities for our clients needs to start soon.
Luckily our resident superstars in Dignity’s Brand team have just the thing – erm, stars! Well, star shaped Christmas tree tags to be precise and they’re ready to order right now.
A time to remember
It has become a seasonal tradition at Dignity that many of our funeral homes will put up trees at Christmas and decorate them with memorial tags filled out by their clients to create a poignant display.
Some choose to include a charitable element too, with any donations offered by those placing a tag given to either a local good cause, or our nominated charity partner, which this year is Teenage Cancer Trust.
We’ve updated the tag design for 2021 (see below for full size examples). Each variation is finished in silver and the tags include string they’re easy to attach to your tree.
How to order
Tags need to be ordered from Just Digital via the Dignity Store, not Manton House as they have been previously.
You can do this on the store website and you should receive a delivery within a couple of days.
If you don’t have a site login, send an email to firstname.lastname@example.org stating your branch name, quantity and brand (burgundy ‘With Distinction’ or Dignity blue).
It’s worth ordering quickly if you’re going to be organising a Christmas memorial service in your local area – that way, tags can also be included when you mail-out the event invitations.
There will be more to come from the Brand team to support you with quality marketing materials this Christmas, so look out for further updates in the weeks ahead.
SPECIAL CARE REQUIRED
Some types of personal data need extra protection due to their sensitivity. Do you know what they are?
Like all businesses, Dignity is duty-bound to keep any personal data we handle safe and secure.
It’s a shared responsibility between all colleagues and the consequences can be serious if we get things wrong.
Rules for how organisations process and store personal data are laid out in the UK General Data Protection Regulations (GDPR).
These regulations define personal data as any piece of information that relates to an identified or identifiable individual. It could be something as simple as a name or number, or something less obvious such as an Internet Protocol address or cookie identifier.
Whatever the data, we need to have a valid reason for holding it and measures in place to maintain its confidentiality.
Special categories
Under the UK GDPR, some types of personal data are singled out and require extra levels of protection:
- A person’s racial or ethnic origin
- Political opinions
- Trade Union membership
- Genetic data
- Biometric data (where used for identification purposes)
- Physical and mental health
- Sex life or sexual orientation.
This information is known as ‘special category data’, not just because it might be seen as more sensitive or private, but because its use could create significant risks to the individual’s fundamental rights and freedoms.
Businesses are able to collect and use special category data, providing they adhere to a number of conditions and safeguards as outlined in Article 9 of the UK GDPR.
What special category data might be relevant to us?
A good example is health data, whether that be related to a Dignity client or a colleague.
Consider any information on medical history, clinical treatment, injury, disease or disability. We may collect information when an individual registers for health services.
We may have appointment details, reminders and invoices which can reveal something about the health of an individual.
How do we stay compliant?
Before any colleague starts collecting or processing special category data as part of their job role, they must inform the Data Protection team by emailing email@example.com.
This is so an assessment can be completed in advance to be certain we are meeting our data protection obligations under the UK GDPR.
It’s a highly technical area, which is why we have experts on hand to offer guidance and advice.
Above all, we want to ensure we’re always taking proper care of the clients we serve and the colleagues we work with – and that includes any personal data you entrust us with.
When we think of wellbeing we often associate it with things like mental health, physical health and diet.
But there’s another aspect that’s often overlooked – financial wellbeing.
In the run up to Christmas, money can be a real problem and since last week was national Talk Money Week, it’s a perfect opportunity to tackle the topic of finance.
In the UK, we don’t talk about money often enough. Despite the COVID-19 pandemic impacting many of us financially, it’s estimated that 9 in 10 adults – that’s 47 million people – don’t find it any easier to discuss money, or won’t even raise it at all.
So, there is still work to be done to break down the taboo.
We know that concerns over money can have a detrimental impact on people’s wellbeing, or exacerbate existing mental health problems.
Research also shows that people who do talk about money:
• Make better and less risky financial decisions
• Have stronger personal relationships
• Help their children form good money habits for life
• Feel less stressed or anxious and more in control.
Help you can count on
If you have money worries, talk to your friends, family or a trusted colleague. Keeping them to yourself can often make things worse.
Alternatively you can reach out to someone independent. Representatives from our Employee Assistance Programme run by AXA are available 24/7 on 0800 072 7072 for a free and confidential chat.
Dignity has a partnership with a company called Neyber who offer a selection of exclusive financial products such as personal loans and debt consolidation services where the repayments are deducted directly from your salary.
All colleagues also have access to Neyber’s Financial Wellbeing Hub which is packed with useful information about money management. You’ll find a link via the Oracle system (where payslips are held).
And don’t forget to check out the content in our Wellbeing section on Dignity Inside.
We’ve rounded up a selection of photos from the fantastic Remembrance Day displays and activities organised across our business.
Up and down the UK colleagues have been pulling out all the stops to pay their respects to those who died in conflict.
Colleagues at Dignity’s head office in Sutton Coldfield gathered at the nearby War Memorial in King Edward Square to observe the two minute silence on Remembrance Day.
Poppies have also been on sale throughout the month at KEC reception, with all proceeds going to the Royal British Legion.
J H Kenyon Manager Philip Smyth was honoured to be a guest of the Mayor of the Royal Borough of Kensington and Chelsea during the Act of Remembrance at the Kensington War Memorial.
He was joined by trainee Funeral Director Thoshan Bhagwanadeen, while the star of the morning was Irish Wolfhound Turlough Mor (fondly known as ‘Seamus’) who is the Regimental Mascot of the Irish Guards.
Colleagues at Middleton & Wood in Wigan created a stunning display featuring a silhouette of a soldier and swathes of poppies.
Not forgetting a display of purple poppies representing all the service animals who lost their lives at war.
Continued on the next page >
R Brain & G Gamble & Son in Fulham gave a tribute to the Poppy appeal featuring a wooden etching of Winston Churchill.
It’s probably one of the last things you’d expect to see hanging from the ceiling in any of our branches… a Spitfire!
H Dale in Stoke-on-Trent really went to town when it came to Remembrance Day, supported by children from nearby Gladstone Primary School who sent in their fantastic artwork for the display.
John Bardgett & Sons in Ponteland represented the Army, Air Force and Navy with these fantastic posters.
Colleagues at Wolstenholme in Accrington created stunning poppy-themed displays including hand-knitted poppies and an embroidered tribute.
Of course, we don’t have space to print all the wonderful displays here, but you can find more on Dignity Inside!
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The objective of the Midcourse Space Experiment (MSX) mission was to collect data on midcourse target and background phenomena and to support space situational awareness. To accomplish these objectives, the MSX spacecraft was designed for a 5-year lifetime. Launched in 1996, the MSX spacecraft exceeded its design lifetime by 7 years. It collected the first comprehensive set of multispectral midcourse target data and more than 10 years of space surveillance data in support of our nation’s space situational awareness objectives. In 2008 the MSX spacecraft was decommissioned, and with that event came the end of more than 12 years of successful operations. The decommissioning of MSX had to be planned and executed in a manner for which the spacecraft was not designed; however, this was not unusual for the MSX spacecraft: throughout the operational life of the MSX, much of what was accomplished was beyond its design. The operational life of MSX was one of adapting to challenges while maintaining a high level of productivity. That productivity lasted until decommissioning, and the operational challenges remained through the end of the decommissioning activities.
**MSX BACKGROUND**
The MSX spacecraft was launched on 24 April 1996, into an 898-km circular orbit with an inclination of 99.3° (Fig. 1). MSX was designed to collect data on multispectral target and background phenomena of ballistic missiles in the postboost phase of flight, or midcourse, to address the needs of the Ballistic Missile Defense Organization and, as a secondary objective, to support space situational awareness (SSA). The midcourse objectives of the MSX mission were met through the successful implementation of a series of dedicated and cooperative target experiments. These target experiments included the Midcourse Dedicated Target experiment, which was launched on 31 August 1996, and was designed to acquire signature phenomena against a long-range target, as well
as to acquire data in other target experiments against shorter-range targets. In addition, MSX acquired routine observations of stressing Earth-limb and celestial background scenes. During the time of these experiments, MSX deployed a cryogenically cooled infrared imaging telescope, a suite of UV and visible imagers, spectrographic imagers, and a visible spectrum camera. As planned, the cryogenically cooled telescope expended its cryogen, ending the infrared ballistic missile target phase of the MSX mission.
SSA became the primary mission of MSX after the cryogenic phase ended in February 1997. The SSA objective for MSX was to maintain and enhance a current space object catalog (including position, velocity, and time) of all objects orbiting Earth. The goal of the MSX SSA data collection was to acquire 100 satellite observations per day, a goal that was exceeded by a significant margin, with a peak of 400 satellite observations per day in 2001 (Fig. 2). MSX became the first successful Air Force Advanced Concept Technical Demonstration (ACTD), and ownership was transferred to Air Force Space Command. MSX was much better than the ground-based radars at detecting objects in high-Earth orbit and was heavily tasked to search the geosynchronous belt. One factor leading to the success of MSX in meeting the Air Force’s SSA objective was that MSX, which had a 5-year design lifetime, lasted for 12 years and provided the Air Force’s first operational space-based SSA sensor. Over its 12-year lifetime, MSX made long-term contributions to the maintenance of the space catalog and serves as a pathfinder for future Air Force systems.
MSX was a large and complex spacecraft. It is the largest spacecraft ever built by APL. The operation of the spacecraft was very labor intensive because its mission and observations were highly varied.\textsuperscript{2} Significant planning and mission-operations efforts were required to maintain the productivity of MSX.
The MSX spacecraft was an episodic spacecraft. It spent most of the time in a three-axis-stabilized, zenith-pointing-attitude mode (parked). The spacecraft would maneuver from parked attitude to conduct a task for data collection (track mode). If an anomaly occurred, MSX entered safe mode. To support the desired Ballistic Missile Defense Organization experiments, the MSX spacecraft was host to a suite of state-of-the-art instruments and had a large suite of pointing and tracking options.\textsuperscript{3}
**INSTRUMENT OVERVIEW**
The Spatial Infrared Imaging Telescope III (SPIRIT III) was designed and built by the Space Dynamics Laboratory of Utah State University. It was a cryogenically cooled, midwave through longwave infrared instrument package used to support the primary remote sensing system for MSX. The SPIRIT III could detect infrared radiation ranging spectrally from 4.2 to 26.0 μm. The life of SPIRIT III was limited by the consumable solid hydrogen in the instrument’s dewar.\textsuperscript{4}
The Ultraviolet and Visible Imagers and Spectrographic Imagers (UVISI) was a highly complex instrument suite designed and built by APL for the purpose of acquiring UV and visible target signatures and backgrounds. The UVISI instrument consisted of four imagers and five spectrographic imagers and a set of instrument electronics used for control and data processing. Together, these nine sensors were sensitive to wavelengths from 110 to 900 nm. This instrument also contained an onboard image processor that was used successfully to conduct closed-loop tracking of resident space objects.\textsuperscript{5}
The Space-Based Visible (SBV) camera, designed and built by Massachusetts Institute of Technology Lincoln Laboratory, performed above-the-horizon surveillance experiments and acquired visible and near-infrared band data on targets and backgrounds. SBV was the sole instrument tasked for the space-surveillance portion of the MSX mission. The SBV sensor was used mainly to track spacecraft in the geosynchronous belt during the secondary mission.\textsuperscript{6}
MSX also included a suite of spacecraft contamination instruments designed to monitor the contamination environment throughout the lifetime of the mission. This suite of instruments included five quartz crystal microbalance monitors, a total pressure sensor, an ion mass spectrometer, a neutral mass spectrometer, a water vapor monitor, and a xenon flash lamp to detect particulate contamination.\textsuperscript{7}
**BUS OVERVIEW**
The payload instruments on MSX were able to perform because of a highly capable spacecraft bus. The importance of the mission necessitated a high degree of capability and reliability. The latter was achieved via the following redundant and cross-strapped subsystems on the spacecraft.
- **Electrical power subsystem (EPS):** The EPS consisted of two solar arrays with a maximum output of approximately 1200 W each. They were used to charge a 50-Ah nickel metal hydride battery. The battery charge was controlled by redundant power maintenance modules (PMMs).
- **Command and data handling:** The command and data handling system was made up of redundant command processors (CP1 and CP2) and redundant data handling systems. Communication was provided by S-band uplink with a 16-Kbit/s housekeeping downlink, 1-Mbit/s S-band downlink, and 25-Mbit/s X-band downlink.
- **Tape recorders:** MSX carried two analog reel-to-reel tape recorders, with a 54-Gbit capacity on each to allow for storage of vital mission data.
- **Attitude-determination subsystem:** The attitude-determination subsystem (Fig. 3) provided a stable platform and accurate target pointing. Two redundant attitude processors and five types of attitude sensors were on the MSX spacecraft. The five sensors consisted of a three-axis magnetometer, two horizon sensors (HSA1 and HSA2), a five-head digital Sun-angle detector, a star tracker, and two ring-laser gyroscopes (RLG1 and RLG2). Control was provided by four large reaction wheels and three internally redundant magnetic torque rods.
**EVOLVING OPERATIONS**
During the life of the mission, various spacecraft systems degraded, some gradually and others suddenly. The mission control team (MCT) was able to mitigate those degradations and maintain the productivity of the spacecraft. The MSX spacecraft occasionally went into a safe mode that limited data collection, but for the most part MSX was reliable.
The mode of operation changed when the secondary mission began. During the primary mission, the spacecraft conducted brief data-collection events, during which it would slew to the target and turn on the instruments. The results of these experiments were stored on the two analog tape recorders for later X-band downlink over APL. The spacecraft was inactive (parked) approximately 90% of the time. During the secondary, or extended, space-surveillance mission, the spacecraft became increasingly busy, with a duty cycle approach-
Figure 4. Graphical timeline showing a day in the life of MSX. The light blue bars represent data-collection events, while the shorter bars represent ground contacts with the spacecraft.
During 50% (Fig. 4). This produced significant additional stresses to the aging spacecraft.
The intensity of the lasers in the RLGs began to noticeably degrade soon after launch but became a critical issue after the spacecraft’s prime phase was completed. The gradual degradation did not affect performance of the RLGs; however, if the laser intensity would have fallen below a certain threshold, the RLG would have become inoperative. The degradation was determined to be a function of the amount of time the RLGs were turned on, so the attitude-control software was modified to allow the gyros to be turned off in park mode and used only for data-collection events. This periodic use of gyros significantly extended the life of the mission.
Eventually both RLGs showed significant degradation of laser intensity, and the attitude system was changed again to allow operations to proceed without the gyros and to use only the other attitude sensors. This change, although vital, introduced significant operational difficulties. The onboard system was not designed to be used without the gyros, especially in the track mode, when the spacecraft was dynamic and the view of sensors was changing rapidly. Gyros provided a continuous knowledge of the MSX pointing direction, and without them the onboard system had to rely on the other sensors. Reliance on only the other sensors was not ideal because during rapid spacecraft maneuvers the star trackers lost track of stars. In addition, the Sun sensors were not available during eclipse on every orbit. Depending on spacecraft pointing, occasionally neither horizon sensor was pointed at the horizon, and this resulted in availability of only the magnetometer data. However, it is not possible to determine attitude with only a single vector, and safe mode would result. During safe mode, data collection ceased, the spacecraft slewed to zenith-pointing attitude, and the solar arrays were rotated to track the Sun. The MCT largely mitigated these problems by reducing slew rates and redesigning data-collection events to keep one horizon sensor on the horizon.
The MCT efforts were largely successful, but to maximize data to the customer, the spacecraft attitude-control system was again modified to allow the spacecraft to autonomously promote from the safe mode without ground intervention (provided very specific conditions were met).
Other subsystems degraded sporadically over the duration of the mission. Fortunately, the MCT and attitude-control system engineers largely mitigated these degradations as well. Other degradations included
• **X-band antenna:** A gimbaled X-band dish antenna, mounted at the aft end of the spacecraft, pivoted to point the dish at APL during data downlinks. Because of repeated cable flexure during passes, the connection to the dish became intermittent. In response, the MCT made operational changes that kept the dish in a fixed orientation, pointing directly aft of the spacecraft, and instead pointed the entire spacecraft such that the dish would point at APL during a pass over APL. This was made possible by using the attitude-control system much like it would be used for a data-collection event.
• **HSAs:** HSA1 experienced periods of erratic behavior that caused the spacecraft to enter safe mode on many occasions. Operations were again changed by restructuring data-collection events so that they would attempt to keep HSA2 on the horizon during the maneuver. HSA1 ultimately failed.
• **Star camera:** There was a gradual decline in the sensitivity of the star camera. This had some effect on tracking success and likely contributed to the gradual decline in productivity shown in Fig. 3. Some changes to the parameters were made to the flight software late in the mission to mitigate tracker issues, but insufficient time remained to see their effect clearly.
• **Digital Sun-angle detectors:** An electronics problem in one of the five heads occasionally flipped the Sun-angle vector most significant bit in the sensor telemetry. This caused the spacecraft to enter safe mode occasionally.
• **Tape recorders:** The tape guidance motors failed on both recorders. Both recorders were tested over the entire range of tape, and the tape counts where the data were reliably good were mapped. In the secondary mission, the tape recorders were not used heavily and it was possible to use the small remaining good stretches of tape to record the science data.
• **Battery:** As the battery aged, its energy capacity decreased. PMM parameters were tweaked to increase the current flow to the battery during charging. Autonomy rules were also developed to conservatively manage the battery (minimizing battery discharge). These rules would terminate data-collection events when battery drain became excessive.
### 2007 AND 2008 DEGRADED OPERATIONS
In January 2007 the MSX spacecraft was operating without the use of the RLGs or HSA1 for routine attitude determination in parked and track modes. However, late in the month the spacecraft experienced a serious degradation to the attitude system that greatly limited the ability of MSX to collect data. An intermittent problem with HSA2 caused the spacecraft to experience safe modes on nearly every orbit. The remainder of 2007 was spent working to mitigate the HSA2 issue. A variety of operational approaches were taken to counter the HSA2 problem. HSA2 data was cycled in and out of the attitude solution, alternative maneuvering techniques were tried, and the safe mode timeout limit was increased. MSX productivity continued at a reduced level through 2007.
In January of 2008 the MSX spacecraft experienced failures of an attitude processor and hard failure of HSA2. Attitude determination was switched to the redundant processor (attitude processor 1), but the HSA2 failure left MSX with significantly degraded attitude determination capability. It was decided that continuing the MSX program would be impractical and too costly. A decision was made to decommission the spacecraft, but not before another several months’ worth of additional data were collected by MSX by using the remaining, limited life of the RLGs.
### DECOMMISSIONING AND DISPOSAL
MSX was decommissioned in July 2008. Decommissioning the MSX spacecraft did not consist of a series of deorbit maneuvers, as is the practice for some satellites, because it had no propellant. Nor was it as simple as just powering down the spacecraft components and walking away because the design of the spacecraft included a level of autonomous survival methods that were hardcoded into the flight software. Any decommissioning plan needed to account for the flight software design and to defeat those survival actions.
The decommissioning goal was to place MSX in a state such that it would not generate any RF signature and would minimize any chances of debris. Because there was no propellant or other expendables on the spacecraft, the decommissioning planning revolved around depleting the MSX power subsystem to a level at which there would be insufficient energy to support any subsystem operation and insufficient energy for the spacecraft to autonomously reconfigure itself for survival.\(^8\)
#### Planning Phase
The technical aspects of the MSX decommissioning plan originally were outlined in 2005 at the request of the sponsor. The plan developed some strategies for disposing of the MSX spacecraft in a manner consistent with the decommissioning goal, but many details remained to be determined. Once the decision was made to decommission the MSX, the 2005 disposal plan was used as the foundation of the decommissioning operations.
The decommissioning plan targeted the EPS that supplied power to the spacecraft from the solar arrays and battery. A strategy was developed to place the spacecraft in a power-negative state in which the needs of the spacecraft exceeded the ability of the EPS to provide power.
One portion of the power strategy was to reconfigure the PMMs. The PMMs were designed to command the battery to maximum, reduced, or trickle charge rates on the basis of sensor inputs that measured voltage, temperature, and pressure. The PMMs also calculated the battery’s state of charge (SOC). The SOC is the percentage of the battery’s charge compared with its capacity. The PMMs linked the SOC to the battery’s charge rate, so that as the battery reached a particular SOC threshold, the battery’s charge rate changed from the maximum rate to the reduced rate and then to the trickle rate. Fortunately, this relation was configurable. For decommissioning, the plan was to configure the PMMs to the least advantageous state for maintaining the battery’s power (Table 1).
In addition to changing PMM set points, the battery’s SOC was a major tool for disposal operations. The PMM-calculated battery SOC would be commanded to 100% before the battery actually reached a full SOC. This would redefine 100% SOC at a lower level each time the command was executed. Essentially, the EPS was fooled into thinking that the battery was fully charged when it was not. PMM logic dictated that once the SOC reached 100%, the battery would charge at the trickle charge rate, which for disposal was set to 0.0 A. Execution of those SOC commands was done both in real time and by using the spacecraft’s autonomy. A new autonomy rule was created exclusively for this purpose.\(^8\)
The solar arrays were the source of power for MSX. By design, the arrays would normally track the Sun to maximize the supply of power. For decommissioning, the plan was to determine a solar array position for a particular time and duration to minimize the amount of energy output by the arrays and lock the arrays into that position. The solar array positions were determined both by modeling software and during testing before disposal. Those positions deemed best for minimal power output relied on a stable parked attitude of the spacecraft.
With a plan in place to configure the power storage and production by MSX, attention was then focused on another portion of the plan: to increase the power load on the spacecraft. The increased power load would increase the rate at which the battery would be depleted. The method for increasing the power load on the spacecraft was simple: all components that would not be detrimental to the decommissioning effort would be powered on. A list of components that could be safely powered on was compiled before the decommissioning effort and was carefully evaluated.
The MSX spacecraft was designed with low voltage sensing switch (LVSS) capabilities. The LVSS logic was hard-coded into the command processors (CP1 and CP2) and would have been detrimental to the decommissioning efforts. The LVSS logic was designed to execute commands that would place the solar arrays back to Sun-track mode and would begin to shed the load by powering off nonessential components once the main bus voltage of the MSX spacecraft fell below 24 V. The LVSS commands were executed from both CP1 and CP2 independently and the commands could not be changed; however, they could be disabled or masked. Masking of the LVSS logic allowed the battery to continue to drain, and the main bus voltage to continue to fall, without any intervening autonomous actions trying to save the spacecraft.\(^8\)
The configuration of the spacecraft for decommissioning required heavy uplink commanding and near-continuous monitoring to verify and assess the decommissioning configurations. The nominal MSX contact schedule, consisting of a single 10- to 15-min contact between the ground and spacecraft approximately every 90 min, was insufficient. Therefore, some logistical planning was needed as well. The support assets, in this case the coverage of the orbit from ground antenna, needed to be increased. Nominal scheduling of ground antenna would be insufficient for both the execution and the monitoring of the decommissioning plan. The decommissioning plan called for the maximum antenna coverage from both the APL 10-m dish and the sponsor’s ground network. Although the orbit of MSX made it impossible for continuous coverage, the increased antenna time allowed for sufficient time both to execute the decommissioning plan and to monitor MSX downlink telemetry to gain understanding of the spacecraft’s health.
**Execution Phase**
When the MSX decommissioning activities began, the MCT executed the various uplink command scripts and configured the spacecraft for decommissioning. The spacecraft was completely configured for decommissioning within four spacecraft contacts. Once configured, the MCT needed to monitor
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**Table 1. PMM settings for MSX disposal operations.**
| PMM Function | Nominal Setting | Disposal Setting |
|-------------------------------|-----------------|------------------|
| Over voltage limit 1 and 2 | 33.91 V | 32.57 V |
| Over temperature limit 1 and 2| 24.66°C | 21.4°C |
| Pressure limit 1 | 1158 psi | 979.83 psi |
| Pressure limit 2 | 1120 psi | 947.70 psi |
| Maximum charge rate 1 and 2 | 41.86 A | 18.1 A |
| Trickle charge rate 1 and 2 | 0.38 A | 0.0 A |
| Charge control reduction point 1 and 2 | 96% SOC | 88.07% SOC |
Derived from Ref. 8.
key spacecraft data to ensure that the decommissioning plan was on track and to determine how close MSX was to the end of its life.
To ensure that the decommissioning activities proceeded as planned, the MCT monitored the attitude, command processor, and component power on the spacecraft. Because the solar array offset was based on a nominal parked attitude and the solar arrays would resume Sun pointing if the spacecraft were to enter a safe mode, it was vital to ensure that the spacecraft attitude remained stable. The MCT had safe mode mitigation plans ready to be used if needed. The MCT monitored the command processors for resets. Resets to those processors would unmask the LVSS, thus allowing for the spacecraft to autonomously shed electrical loads, and would have placed the solar arrays into Sun-track mode. To verify maximum power loading, the MCT also monitored the various components that had been powered on.
The main bus voltage was the key parameter for determining the remaining life of MSX, and, thus, final end-of-life activities were triggered on the main bus voltage reading. The battery’s SOC percentage could not be used to assess battery charge because of its commanded redefinition of 100% SOC. The spacecraft was believed to be inoperable after the main bus voltage fell below 22 V.\textsuperscript{8} When that criteria was met the MCT sent commands to power off the reaction wheels. Additionally, the MCT powered off the RF communications system on MSX; this guarded against any stray RF transmission in the event that the battery regained sufficient capacity to operate. These were the final actions performed on the spacecraft, in accordance with the MSX decommissioning plan.
**Verification Phase**
At the start of the next contact, attempts were made, as planned, to power on the RF communications system. When those attempts failed, the active portion of the decommissioning plan ended, and the start of the verification stage began. The verification portion of the decommissioning plan consisted of repeated attempts to contact MSX and enable the RF system, carried out periodically for the next 7 days. None of the attempts to contact the MSX spacecraft was successful, and the MSX program had come to an end.
**CONCLUSIONS**
The decommissioning of MSX marked the end of one of the most successful satellite programs ever undertaken by APL. The MSX spacecraft had fulfilled not only an ambitious primary mission, but it had also provided an abundance of useful data for a time well beyond its designed lifetime. The 12 years of active operations that followed years of development and testing at APL were filled with frequent adaptation to changing spacecraft capabilities as well as to sponsor needs. These changes presented challenges to the operations teams throughout the program, including during the decommissioning process.
**ACKNOWLEDGMENTS:** We acknowledge the hard work and dedication of the people who worked on the MSX program, especially the dedicated MCT and mission planning team members. Additional thanks are owed to the engineering and testing support from Rick Reinders as well as to Tom Strikwerda and his attitude-control team, which enabled the last 2 years of the MSX program to be a success. The ground system maintenance expertise of Steve Lundfeldt and Jay Haslup ensured that the aging ground system hardware and software remained operable throughout the MSX mission, and none of the productivity would have been possible without their dedication to the program. Special thanks go to Glen Baer for years of coordination and the extra effort necessary to extract every bit of life out of the spacecraft. The ability to maintain any level of success in the final years of the MSX program was because of the guidance received from past team members; in particular, Dan Ossing made himself available to the MSX team, helping the team to gain much insight. Finally, a great deal of gratitude is owed to all who worked on the development, design, integration, and testing of MSX throughout the entire program. The success realized on MSX operationally was built on the solid foundation established early in the program.
**REFERENCES**
\textsuperscript{1}Hefferman, K. J., Heiss, J. E., Boldt, J. D., Darlington, E. H., Peacock, K., et al., “The UVISI Instrument,” \textit{Johns Hopkins APL Tech. Dig.} 17(2), 198–214 (1996).
\textsuperscript{2}Strikwerda, T. E., Norkus, M., and Reinders, R. D., “MSX—Maintaining Productivity with an Aging G&C System,” in \textit{Proc. 32nd Annual AAS Rocky Mountain Guidance and Control Conf.}, Breckenridge, CO, pp. 137–156 (2009).
\textsuperscript{3}Peterson, M. R., “Midcourse Space Experiment: Guest Editor’s Introduction,” \textit{Johns Hopkins APL Tech. Dig.} 17(1), 2–3 (1996).
\textsuperscript{4}Narttschi B. Y., Morse, D. E., and Woolston, T. L., “The Spatial Infrared Imaging Telescope III,” \textit{Johns Hopkins APL Tech. Dig.} 17(2), 215–225 (1996).
\textsuperscript{5}Hueschman, R. K., “The MSX Spacecraft System Design,” \textit{Johns Hopkins APL Tech. Dig.} 17(1), 41–48 (1996).
\textsuperscript{6}Harrison, D. C., and Chow, J. C., “The Space-Based Visible Sensor,” \textit{Johns Hopkins APL Tech. Dig.} 17(2), 226–235 (1996).
\textsuperscript{7}Uy, O. M., Benson, R. C., Erlandson, R. E., Boies, M. T., Lesho, J. F., et al., “Contamination Experiments in the Midcourse Space Experiment,” \textit{J. Spacecr. Rockets} 34(2), 218–225 (1997).
\textsuperscript{8}Norkus, M., and Baker, R., “Creating and Executing a Disposal Plan for the Mid-Course Space Experiment (MSX) Satellite,” in \textit{Proc. AIAA SpaceOps 2010: Delivering on the Dream}, Huntsville, AL, paper AIAA 2010-2277 (2010).
Michael Norkus is a mission operations lead and a member of the Senior Professional Staff at APL. He has a B.A. in communications from Regis University in Denver, Colorado. Michael has extensive background in spacecraft operations and was the Mission Operations Lead for the MSX program at the time of decommissioning. Before joining APL in 2005, Michael worked on the ground operations team for the Chandra X-Ray Observatory in Cambridge, Massachusetts. Michael also served in the U.S. Air Force, where he gained mission operations experience on several operations and research and development programs including Global Positioning System (GPS), Defense Support Program (DSP), and Technology for Autonomous Operational Survivability (TAOS). Robert F. Baker is Assistant Mission Operations Manager on the TIMED spacecraft. He is a member of the Senior Professional Staff at APL in the Space Mission Operations Group. He received a B.S. in mechanical engineering from Lehigh University in 1978 and joined APL in 1980. Robert E. Erlandson is a physicist, a member of the Principal Professional Staff at APL, and Branch Supervisor of the Space Department’s Science and Analysis Branch. He received a Ph.D. in physics from the University of Minnesota in 1986 and joined APL that same year. Dr. Erlandson has an extensive background in space plasma physics and optical remote sensing. He has written more than 80 peer-reviewed publications on topics ranging from auroral physics to active experiments in the ionosphere to wave-particle interactions. He was a member of the contamination experiment and UVISI target teams for the MSX program. For further information on the work reported here, contact Michael Norkus. His e-mail address is firstname.lastname@example.org.
The Johns Hopkins APL Technical Digest can be accessed electronically at www.jhuapl.edu/techdigest.
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SHAWNIGAN GATHERING ~ 2014
Gathering Program for Saturday, March 29
9:00 am
★ Gathering participants assemble in the gymnasium with musical encouragement from our local Marimba band
9:20 am
★ Opening Session: Welcome by Chief Michael Harry, Malahat First Nation and Chair Rob Hutchins, Cowichan Valley Regional District
9:45 am
★ Brief outline of the Gathering Program and the main themes for the events of Saturday and Sunday
10:00 am
★ Rob Hutchins and Chief Harry present Community Service Awards
10:20 am
★ Keynote Address: The Economic Future of the Shawnigan Area, Blue Sky Ideas and Practical Realities: Geoff Miller, Economic Development Manager of the CVRD
11:00 am
★ Break with entertainment by young musicians
11:30 am
★ The Island Corridor Foundation and the train: Where to from here? (if information is available in time)
12:00 noon
★ Traditional seafood feast provided by the Malahat First Nation in the open Gathering Cafe. Further entertainment by young musicians
1:15 pm
★ Children’s activity program opens in the gymnasium (including the SLBA portable hockey rink and a reading circle among others)
★ Seminar: The Shawnigan Watershed Research Teams in action: Ecological, water quality and economic research to be done and how we will use the information to develop a master plan for the watershed
2:30 pm
★ Refreshment break with musical accompaniment
3:00 pm
★ Seminar: SLBA Guest Speaker on Using Social Media Effectively for Business
6:00-7 pm
★ Music, Choir and Performance Session in the Gym
6:00 pm
★ Gymnasium opens for set up of the Business and Community Group Trade Show and Performance Program for Sunday
7:00 pm
★ Seminar: The Elsie Miles Property: Sharing community ideas on how to enhance the centre of Shawnigan Village as a special gathering space
Gathering Program for Sunday, March 30
9:00 am
★ Business and Community Group Trade Show opens to musical accompaniment and continues all day to 3:30pm
10:00 am
★ Gathering Café opens for the day for informal snacks, lunches and chats
10:00 am
★ Business Showcase: Plans for the Commercial Development across from the Community Centre entrance; Development of a Market at the Shawnigan-Sooke Lake Road junction; and, Discussion of how to make industrial ecology (mimicking nature) work for business
11:15-Noon
★ Introduction of young musicians, their instruments and their future plans
1:30 pm
★ Trade Show continues with on-stage musicians and performers keeping the exhibitors and visitors entertained.
3:30 pm
★ Closing and thanks to volunteers and visitors
3:30 pm
★ Trade show ends and the Gathering Volunteer Crew cleans up the Community Centre
SAVE THE DATE:
March 27th at the Provincial Legislature
Say NO to Contaminated Waste in our Community Watershed!
Details at: wwwthesra.ca
Sleazy Signs in the Night
Dave Hutchinson
Shawnigan Focus
At least that seems to be the prevalent reaction to the signs that were posted in the Village during the dark hours of February 27. The handful of banners pointedly attacked CVRD Chair Rob Hutchins and Shawnigan Director Bruce Fraser over revelations that they were initially optimistic about South Island Aggregate’s plans to deal with contaminated soil.
The CVRD representatives did make some supportive comments at that first informal meeting. Subsequent developments are well documented and clearly show that early hopefulness was short-lived. At the CVRD Council meeting held August 1, 2012, a motion drafted by Bruce Fraser was unanimously carried which included the following clause:
BE IT RESOLVED that the Cowichan Valley Regional District indicate to the Provincial Government that it is strongly opposed to the deliberate permitting of the use of contaminated soil for land or mine reclamation or other purposes within the public domestic water supply watersheds of the region, including specifically the watershed of the Shawnigan Community;
It seems absurd to claim that CVRD representatives are secretly working to enable the SIA venture. Whoever posted the signs has chosen to remain anonymous so we cannot present their rationale. Some are questioning whether the intention is to divide the community and weaken overwhelming opposition to SIAs plans to jeopardize the watershed. In any case, they represent a negative energy which does not deserve respect.
To the anonymous sign-makers: Proud of your position? Why not come forward and explain.
Letter to Honourable Christy Clark
Dear Premier,
February 12, 2014
Thank you for your previous consideration of my letter of September 24th, 2013 and for your most welcome reply. Sadly, I am in a position where I feel compelled to appeal to you again about the issue regarding the water of Shawnigan Lake and an environmental “black eye” that is taking place. Progress was made when the Environmental Appeal Board granted a stay pending further review of the dispute, but now I am dismayed to convey that the Environmental Appeal Board has removed the stay even before the case has gone to court.
The timing and the decision are at best unfortunate and at worst hugely threatening and potentially devastating to the residents of this vibrant community.
I do know how the ‘system’ works and I am very aware of the multitude of complications, bureaucracy and other stuff. I also know that we leaders can never step away when injustice is happening and we can never abrogate our primary responsibility which, as you know only too well, is to the well-being of those whom we lead.
I am appealing for intervention here as I cannot stand by and watch commercial interest and legal dexterity cause wrong to triumph over right. It is wrong to dump anything remotely toxic, up high in the watershed - which serves a thriving, beautiful community of 10,000 or so people on Vancouver Island- just wrong. To compound the issue, the plan seems to be to barge further tonnage of contaminated waste from as far away as Prince Rupert. If it’s not contaminated, as has been claimed, why barge it anywhere?
Please do consider an intervention here as that is our only chance of two ‘wrongs’ ever making a ‘right’. It is not about what is commercially right or procedurally right or even legally right – it is, I would suggest, about what is morally right. Only leaders can make those ‘calls’. I thank you in advance for taking the time to read this letter and perhaps to even consider the issue.
My best regards again,
David Robertson, Headmaster
Shawnigan Lake School
Wakeboarders continue to give their sport a bad wrap on the Lake
Dear Editor
At a meeting regarding the activities in our community held at the SLCC some time ago, I recall a business owner and wakeboarder stand up to express his disappointment with the community for not being welcoming of wakeboarders on the lake.
He suggested wakeboarders were being unduly vilified by lakefront homeowners; being blamed for erosion of the shoreline, causing a disturbance with excessive noise, and causing dangerous situations with their speed and random installation of jumps.
The photo in last month’s Focus of the abandoned wakeboard jump stuck in the creek, illuminates the threat of serious flooding and the certainty of costs to tax payers with it’s required removal.
Certainly not all wakeboarders are thoughtless, disruptive and destructive water sport enthusiasts, however, whatever included and neglected to care for the wakeboard jump basically breached the friendly agreement to respect the lake and community - while further damaging the reputation of wakeboarders. Placing this “cost” on our community and tarnishing the reputation of local wakeboarders is shameful behaviour.
I challenge you to take responsibility by publicly apologizing to the community and paying the bill. Perhaps then, the rest of the community will see wakeboarders in a different light.
Gailen Flaman, Shawnigan Lake
Response to the Midnight Bullies
In early 2012, SIA provided the CVRD and some local Sechbarges road neighbours with a glossy brochure that extolled the virtues of the quarry site and its potential for cleaning up the many tons of industrial wastes that had proliferated. They suggested that the material to be brought in would be “industrial grade” non-leachable, easily sequestered and that the geology of the site was greatly favourable to such an operation. They mentioned the remediation aspect in a passing afterthought as a longer-term future possibility. They were given polite reception but not a gullible one. It was much later in August 2013 when the draft permit was issued by the MOE, that it became evident that a long list of pernicious industrial chemicals were to be allowed and that remediation was to be a major part of the project, a quite different proposal from the content of the glossy brochure and early statements to the CVRD and the public.
Their initial open house at SLCC was not received well because it did not provide for a public Q&A, only a presentation of storyboards similar to their brochure and individual discussions with the Active Earth engineers. The public present called for a proper public meeting where questions could be asked and the replies made where all could hear, which I promised to provide - as the open house ended and subsequently the CVRD held in July of 2012. At that meeting it became apparent that the engineering and geology were not as sound as presented and that Active Earth, though experienced with municipal landfills, had never constructed such an industrial facility before. The public exposure seriously weakened, if not eliminated, any potential for public confidence in the contaminated site proposal.
At the August 1, 2012 CVRD Board meeting I put forward a resolution expressing complete opposition to the project on the grounds of the unacceptable risk to a public water supply that became clearly evident at the public meeting and from technical reservations expressed by independent experts. CVRD opposition was repeatedly expressed to government, particularly when the draft permit provided by MOE illustrated the full true nature of the project. That is the basis of our strong legal representations to the Environmental Appeal Board and the Supreme Court.
The conversation with Mike and Marty, recorded secretly without notice, took place much earlier and was clearly to indicate that the community was already in accord with the informal dumping, that a working relationship with the MOE was being formed to deal with the matter. The SIA proposal, if pursued immediately, would simply exacerbate community concerns and likely get in the way of the work with MOE to craft a long term solution to contaminated soil dumping.
The suggestion from Chair Hutchins that they present their project after the current problems had been addressed was to emphasize that it was critically necessary for the CVRD and MOE to finish the job before another contaminated soil dump was contemplated, however benign it was purported to be. The SIA team was also advised to do a better job of public communication if they wanted an audience that would listen to them, not a suggestion that they would be more successful a year later or that the CVRD would then support them. Subsequent events have proven this advice to be prophetic!
It is important to note the sleaze factor in recording a conversation secretly without notice to those present, something that the TC reporter would presumably not do in her own practice and certainly not in accordance with ethical editorial standards of the newspaper. As for the contention by Mary-Anne Watson in the recent Leader Pictorial article, that the crude, juvenile midnight attack signs in the village were a form of “free speech” is arrant nonsense. They would be better characterized as a fine example of “slanderous bullying”, something our whole society is trying to extinguish, whether delivered to our children by social media or shouted in the schoolyard. It is revealing to see where children learn the technique.
Bruce Frazer, Area Director
Dave Hutchinson
Shawnigan Focus
South Island Aggregates Ltd. (SIA) was founded in 2006 by Mike Kelly and Marty Block. Their quarry is located on Stebbings Road.
“I think I have stumbled on a good thing here” said Mike Kelly in an email to CVRD Planning in October, 2007. “Yes, get a Mines Act permit and don’t retail and you’ll be in under the F-I-Zone radar” replied the CVRD Manager. So starts the sorry saga which has pitted SIA against the Shawnigan Community over the company’s plans to spend the next 30 years depositing 5 million tons of contaminated material alongside the main creek feeding Shawnigan Lake, the source of drinking water for several thousand people.
“I would like to fill in the hole with clean fill”, he said back then, and that is how reclamation of the gravel pit began. Then, in late 2010, 59 truckloads of soil laced with tetrachloroethylene (a carcinogenic dry-cleaning solvent) were dumped on-site which triggered Ministry of Environment concerns over hazardous waste violations. Despite repeated orders from the Ministry and the CVRD to deal with this mound of poison, it remains to this day, a stone’s throw from the creek. When the incident occurred, SIA retained Active Earth Engineering to resolve the issue. Under their advice, in October 2011, SIA began seeking formal Provincial approval for receiving and processing contaminated soil.
The initial spin was that their facility would eliminate problems associated with rampant illegal dumping; that their site was ideal due to local hydrogeology; and there would be state of the art facilities which would be virtually failsafe. Also, the material to be received, although technically considered to be contaminated, would be relatively benign.
At an informal coffee meeting, furiously recorded by Mike Kelly in May 2012, there was initial support of the proposal by CVRD directors and officials. At an Open House hosted by SIA shortly afterwards, it became apparent that the public did not agree. The CVRD, prompted by the local Area Director, then organized a formal Public Meeting where SIA, Active Earth, and Ministry officials attempted to justify the lunacy of locating a contaminated waste dump in the headwaters of a Community Watershed.
Significant work facilitated by the Shawnigan Creek Protection Association gradually informed an unsuspecting public. The Shawnigan Residents Association (SRA) got on board and commissioned the Lowen Report which challenged SIA and Active Earth’s engineering claims. The CVRD offered to work with the Ministry to find an alternate site. The Minister ignored this offer and repeated that the appropriate bureaucratic process was being followed. The Premier and Minister of Environment declined to interfere. A Draft Permit was issued for public comment. It became apparent that the list of permitted contaminants included many very malignant substances. PCBs, dioxins, furans, heavy metals; but not to worry, the site was ideal and nothing very bad could possibly go wrong. Despite conflicting scientific opinion and virtually unanimous public opposition, a final Permit was issued on August 21, 2013.
The SRA and CVRD and three private individuals quickly launched appeals with the Environmental Appellate Board (EAB). A Stay was applied for, and then granted by the EAB. That meant that SIA could not receive contaminated soil, pending a decision on the merits of the appeals.
SIA then applied to “Vary the Stay” because it had already entered into four contracts and would incur financial hardship if not allowed to carry out the work. SIA’s bid on one contract was $800,000 less than a competitor and SIA would be liable for this amount if prevented from completing the contract as scheduled. To the dismay of the community, EAB sided with SIA. One of the contracts involves 8,000 tonnes of dredged sediments from a Marine Bulk Terminal near Prince Rupert. SIA lawyer John Alexander was quoted as saying the material does not contain dangerous compounds, just sodium and chloride. Curious then that someone is willing to pay SIA to barge the stuff from Prince Rupert.
Fears have been voiced that SIA is seeking to accept material from up and down the coast. Could barges laden with contaminants from Washington and Oregon be headed for Saanich Inlet, offloaded at Bamberton, and trucked up the road to be dumped in our watershed? The Prince Rupert contract lends credibility to this scenario.
One of the Permit conditions was that SIA post a security to be used to cover any inadequacy of works, default in compliance, or remediation. $220,000 has evidently now been posted. It is not clear how that amount was determined. It is a paltry sum when a community’s water supply is purposely put at risk. Should a serious event occur, the decrease in property values alone would be in the millions, not to mention the massive negative impact across the local economy.
The CVRD has also filed a case before the Supreme Court which asserts that SIA and the Province do not have the authority to override local zoning restrictions for contaminated soil. The complexities of Regional District land use jurisdiction have resulted in contradictory statements from the CVRD and the Province. The CVRD has been criticised for not asserting zoning authority earlier in this matter. No court date has been announced.
Legal teams for both sides have been preparing for the EAB Hearing since September. Over 7,300 documents have been filed. SRA lawyer Sean Hearns says their case will be based on scientific evidence. The SRA has raised about $130,000 from the community for its legal battle, but will need at least $70,000 more. You can donate online at www.thesra.ca.
Marty Block of SIA claims “we’ve done the science.” They have certainly paid for their version of it anyway. It has always been the environmental ethics of SIA and Active Earth for this project to go forward. There is a lot of money to be made if the Permit is upheld.
Meanwhile, the Shawnigan community wonders what happened to the precautionary principle and what kind of government allows its own Ministry of Environment to jeopardize a community’s drinking water. There is something fundamentally wrong with the process.
The EAB Hearings are scheduled for March 3 through 14 and March 24 through April 4 (Monday to Friday) in Victoria at 747 Fort Street, 9am to 4pm. The public is welcome.
---
**Shawnigan Residents Association (SRA)**
Shawnigan Lake, BC: In support of the SRA’s Legal Action Fund, the Leola Nugent Family is making a challenge to the community and asking people to send in their contributions to the SRA and those monies will be matched dollar for dollar to a maximum of $10,000! “We hope that this would provide incentive for others to give more generously knowing that every dollar they donate will equal $2,” states Mr. Dan Nugent.
“We are touched at the outpouring of support that the SRA has from our community and all the people across British Columbia. This is not just a Shawnigan issue. The Ministry of Environment allowing contained soil dumps in drinking watersheds is a concern for everyone in this province. This matching donor opportunity will help us significantly and our sincere thanks go out to the Leola Nugent Family,” says Calvin Cook, SRA Vice President.
The SRA, along with the Cowichan Valley Regional District (CVRD) and private land owners are fighting the permit this month at the BC Environmental Appeal Board arguing the permit is of high risk and must be set aside. To watch the hearings live click here or tune in at http://www.ustream.tv/channel/shawniganklake.
“It’s a sad day when in the year 2014 citizens must raise funds to fight to protect drinking water which could have been avoided had the Minister of Environment done their job. That being said, the people of Shawnigan Lake are strong and we will continue to fight - we believe in drinkable, swimmable and livable water,” remarks Cook. To learn more visit us at thesra.ca Learn. Donate. Act.
**BACKGROUND:** The SRA is engaged in legal proceedings which are before the BC Environmental Appeal Board against South Island Aggregates (SIA) aka Cobble Hill Holdings (CHH) who have been granted a permit by the BC Ministry of the Environment to dump 5 million tonnes of Contaminated Soil on a slope above Shawnigan Lake. The soils will include dioxins, furans, heavy metals, BTEx, MTBe, VPHs, LEPHs./HEPHs, PAHs, Chlorinated Hydrocarbons, Phenolic Substances, Chloride, Sodium and Glycol to name a few of the contaminants. Over 12,000 residents rely on Shawnigan Lake as a source of drinking water. The SRA believes any level of risk associated with the dumping of these types of chemicals is unacceptable because of the irreversible effects. Sean Horn and Robert Anderson QC of Farris LLP are representing the SRA.
Director’s Report March 2014
Bruce Fraser
Area B Director
There are many positive issues being addressed these days that often escape the notice of those most concerned with the excitement of bad news.
Let’s look on the bright side.
★ The development of a substantial market in Shawnigan Village is proceeding and should see a building start this spring.
★ The Elsie Miles property has been assembled and community ideas are being put forward about all the potential civic uses of the property that would enhance the gathering capability of the site. Sports, music, performance, fitness, community gardens, expanded community centre – lots of good ideas to help formulate a master plan.
★ The Shawnigan Watershed has attracted six major national and provincial research teams to assess the physical restoration of the watershed forests, monitoring water quality, assessment of water treatment methods and evolution of our basin’s water governance structure. This is being backed up by similar initiatives at the regional level by the CVRD.
★ The Shawnigan community is working with the Malahat Nation to forge a long term cooperative relationship that will recognize the history, culture, title and rights of our native peoples and work together to invent our common future.
★ The SLBA, Inspire Arts, Heritage and Culture Collective, The Shawnigan Lake Historical Society, the Shawnigan Residents Association, The Shawnigan Basin Society, the Shawnigan Community Association, Family Caregivers and numerous other civic organizations are in high flight advancing community well-being, civic celebrations, social, economic and environmental health. Vibrancy is our status!
Most of these initiatives and their champions will be featured at the second “Shawnigan Gathering” on March 29-30 at the Community Centre. The program is printed in this edition of the Focus. See
South Cowichan Community Policing Advisory Society (SCCPAS)
Shawnigan ‘LAKE WATCH’
Alison Philip, Program Coordinator
South Cowichan Community Policing
South Cowichan Community Policing has put together a new program called ‘Lake Watch’. Similar programs have been operating in other communities with great success and this program has the full support of the Shawnigan RCMP. Through consistent and verifiable reporting the RCMP will be in a better position to act on unsafe or unseemly conduct on the lake and to dispatch the Police Boat when necessary or follow up on complaints. This is a volunteer driven program that puts ‘eyes and ears’ on and around the lake and we are looking for residents and users of Shawnigan Lake to form an Action Committee. Members will advise on refinements to the brochure, the webpage, signage and tracking mechanisms as well as recruit volunteers to ‘man’ boat launches and track activities during the summer months. On our website under Programs you will find the webpage and tracking documents. The tracking will be a means by which to identify problematic boats and also for the CVRD to keep statistics on lake usage.
‘Lake Watch’ has the support in principle of the RCMP, CVRD, Shawnigan Lake - BC Parks, Transport Canada, The Shawnigan Residents Association, MADD and the Victoria Aqua Ski Club. This program is fully dependent upon volunteers coming forward and we’d like to hear from people who are interested in being on the new Action Committee and/or volunteering at the launches.
Thank you and we look forward to hearing from you by phone, email or in person at our Mill Bay Centre office - #120 - 2720 Mill Bay Road, Mill Bay BC, V0R 2P1 250-929-7222 ~ email@example.com ~ www.southcowichan-communitypolicing.ca
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Shawnigan Community Members voice their concern about SIA
Sonia Furstenau
Dwight International School
On Tuesday, March 4th, students and staff of Dwight School Canada, along with members of the Shawnigan community, took to the streets to voice their concerns about the SIA contaminated soil site by writing letters to the members of the provincial government. Most distressing for the community is the location of the SIA site, which is at the headwaters of Shawnigan Creek. Residents and community members do not want to see 5 million tonnes of contaminated soil dumped in their watershed.
Over one hundred letters were written to members of the Liberal provincial cabinet as well as members of the opposition NDP.
Students expressed their honest and heart-felt concerns.
★ “This is a matter that keeps me lying awake at night wondering how I can contribute to the preservation of this lake as a 17-year-old.”
★ “The potential for contamination of our lake and drinking water is far too high. This is a matter of an entire community’s livelihood.”
★ “It is the ethical and moral duty of the government to protect its citizens and as such this proposal must be rejected immediately.”
★ Local residents also made their thoughts clear, pointing out not only the risks to the drinking water, but also the potential for negative economic impacts on the community.
★ “As a community, we should not be forced to assume responsibility for a situation that has come up as a convenient opportunity for other communities, nor should the needs of the many suffer for the financial gain of a business standing to add extra profit from an already lucrative project.”
★ “Contaminated water would necessitate the need for costly remediation, processing facilities, and result in downstream costs to our healthcare system.”
The two international schools located in Shawnigan Lake are in particular danger of economic harm from the contaminated soil site, as they recruit students from all over the world based partly on the perception of Shawnigan Lake being a healthy environment for young people. Regardless of whether contaminants leach into the watershed, the location of the contaminated soil site will be damaging to that perception.
Shawnigan residents also expressed that they feel shut out of the decision process, and that the Ministry of Environment and the provincial cabinet ministers have ignored their concerns.
★ “Our community has protested, our elected officials have objected, our residents have been obligated to raise funds to appeal the SIA permit. It is time that you and your cabinet put an end to the uncertainty and turmoil in our community by revoking the permit.”
The SIA’s lawyer has been downplaying the risks that the soil poses, but residents are not comforted. The contaminants listed on the permit include benzene, volatile and chlorinated hydrocarbons, phenolic substances, chloride, and dioxins. The health-related risks of these toxins include cancer, liver and kidney damage, reproductive and neurological disorders, and death.
One letter writer asks the government “to do everything in its power to protect our water. If not for the students and adults in the community, then for the children and babies, who will likely be more affected by the levels of toxins that will enter their bodies through the simple acts of drinking water and swimming in beautiful Shawnigan Lake.”
Some offered suggestions for alternative sites for the soil.
★ “There is already a decontamination facility located closer to Victoria named Terra Vida on Millstream road and it is able to take the contaminants listed in the proposal. But even if that facility is unsuitable for some reason, the CVRD has offered to find a suitable location.”
Finally, many letters reminded the government of the basic tenets of democracy.
★ “Although we have a government system where the citizens have a major say on what happens, that doesn’t seem to be the case.”
★ “Please represent the people who say they need your help, but most importantly represent the well-being and safety of the people…”
Students and residents look forward to a response from the cabinet ministers, and they extend an invitation to them to come to Dwight school to speak to the expressed concerns directly.
Global TV News coverage: http://globalnews.ca/video/1187932/community-fights-plans-for-shawnigan-lake-quarry
Dear Ms. Polack,
I am a long term resident of Shawnigan Lake and am writing to you to express my concerns regarding the issuing of the permit to allow South Island Aggregate to dump contaminated soil within our watershed. The issuing of this permit seems contrary to so much of what the Ministry espouses in their mandate. In March 2012, then Environment Minister Terry Lake stated in his World Water Day message: “A clean and secure supply of water is absolutely vital to our health, our vibrant communities and the environment that supports them.”
To add to that message, within the proposal for “A Water Sustainability Act for BC” it states: “water is our most important natural resource; without it, there would be no life on earth.” The proposal stresses numerous times the need to ensure BC’s supply of fresh, clean water…“not just to meet our needs today, but for generations to come.”
There are also references within the BC Drinking Water Protection Act.
Part 4, Drinking Water Protection states in “Prohibition Against Contaminating Drink Water or Tampering With a System” that a person must not:
introduce anything or cause or allow anything to be introduced into a domestic water system, a drinking water source (Shawnigan Lake), a well recharge zone or an area adjacent to a drinking water source (SLA site) or do or cause any other thing to be done or to occur if this will result or is likely to result in a drinking water health hazard in relation to a domestic water system.
Thank you for taking the time to read my letter and please consider your Ministry’s own words when making these decisions that impact a community’s drinking water security and a community as a whole.
Sincerely, Bruce Stevens
March 3, 2014
Dear Premier Clark,
My name is Peter. I am 9, and in grade 3. I like to play Lego and read books.
I am very concerned about a Contaminated soil site being in our watershed. The Shawnigan watershed provides drinking water for 6500 people. If that water is polluted, a health crisis will be created. It is public. STOP BEING SO GREEDY.
I am asking your government to do everything it can to protect our water here. Thank you for taking time to read my letter.
Sincerely,
Peter Simon
CC: Shawnigan Lake Board
Shawnigan Lake & Valley
CC: John Morgan
Premier Christy Clark
West Annex
Parliament Buildings
Victoria, BC V8W 1X4
Fax: 250-387-0687
Dear Premier Clark,
My name is Denishka Atleo. I’m a grade 4 student attending school in Canada. I’m feeling deeply concerned about a Contaminated soil site being in our watershed. As a community, it’s our responsibility to take care of our environment. If our watershed becomes contaminated due to our responsibility, then we should be held accountable. Clean safe water is a human right, all my life I have been more-than lucky to have a clean water source. It bothers me, just thinking about someone finding soil from Shawnigan Lake’s ecosystem. It’s not too late to save our problem/situation at this given time. I ask, do you care? Any concern and help our community succeed in taking action to save our beautiful Shawnigan Lake watershed. Thank you for taking time. I highly appreciate it.
Sincerely, Denishka Atleo.
“You can tell more about a person by what he says about others than you can by what others say about him” -Audrey Hepburn
SIGN UP FOR A TABLE AT THE TRADESHOW www.shawnigangathering.ca
SIGN UP TO VOLUNTEER
Shawnigan Gathering 2014
MARCH 29th-30th
@ Shawnigan Lake Community Centre
Special Guests
MARCH 29 Welcoming Ceremony
Community Awards, Keynote Address: Economic Future of Shawnigan Lake, Seminars: Island Corridor Foundation, Watershed Shawnigan Lake, Best Practices for Research Teams in Action, Elsie Miles Property, Local Businesses, Food, Music, Live Performances.
MARCH 30 Business and Community Group Trade Show, Gathering Cafe, Business Showcase: Commercial Development at the north and south ends of Shawnigan Lake, Food, Music Live Performances and Entertainment.
CHILD CARE PROVIDED BOTH DAYS
Picnic Table RAFFLE
Hand crafted cedar picnic tables, 3 to choose from
MARCH 2014 ~ SHAWNIGAN FOCUS 17
We have lots of activities planned at Inspire! with more being added all the time. So mark your calendars and plan to attend!
- March 22 ~ Card Making Workshop with Rebecca Barnard. Cost is $15 plus $3 for supplies. 1:00pm - 4:00pm.
- March 22 ~ Join us at the Village Chippyper for “Sauerkraut Saturday with Stephanie.” Learn how to make sauerkraut. Learn about sauerkraut. Samples will be given out (when it is ready) to those attending. There is no charge, but registration is required due to the limited space. Contact Patty at the Village Chippyper to register (250 929-8886). 9:00 am to 10:30am
- March 24 ~ Poetry Jam with Leanne Boschman An opportunity to share favourite poems (your own and other poets’); writing warm ups, individual and collaborative writing exercises; spoken word; basically, as much inspiration and fun with words that we can have together in an evening!! Bring a notebook or some paper and a pen and a favourite poem. Admission by donation to Inspire or bring food items for the food bank. 7:30pm - 10:00pm
- March 25 ~ Family Day installation moves to SLCC for the Gathering
- April 5 ~ Instructive demonstration by David Goadley, portrait artist. David will be demonstrating how he sets up and starts his painting process. Admission is by donation to the food bank. 1:00 - 4:00
- April 26 ~ Pearl Knotting Workshop, with Cheryl Bevan-Gellor of Serenity Pearls. Admission is by donation to the food bank. 10:00am - 12:30pm
- April 28 ~ Poetry Jam with Leanne
For the month of April we will have a group show in the gallery of local artists including Lindsey Henderson, Rebecca Barnard, Todd McAneeley, Carolyn and Roger Carr, Sherry Hicke, Karen Severson, Sandy Knowles, Trisha Klus and David Goatley
Ongoing each week:
- Monday: drop-in Zentangle with Rebecca. 1 - 4
- Tuesday: Get Your Artistic Groove On. Come and create art (even if you think you can’t… especially if you think you can’t!). Cost: $10 for members, $15 for non-members. 1 - 4
- Wednesday: drop-in meditation with Robert Cerins 1:11 - 3:33
There is more in the works so check out http://inspire-shawnigan.com/ for updates and more details. We also have a Facebook page: https://www.facebook.com/InspireShawnigan
Come get inspired at Inspire!
Dwight School fencing competition results
Subject: Sabers Clash at Fencing Competition
For immediate release:
Thursday, March/06/2014
Contact: Joshua Schmidt | Director of Community Relations | firstname.lastname@example.org | 250-307-3485
Dwight school students courageously celebrate cross-cultural holidays
On Sunday March 2nd, Dwight Canada held its third annual fencing tournament on the school grounds. There were two weapon categories in this competition- one in foil and one in sabre. There were 10 foilists and five sabrists in the event, with the competitors coming from Victoria to Nanaimo.
Winners in the Foil division:
- Bronze – Tied between Sagan Barefoot (Duncan) and Fernando Jorge (Dwight)
- Silver - Roy Laguna Chavez (Dwight)
- Gold - Peter Yang (Victoria)
Winners in the Sabre division:
- Bronze – Tied between Colin Balme (Duncan) and Felix Grosse (Dwight)
- Silver - Aden Nettleton (Duncan)
- Gold - Neav Murphy-Williams (Nanaimo)
The Dwight School annual fencing tournament rounds out the season for the school, and a key event for students from across southern Vancouver Island to apply the skills they have learnt. The fencing clubs teaches foil, sabre, and also cpee, a weapon where the whole body is target and there is no right of way. Each of the three weapons has different rules and target areas. The students were excited as for many, this was their first competition and their first exposure to electric fencing equipment. The tournament was refereed by Valerie Russell (Dwight School fencing coach), Georgia Newsome (Salle la Fleche coach), and WeiBin Liang.
Digging up the past
Mark Woloszczak Shawnigan Museum
I have been bottle digging and collecting since the age of 17 but apparently I had also been a collector earlier in my life! The Shawnigan Lake Museum had a Cub Scout badge and I took some books and pamphlets on early collecting to display. I actually still have my original Boy Scout manual from when I was 10 yrs. old. I was showing Lori, the curator at the museum, that I had only one badge to show for my efforts but had never noticed in the 40 something years since, that the badge was for “collector”. Another giveaway is that I still have my original stamp collection, coin collection, ribbons & badges from elementary school and grade 1 to 7 school pictures (black and white of course!
For many years I was not interested in digging bottles but I would always instinctively keep an eye out for them. A couple years ago, a friend let me poke around his property and some very cool bottles was coming up, thus the digging bug came out of hiding. It’s a great feeling digging up old and interesting things.
Since volunteering at the Shawnigan Museum, I have a new outlook on searching for artifacts - they belong in the museum for the community to enjoy. They’re out there…you just have to be patient and not give up on the search!
I am a bottle digger but not a serious collector as many people are. Collectors specialize in certain bottles such as beers, medicines, crockery or what have you. They don’t want the burden of having a 400-500 bottle inventory as I do. I just like to have one of each. I always clean them and appreciate their significance in history. You learn a lot about local history by digging up the past. Old dumps tell you a lot about what the way of life may have been like back then.
Living with a bottle digger isn’t easy. It takes a lot of patience with Val (my understanding other half). She wonders “don’t you have enough bottles??” One day she was at home with 23 boxes of bottles that I got at a garage sale…poor poor Val!
Cleaning the items you find is the best part of all. You don’t know what you have until you clean it up. Anything that looks like it could be something goes into my bucket. When you think is a treasure is not always what it appears to be! I once spent a half hour cleaning a washer thinking it was a Chinese coin; cleaning a pine cone for 20 minutes; carefully cleaning a round object for an hour thinking it was some kind of coin or jewelry piece only to find out it was actually a washer off a nail…grrr. The best one of all is when I got home, put the bucket out in the garage and went into the house. When I returned, I saw Val in the travertine out of the bucket. Like I told you, if it looks like something,
Community Supported Agriculture programs, often known as CSAs, are becoming increasingly popular for farmers and their customers, but many who haven’t been exposed to them before aren’t quite sure what they entail.
While there are as many options as there are CSAs, the general principle of all of these ‘box’ programs is the same. During the early spring months, members of the community sign up for the program, essentially making a commitment to purchase a certain amount of product from a farm in the upcoming year. The commitment they make is a financial one as well: shares are pre-purchased at the time of sign up, even though products don’t start arriving for up to five or six months.
Why the delay? For farmers, some of our highest costs come early in the spring. This is when we are building needed infrastructure, purchasing seeds, putting in amendments, buying or breeding livestock, and generally preparing for the year ahead. Unfortunately, it’s also when income opportunities are lowest, as there is generally very little available to sell at the time. By buying in to a CSA, customers provide invaluable capital for farmers to start the season. They are re-paid during the months we as farmers have the most product available, and when our costs also happen to be lower.
In return, customers go into the summer knowing they will receive local, in-season produce all season, and that they will have the opportunity to get to know their farmers and food producers well. It’s a great chance to learn what is in season at any given time, and to learn about new flavours and recipes. CSAs tend to provide the classics—carrots and potatoes—and the unusual—lovage and edible flowers—which lends itself to a varied experience from week to week.
The average CSA tends to provide a box of vegetables each week. Sometimes these come with a recipe, and sometimes you have the chance to add something like a dozen eggs. Some larger farms, such as Essex Farm in New York State, are able to provide fruit, vegetables, meat, dairy, grains, maple syrup, and more to over 200 members, while others offer far more limited offerings designed to supplement your weekly trip to the store.
At OUR Ecovilage in Shawnigan Lake, we fall somewhere in between, and are also passionate about making our Goody Boxes a fantastic—and unique—experience for our customers.
We are excited to be offering two options for 2014, OUR Lifestyle Box and OUR Veggie-only Box. They will be spearheaded by our amazing new farm manager, Grant Watson, who comes to us by way of Yarrow Ecovilage, Glen Valley Organics, and a 200+ box program on the mainland!
The Lifestyle Box offers members six veggie items, a fruit item, a dozen eggs or a package of sausages on alternating weeks, a specialty item (this might include a cook book, herb scissors, goat’s milk soap, and more), and a recipe each week ($37 week; $740 season).
Alternatively, the Veggie-only Box offers six veggie items, a fruit item, and a recipe each week. ($24/week; $480/season)
This year we are also offering a special offer to NEW Sustainers. Sign up to be a $20/month Sustainer at OUR Ecovilage and receive 4 BONUS specialty items throughout the course of the year, regardless of box choice.
To find out more or sign up, email email@example.com
Let them Eat Cake … at The Shawnigan Lake Adventure!
Cowichan Family Caregivers Support Society
What’s better than a day in the beautiful outdoors with friends and neighbours, enjoying healthy exercise, delicious food and wonderful music? The answer: knowing that at the same time, you’re helping people in your community! That’s the secret of the Cowichan Family Caregivers Support Society’s (CFCSS) Shawnigan Lake Adventure… it’s a good time for all, and good for the community.
On-line registration for the Adventure is now open at www.shawniglanlakeadventure.com Again, this year you can walk it, bike it, kayak it or geo it! For those who’d like to walk, there will be 5 routes to choose from. Cycling enthusiasts can opt for 1 of 3 new routes while a guided 12k route on the water and picturesque Shawnigan Lake is available for kayakers. Kids of all ages can enjoy geocaching on the Trans Canada Trail.
In 2013, the Adventure raised $22,000 to help family caregivers in the Cowichan area. The need to support family caregivers continues to grow. A Statistics Canada Study: Caregivers in Canada, 2012, stated that: In 2012, about 8.1 million individuals, or 28% of Canadians aged 15 years and older, provided care to a family member or friend with a long-term health condition, disability or aging needs. By participating or volunteering at the Adventure you’ll be supporting an important cause that affects many of us.
This year marks the 10th anniversary of the Shawnigan Lake Adventure, so please jot down Sunday, June 2nd on your calendars to join in the celebration. There will be birthday cake for everyone!
For more info contact Michael at 250-743-7621 or visit www.shawniglanlakeadventure.com
LIKE us on FACEBOOK & Follow us on TWITTER
Robin Massey
Shawnigan Focus
There’s an adorable little island that you can see from the harbour in downtown Nanaimo. It’s called Newcastle Island Provincial Marine Park. On the island you can hike, bike, camp overnight or just head over for the day for a picnic or swim.
From Maffeo Sutton Park, you can hop on a little ferry and within minutes you’ll be immersed in educating yourself about the sandstone quarry, herring salteries and the history of the coal mining era that makes up part of the Island’s past.
Newcastle Island became a Provincial park in 1961 and is considered an eco-tourism hot spot which can be visited all year round. The 22 km trail system around the island guides you to beaches and fabulous lookout points and to a few cool caverns and caves. There is also subtle evidence of at least two Salish villages from many ages past found on the island. Along the 22 kms you can vary your routes and loops to your liking through any of the links marked along the way.
The island also has a bit of a darker reputation as one of the most haunted islands in the Pacific. The stories say that although many died in the mines of Newcastle one in particular, Peter Kakuia from Hawaii, became famous after he murdered his family with an axe in a fit of rage. He then fled to the small island from Nanaimo. He was easily caught and buried but because of the circumstances, no one would accept his body and he was buried at an unmarked site on Newcastle where it is said to haunt the beaches at dusk.
The island is home to various friends from the animal kingdom such as purple martins, pereated woodpeckers, black tailed deer, river otters, shy beavers and even a golden raccoon! Dogs are allowed on the ferry and on the island trails but owners are encouraged to keep them on a leash at all times. There are various facilities available on the island as well, such as a historical pavilion, a bistro, a teahouse, change rooms/washrooms, a soccer field and a wading pool. It seems to be a very popular place for parties and gatherings of all sorts.
I found it to be a fantastic place to explore on a day trip with many opportunities to have snack stops and a dip in the ocean. The hikes are of easy to medium grade with a few inclines depending on the route you take. Have fun on Newcastle soon!
PS: Did you know the Iron Butts is for all ages, stages AND genders! So what’s stopping you from joining us? Find us as www.thecottmetree.com!
Quilting
Marg Bootland
YSAGS
The Young Seniors Action Group Society (YSAGS) Quilters Group started up in November 2010 and presently has thirteen members, which is pretty much the limit for our small room. We share three machines and lots of ideas. Over the past three years we have made over twenty dozen quilts which were given to Somenos Transition House in Duncan and Jeneece’s Place next to the Victoria General Hospital. Jeneece’s Place offers a quilt to each patient as he or she leaves and they are really happy to receive the quilts. We also take on special projects for the Christmas season.
Over the past six months we have highlighted different activity groups within our YSAGS organization. Other happenings that are for all YSAGS members is the Monthly General Meeting held each third Tuesday (2:00pm) of the month. These consist of Society business, some entertaining program and an afternoon tea. We welcome guests to these meetings. The next meeting is March 18 which will be a “Show and Tell” session featuring our various groups.
We will have an afternoon of Bingo on March 25 from 2:00pm to 4:00pm.
Our biannual Giant Garage Sale is planned for June 7. If you have saleable items cluttering up your place, this is where you can bring them. The proceeds of this sale will go to the Legion to help them further the many organizations they support in our community. For more information, check out our YSAGS BLOG at http://blog.ysags.ca/ You can email us at firstname.lastname@example.org and if you want to speak to a live person call Ed 250 743 8344.
COMMUNITY CALENDAR
★ Area B Director’s meetings
1st Monday of each month – 7 pm at SL Community Centre www.fraserforshawnigan.ca
★ Shawnigan Advisory Planning Commission (APC)
1st Thursday of each month, 7 pm at Inspire Gathering Place
★ Shawnigan Parks and Recreation Commission
3rd Thursday of each month 6:30 pm at SLCC
★ Shawnigan Improvement District
2nd Monday of each month 7 pm at #1 Fire Hall
★ Shawnigan Residents Association (SRA) Board meeting
3rd Tuesday of each month 7pm - www.hesra.ca
★ Shawnigan Lake Business Association (SLBA)
1st Tuesday of each month 7 pm at the Village Chippery.
★ Shawnigan Lake Community Association
4th Monday of each month 7pm. Contact email@example.com
★ Shawnigan Village Development Council
Meeting times TBA. Everyone welcome!
★ Shawnigan Basin Society
See website for details: www.shawniganwater.org
★ Inspire! Arts, Culture and Heritage
Gathering Space hours: M/W/F 11-4; www.inspireshawnigan.com
Come see our Family Day art display at the Gathering - March 29 & 30
★ Young Seniors Action Group (YSAG)
Info at: www.ysag.ca email: firstname.lastname@example.org
★ Shawnigan Lake Museum
Hours: Friday, Saturday, Sunday 11:30-4. www.shawniganlakemuseum.com
email: email@example.com
★ Shawnigan Scouts
To register/questions: William Thow: firstname.lastname@example.org
★ Shawnigan Gathering March 29 & 30. www.shawnigangathering.ca
Volunteers needed.
★ www.exploringshawniganlake.com
★ Shawnigan Lake Facebook
https://www.facebook.com/groups/129586433786330/
What Is It? Where Is It? Why Is IT?
CONGRATULATIONS
The winner for February was Ron Barnard. Several people guessed this was the derelict old car off one of the trails behind the Legion, but Ron was the first.
An honourable mention goes to Isaac and Ania La Roy who sent us this photo proving they knew exactly where it was!
First correct answer sent to email@example.com wins two Specialty Coffees at Shawnigan House!
Fun in the Snow!
The late blast of winter with over a foot of snow that happened in late February was lots of fun for some folks. We received a nice email from Sarah Davidge and Nathan Pay with a great suggestion:
... we are both adults with child-like spirits and very artistic so this is what happens over two days of continuous snowfall - time to play. We received phone calls from neighbours saying how cheerful, our neighbours across the street came out to take pictures of our progress, people driving by with their children taking photos and others stopping and stopping to take pictures of their children with the life like snow creations. It was a wonderful gift shared with all.
I started thinking how much fun it would be if, as community families, youth, children, elderly, we all got together in the Village on a snow day to create life-like art and drink hot chocolate and tea.
Snow ... fun for all ages - Thank you Mister Winter!
Photo courtesy of Shawnigan Lake School
Shawnigan Weather February 2014
Stats courtesy of UVic Weather Network ~ compiled by Grant Triclar
| February Normal | Cigarmaker's Bay | Discovery School | Museum | Elford Road |
|-----------------|------------------|------------------|--------|------------|
| | 2014 | 2013 | 2014 | 2013 | 2014 | 2013 | 2014 | 2013 |
| Average High | 7.4 | 4.5 | 7.3 | 4.8 | 7.3 | 5.1 | 7.6 | 5.1 | 7.6 |
| Average Low | 0.4 | -1.1 | 2.1 | -2.0 | 1.3 | -1.1 | 1.9 | -1.6 | 1.8 |
| Extreme High | 18.3 | 9.4 | 10.1 | 10.1 | 10.8 | 11.0 | 10.1 | 10.5 | 11.0 |
| Extreme Low | -16.7| -8.2 | -1.4 | -9.6 | -2.6 | -8.5 | -1.3 | -9.0 | -2.0 |
| Precipitation | 155.3| 215.6| 121.3| 220.5| 81.9 | 185.5| 88.9 | 217.2| 92.8 |
| Days w/ precip | 16 | 17 | 18 | 17 | 18 | 17 | 18 | 17 | 14 |
| Precip since Oct 1 (mm) | 720.8 | 581.9 | 1017.0 | 530.2 | 852.6 | 455.7 | 830.7 | 529.0 | 833.8 |
16th coldest since 1914 12th wettest since 1914
Lake Temperature: Feb 2nd : 3° Feb 9th : 1° (3 cm ice) Feb 16th : 2° Feb 23rd: 2° (<1cm slush)
Alice Bookkeeping Services.com
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Speare, Yolanda Julia (2021) Performance Progression of British Swimmers Through Adolescence: A Longitudinal Study. Master of Science by Research (MScRes) thesis, University of Kent.
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Performance Progression of British Swimmers Through Adolescence: A Longitudinal Study
By Yolanda Julia Speare
A dissertation submitted in partial fulfilment of the requirements for the degree of Master of Science (by Research and Thesis)
School of Sport and Exercise Sciences
University of Kent
March 2021
Declaration
‘No part of this thesis has been submitted in support of an application for any degree or other qualification of the University of Kent, or any other University or Institution of learning.’
Signed:
Acknowledgements
First and most importantly, I would like to thank my supervisor, Professor James Hopker for his continued support, guidance and reassurance throughout this study, despite a global pandemic and several changes of direction along the way.
Next, a big thank you to my family and friends, who have enabled me to complete this project. In particular, my thanks go to my cousin, Matthew Denwood, for his patience, endless advice and statistical expertise.
Finally, this thesis is dedicated to the memory of two inspirational swimming coaches, John Sadler and Tony Smith.
# Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Title Page | i |
| Declaration | ii |
| Acknowledgements | iii |
| Table of Contents | iv |
| List of Equations | v |
| List of Tables | vi |
| List of Figures | vii |
| Abstract | viii |
| Chapter 1 - Introduction | 1 |
| Chapter 2 - Literature review | 3 |
| Chapter 3 – Experimental Chapter | 25 |
| Part I – Performance trajectories over a swimming career | 25 |
| Methods | 25 |
| Results | 27 |
| Summary | 36 |
| Part II - Performance Trends at the British Summer Championships | 37 |
| Methods | 37 |
| Results | 42 |
| Chapter 4 – General Discussion | 47 |
| Limitations | 59 |
| Practical Application & Future Direction | 60 |
| Conclusion | 61 |
| References | 63 |
| Appendix I – Research Proposal for Original Project | 71 |
| Appendix II – Ethics Approval Letter | 90 |
| Equation | Description | Page |
|----------|-----------------------------------------------------------------------------|------|
| 1 | Calculation of change in performance variable | 40 |
| 2 | Male final placing by performance linear model | 44 |
| 3 | Female final placing predicted by change in performance | 44 |
| Table | Page |
|----------------------------------------------------------------------|------|
| Table 1 - Number of individuals included for analysis in each group (JO, JE, SO), including 3 swimmers hidden on database (Female, SO). Average age of peak performance and number of FINA points at peak performance (Mean ± SD). | 27 |
| Table 2 - Number of individuals per group, age of peak performance and FINA points for each event individually. | 29 |
| Table 3 - Age of peak performance and FINA points when events are grouped by stroke and distance. | 30 |
| Table 4 - Table showing the output of the multivariate ANOVA on the quadratic model showing degrees of freedom (Df), F-statistic (F), Sum of squares ($\Sigma x_1 - x_2$) & p-value (p). | 31 |
| Table 5 - Number of swimmers by year, age group and sex | 39 |
| Table 6 – Average performance change between qualifications and national championships by males and females in each stroke (yellow), distance (blue) and stroke and distance combination (main table). Positive number indicates a positive progression, negative number indicates a regression in performance. FL = Butterfly, BK = Backstroke, BR = Breaststroke, FR = Freestyle, IM = Individual Medley. | 42 |
| Table 7 – Performance progression by swimmers in 1st position of each age group, disparity between the male and female 1st to 25th swimmers and the adjusted $R^2$ value for males and females. | 45 |
| Table 8 - Summary of Swim England and British Swimming talent development pathway programmes 2019/2020 (Swim England, 2019) | 58 |
| Figure Description | Page |
|------------------------------------------------------------------------------------|------|
| Figure 1 - Swim England Athlete Development Support Pathway (Swim England, 2020) | 5 |
| [Accessed: 14/02/2020]) | |
| Figure 2 - Quadratic model for 50m Freestyle (50FR), Backstroke (50BK), Breaststroke (50BR) and Butterfly (50FL), comparing males and females in each group; Junior & Elite (JE), Junior Only (JO) and Senior Only (SO). | 32 |
| Figure 3 - Quadratic model for 100m Freestyle (100FR), Backstroke (100BK), Breaststroke (100BR) and Butterfly (100FL), comparing males and females in each group; Junior & Elite (JE), Junior Only (JO) and Senior Only (SO). | 33 |
| Figure 4 - Quadratic model for 200m Freestyle (200FR), Backstroke (200BK), Breaststroke (200BR), Butterfly (200FL) and Individual Medley (200IM), comparing males and females in each group; Junior & Elite (JE), Junior Only (JO) and Senior Only (SO). | 34 |
| Figure 5 - Quadratic model for 400m Freestyle (400FR) & Individual Medley (400IM), 800m Freestyle (800FR) & 1500m Freestyle (1500FR), comparing males and females in each group; Junior & Elite (JE), Junior Only (JO) and Senior Only (SO). | 35 |
| Figure 6 - Schematic layout of the planned 2019-2020 season | 37 |
| Figure 7 - Fit of linear model for prediction of final placing by change in performance | 44 |
| Figure 8 - Change in performance by age group & sex. (a) Average pattern for both sexes by age group, (b) Change in performance by final placing for 13/14 year old males and females, (c) Change in performance by final placing for 15 year old males and female, (d) Change in performance by final placing for 16 year old males and females, (e) Change in performance by final placing for 17/18 year old males and females, (f) Change in performance by final placing for 19+ year old males and females. | 46 |
Abstract
Introduction: Current research suggests that there are differences in the sporting performance of males and females. It has also been noted that the career trajectories of swimmers are affected by gender. Part I of this study used historic rankings data to analyse the trajectories of male and female swimmers to their peak performance. Additionally, it examined the difference in the development of successful junior and successful senior swimmers. The Swimming Discussion Paper was published by British Swimming (2018) to highlight some of the patterns of performance at the National championships, which observed a general decline in the performance of females from the national qualification events to the national championships. Part II of the study aimed to confirm and develop the findings of the Swimming Discussion Paper to identify differences in the short-term performance progression of males and females between qualification and National championships.
Methods: In part I of the study, male and female swimmers with the top 10 junior and top 10 senior all-time British rankings for each event were included for analysis. In total, 44901 historic performance observations for 269 unique swimmers were obtained from the British Rankings database. Swimmers who were successful in both the junior and senior rankings lists were allocated to the Junior & Elite (JE) group. Mean ages of peak performance were determined for each swimming event for each group of swimmers. A quadratic model was fit to the data and assessed using a multi-variate ANOVA with a significance level of p<0.05. Part II of the study used data from the British Summer Meet (National championships) from 2016-2019. This resulted in 13477 national qualification swims and their associated national championship swims in the same year by 2716 unique swimmers. A multi-variate ANOVA was used to assess the significance of each factor (sex, age group, distance, stroke and year) upon the percentage change in performance time between qualification and nationals.
Results: Part I found that more females than males converted their top-ranking junior performance into a top-ranking senior performance. Females were confirmed to achieve their peak performance at a younger age than males (19.7±3.0 and 21.3±3.3 years respectively, p<0.05). When events were grouped by stroke and distance, the largest gap in the mean age of peak performance between males and females in the same event was found in breaststroke (2.9 years) and for the 200m events (2.1 years). Generally, the difference between males and females was least in longer events. Career trajectories of swimmers in different groups were found to be significantly different, as were the trajectories of male and female swimmers. Part II found that breaststroke events showed the least progression between qualification and nationals, particularly for females. Events of 200m in length were found to show the least progression. On average, females show less of a performance progression than males. However, females showed a more consistent pattern of performance change across age groups. Faster, higher ranked male and female swimmers were consistently producing positive performance progressions from qualification to nationals.
Conclusion: This study confirmed that there are differences in the progression of male and female swimmers throughout adolescence. A greater proportion of females translated their successful junior performances into a top senior ranking, but good junior performance is not a prerequisite to a successful senior performance. This study corroborated the overall finding of the Swimming Discussion Paper, but revealed that the results are more nuanced than previously reported. To ensure success for the country on an international level, talent development programmes should aim to include as many swimmers as possible at all levels, as junior performances are not always an indicator of senior success.
Chapter 1 - Introduction
Competitive swimming involves athletes competing against the clock across a variety of different strokes; Freestyle, Backstroke, Breaststroke, Butterfly and Individual Medley. Individual Medley is a race involving a combination of all strokes. There are large databases of competitive swimming results which provide an opportunity to study the evolution of performance in these disciplines over time. Indeed, there have been a number of previous publications investigating career trajectories of competitive swimmers across the junior to senior age groups (Costa et al., 2010; Costa et al., 2011, 2014; Morais et al., 2013; Dormehl, Robertson and Williams, 2016a). However, as with most sports, the research body around females in sport and exercise is limited, due to the gender bias towards male participants (Costello, Bieuzen and Bleakley, 2014). Furthermore, the body of knowledge surrounding adolescent female performance is even more sparse. The existing literature suggests that male and female performance differs in a number of ways, including, but not limited to; growth and maturation (Erlandson et al., 2008; Morais et al., 2013), physiological capacity (Jürimäe et al., 2007; Klika and Thorland, 2016), preparation for competition (Mujika, Padilla and Pyne, 2002; Papoti et al., 2007; Hellard et al., 2017) and psychosocial aspects (Chalabaev et al., 2013; Warner and Dixon, 2015).
The current literature suggests that sporting success at a junior age is not necessarily a prerequisite to a successful senior performance (Schumacher et al., 2006; Yustres et al., 2017; Boccia, Cardinale and Brustio, 2020). Furthermore, there is limited evidence to suggest that the pathway to success might be different for males and females, despite their physiological and developmental differences (McLean and Hinrichs, 1998; Handelsman, 2017).
In their 2018 report, British Swimming identified that when aggregated by club, female athletes showed a regression between qualification events for the national championships and the national championships itself (British Swimming, 2018). Whereas, male clubs showed a trend for progression between their qualification and event swims. The hypothesis presented by British Swimming is that females demonstrate a regression in performance between the national qualification events and the national championships. However, there are no other studies investigating this apparent performance regression in adolescent female swimmers. Moreover, the British Swimming study analysed data aggregated by swimming club and did not provide an analysis of individual data or compare to age matched males. Thus, it is not clear whether the trends shown are the indicative for all adolescent female swimmers, and how they compare to their male counterparts.
The aim of this research is to compare male and female populations to identify the differences in their long-term progression (Chapter 3 Part 1) and short term (Chapter 3 Part 2) performances. It is hoped that the findings of the two studies mentioned will contribute to the current knowledge base on female swimming performance, potentially helping to inform selection policies for competitions, funding and pathway programmes. Additionally, it may act as comparison tool for coaches to assess their athletes’ progress in line with the best swimmers in the country. This, in turn, may give coaches areas to focus on specifically to narrow the gap between male and female performance stability.
2.1 Athletic Development
The Long-Term Athlete Development (LTAD) model was proposed by Istvan Balyi in the early 1990s. Since then, many authors have collaborated to produce a comprehensive model of development for grassroots sport. Sports were categorised into either early specialisation or late specialisation by the model, the former using four progressive stages and the latter using six to describe the levels of participation in each category; from FUNdamentals to Retirement/retainment. Swimming is established as one of the late specialisation sports, categorised by a six-stage model (Balyi, 2004). Although further studies have demonstrated that swimmers, specifically females, show characteristics of early-maturing adolescents (Erlandson et al., 2008; Dormehl, Robertson and Williams, 2016b, 2016a).
The LTAD model has been adapted by many National Governing Bodies (NGB) for individual sports. In 2004, the original LTAD model for swimming was published by the Amateur Swimming Association (ASA, now Swim England) to rectify some of the global issues in athletic development. Amongst the issues identified were: young athletes under-training and over-competing, adult competition and training being imposed upon junior athletes, male programmes imposed upon females, lack of optimisation of training around critical periods, inability to “correct” poor training experienced from 6-16 years of age and coach education not including growth, development and maturation of young people in general (Gordon, 2004).
In a survey of coaches, a number of problems with the implementation of LTAD in UK swimming club programmes were identified. The guidance within the swimming LTAD pathway required swimmers under 13 in the SwimSkills phase to be completing high volumes of training at the expense of
technical practice, which should be of paramount importance in this young age group, as stated by the LTAD. The view of coaches was that this seemingly excessive volume was having a negative impact upon the motivation of the young swimmers at this stage of the LTAD, especially as they were being asked to compete in races of 200m and above in competition. It was suggested by the coaches in the study that a more general model of athletic development could be more useful in the long-term development of their athletes (Lang and Light, 2010), as it has been recommended that athletes compete in a variety of sports until they specialise at a later age (Blagrove, Bruinvels and Read, 2017). The coaches also suggested that if long-term development is the goal, then the emphasis of training programmes should be on technical development until such time as swimmers are competing at a high level (Lang and Light, 2010).
The original LTAD model has been adapted by Swim England, to produce the Athlete Development Support Pathway (ADSP) model (Figure 1), as a tool for clubs to structure their programmes (Swim England, 2020 [Accessed: 14/02/2020]). The ADSP puts emphasis on the technical development of a range of aquatic skills for swimmers within the learning to train phase (previously SwimSkills), rather than stipulating a potentially detrimental mileage for swimmers in this stage of development.
The Youth Physical Development Model (YPDM) was constructed by Lloyd and Oliver (2012), as a new approach to LTAD, in which, it is acknowledged that young athletes can train to improve most components of fitness throughout childhood. They state that prior to puberty, strength, functional movement skills, speed and agility should be targeted as the main physical attributes. They also mention that during adolescence, other physical qualities become more important, mainly sport specific skills, power and hypertrophy, due to the increased levels of androgenic hormones for both males and females (Lloyd and Oliver, 2012).
2.2 Factors influencing performance
It has been documented that there is no single path to enhancing performance, and that the same performance can be achieved using a multitude of methods, influencing a variety of determinants of performance (Barbosa, Costa and Marinho, 2013). That said, it has been shown that a factor affecting performance times by as little as 0.5% can determine the placing of a top junior swimmer (Stewart and Hopkins, 2000). The following section will consider various factors that have been suggested to influence performance of adolescent male and female swimmers.
2.2.1 Age and Maturation status
In a study of male adolescent swimmers (aged 10-13 years) it was found that faster swimmers were taller, heavier and had longer limbs (Barbosa et al., 2019). From adolescence to adulthood, it has
been shown that physical and physiological parameters of females including anthropometric measurements and biological maturation significantly increase every year from 12-14 years (Lätt et al., 2009). In a study of male swimmers, it was shown that the speed of growth slows at around 17-18 years of age, meaning that their performance could begin to plateau at this age (Junior, Popov and Bulgakova, 2007).
It has been suggested that despite exhibiting attributes of early-maturing individuals, female swimmers undertaking intensive training at a young age could adversely affect their growth and delay sexual maturation (Erlandson et al., 2008). This, in turn could actually improve their adolescent performance in the short term, due to decreased drag due to more streamlined bodies, which is especially advantageous in longer race distances (Frisch et al., 1981). It was found the tempo of maturation of female swimmers was in line with female athletes from other sports and they were found to have a comparable age of onset of menarche to the median for British girls (Erlandson et al., 2008). However, other studies dispute this, stating that on average, menarche was delayed in their sample of teenage swimmers (Brooks-Gunn, Gargiulo and Warren, 1986).
There is still much contention around the interaction of biological rhythms, including the menstrual cycle, in the performance of female athletes due to the potential variability of performance throughout the cycle (VanHeest and Mahoney, 2007; Vanheest et al., 2014). The menstrual cycle can be categorised into four phases: menstruation, follicular, ovulation and luteal (McNulty et al., 2020). Studies have yielded different results, but most are anecdotal due to their small sample sizes and subjective ratings of performance. In the existing literature, some authors point towards best performances occurring during the menstrual phase (Brooks-Gunn, Gargiulo and Warren, 1986), whereas others state that best anaerobic performances occur in the follicular phase (Bossi et al., 2013; Pallavi, Souza and Shivaprakash, 2017). However, many studies are inconclusive, or show no
significant difference in performance between phases (Abramson and Torghiele, 1961; Quadagno et al., 1991; Bossi et al., 2013; Ozbar et al., 2016). That said, in a study of adolescents, their slowest performance was observed during the luteal phase (Brooks-Gunn, Gargiulo and Warren, 1986).
Menstrual cycle research struggles with small sample sizes and often subjective ratings of mood and performance change. Training phases and periodisation are rarely taken into account, which could have a significant impact upon their results. Due to the differing views of authors and largely inconclusive results of studies that have been completed, it is clear that more research into the effect of the menstrual cycle on performance is needed (McNulty et al., 2020). With collaboration between coaching staff, medical personnel and sports science, it may be possible to devise a programme in which circamensal biology can be used to develop optimal periodisation models for female athletes (VanHeest and Mahoney, 2007). A number of authors have identified that coaches working with adolescent female athletes should approach their training programme with an holistic approach. This includes participation in a wide range of sports until specialisation, monitoring athletes’ health status and ensuring the nutritional requirements of training are satisfied by daily caloric intake throughout training and competition cycles. (VanHeest and Mahoney, 2007; Vanheest et al., 2014; Blagrove, Bruinvels and Read, 2017).
Some studies that have looked into how an athlete’s birth month could influence their performance and how to advise selection policies as a result of this information. A study of Portuguese adolescent swimmers by (Costa et al., 2013), grouped athletes into the quarters of the year in which they were born and analysed their performances in 2010. All Olympic events of the time were included, which excluded 50m Backstroke, Breaststroke and Butterfly. Their results showed that there were a higher number of male athletes born in the first and second quarters of the year and very few in the last quarter. Patterns in the data were not so obvious for females, but the third and
fourth quarter of the year were always relatively underrepresented. This showed that male swimmers are more susceptible to the relative age effect and that for swimmers aged 12-15 for males and 12 years old for females, the effect was more pronounced (Costa et al., 2013). Similar research on male Australian 100m freestyle swimmers aged 13-16 found a similar result when grouping by selection level i.e., top 50, 20 and 10% (Cobley et al., 2019). The most evident effect of relative age was in the youngest, 13/14 age group, but dissipated in older age groups and was largely absent across all age groups and selection levels (Cobley et al., 2019).
One of the main documented differences between males and females is their age of maturation and therefore their age of peak performance. It has been established by a majority of studies that women achieve their peak performance at an earlier age than men. This has been confirmed for Freestyle (Rüst, Knechtle and Rosemann, 2012; Vaso et al., 2013), Backstroke (Kollarz et al., 2013), Breaststroke (Wolfrum et al., 2013) and Individual Medley (Buhl et al., 2013; Vaso et al., 2013). In some research, the pattern appears to be similar to that of other sports, with females achieving their peak performances at younger ages than males (Schulz and Curnow, 1988). However, in runners, the effect of sex upon the age of peak performance was unclear (Weippert et al., 2020). In another study of runners, it was found that the age of peak performance of males increased with the length of the race, whereas longer distances are associated with women of younger ages (Schulz and Curnow, 1988). This is a concept echoed in swimming, that longer distances are associated with peak performance at a much younger age for women, but not for men (Junior, Popov and Bulgakova, 2007). A study by Wolfrum et al, (2013) showed that the distance of Breaststroke race didn’t have an effect upon the age of peak performance for females, but males achieved their best times at younger ages for longer distances of Breaststroke. Peak swimming speed was found to be younger in breaststroke than in freestyle (Wolfrum et al., 2013). In a study by Dormehl, Robertson and Williams (2016b), results from a national schools’ competition were used to establish the age of the
peak performance of male swimmers for different events. It was found that the youngest age of peak performance was in 50m Freestyle and 200m Individual Medley, whilst the oldest was in the 100m Butterfly, although the sample was limited as the competition only included school age swimmers (Dormehl, Robertson and Williams, 2016b). Using data from the same competition for females, longer distances (200m) appeared to have the youngest ages of peak performance (Dormehl, Robertson and Williams, 2016a). A systematic review of studies estimating the peak performance age of swimmers, found that age decreased from 50-200m, but then increased again for longer events. They also identified that this reversal occurred at approximately 21 years of age (Allen and Hopkins, 2015). The increase of peak performance age was found to be at around 4 minutes, equating to 200-400m in swimming, where it has been documented that there is an equal contribution of both the aerobic and anaerobic energy systems into the performance of these events (Maglischo, 2003).
2.2.2 Competition Level & Experience
Inter-individual variability is higher for swimmers at regional and international level, but lower for swimmers at national level (Seifert et al. 2011). Swimmers’ success at international level has been found to correspond to the duration of international experience of the swimmer, rather than simply the length of their career (Junior, Popov and Bulgakova, 2007).
For all pool freestyle races, it has been determined that the age of peak performance is on average 2 years lower for women than for men (Rüst, Knechtle and Rosemann, 2012). This is a concept also found by Vaso et al. (2013), also using the Swiss high score list. They found that the age of peak swim speed for females was around 21 years of age, whereas males produced their peak speed between the ages of 22 and 25 for 200m and 400m freestyle and medley races. They also concluded
that there was no significant difference in the peak performance age of these races, suggesting that they have similar skill and technical requirements. Another study with similar results was of historic Olympic data, finding that men reached their peak at 20 years of age, whereas women peaked on average 2 years earlier, at 18 years of age (Schulz and Curnow, 1988). In a more recent review of 21st century research Allen and Hopkins (2015), it was suggested that peak performance age decreases linearly with increasing event duration for sprint events of up to 100m, but increase linearly for endurance events of 200m and above. However, it seems that the reverse is true from events lasting over 4 minutes, which would include swimming races of 400m and above. They concluded that the wide age ranges found to be successful in different sports were due to the differing components of fitness and physical attributes required for success in each discipline and the age at which these variables reach their peak capacity.
In a study by Wolfrum et al. (2013), there was no evidence to suggest that race distance affected the age of peak performance in women’s breaststroke, but the age of peak breaststroke speed was found to be 4 years older for international women than for those at national level. The same study found that men achieve peak performance in breaststroke at younger ages for longer events, suggesting that the shorter breaststroke races are more technical in nature, with experience level an influence on performance. There was also a larger gap from success at national level to success at international level, with swimmers at the world championships an average of 6 years older than their Swiss counterparts. Male and female swimmers achieved peak swimming speeds at younger ages for breaststroke than in freestyle (Wolfrum et al., 2013). Another Swiss study by Kollarz et al. (2013) looked at a similar dataset, this time for backstroke swimming. In concurrence with a majority of other articles on the subject, they discovered that women reach their peak swimming speed at younger ages than men, 18-23 years and 21-26 years of age respectively. In agreement with Wolfrum et al. (2013), it was determined that freestyle and backstroke peak
performances at international level happened on average 1-2 years later than those at national level. There was a marked increase in the age of peak performance from 1994 to 2011 for women in the 50m backstroke at national level from 16 to 22, and a small increase from 22 to 23 years of age for men. No difference was observed at international level. However, they did conclude that swimming speed had increased in all backstroke events from 1994 to 2011 at both national and international level (Kollarz et al., 2013). A comparative study (Elmenshawy, Machin and Tanaka, 2015) across 4 sports showed that the age of female medal winners has increased since the first modern Olympics in 1898 until the most recent Olympic event in 2014, but also in modern times since 1980. For men, peak performance age has not changed in any event studied for swimming. A study of elite swimmers found that faster swimmers experienced more consistent swims in the same event between competitions than slower swimmers (Stewart and Hopkins, 2000). Interestingly, it has been shown that inter-individual variability was higher for regional and international level swimmers and lower for national level swimmers (Barbosa, Costa and Marinho, 2013).
A study by Yustres et al. (2017) found no evidence to suggest that a finalist position in the Junior World Swimming Championships had an influence upon achieving a finalist position at the Senior World Swimming Championships. Seventeen percent of swimmers appeared in both junior and senior finalist positions, with 83% of athletes making senior finals having not been finalists at junior level (Yustres et al., 2017). In the same study, swimmers with exceptional junior performance times or those with a higher rate of progress were more likely to be successful at the senior World Championships. It was found that 27.1% of top 10% juniors were in top 10% of the Senior World Championships. A total of 50.7% of athletes in bottom 10% of Junior World Championships were in the bottom 10% of Senior World Championships. The mean age of the top 30% of swimmers at the Senior World Championships (20.4±2.7 years) was higher than the mean age of swimmers in the bottom 70% (18.8±2.4 years), but both groups of swimmers first competed at similar ages. Mean
performance variation over a swimmer’s career was highly variable. The age at which an athlete competes at the World Championships for the first time does not influence their position in senior World Championships. The top 30% of athletes achieve their best times later than swimmers in bottom 70%. Optimal annual performance progression from junior World Championships positively affects chances of success at senior World Championships. (Yustres et al., 2020). In a study of cyclists, only 29.4% of elite athletes had competed at a Junior World Championships (Schumacher et al., 2006). Age of peak performance for international swimmers was 4 years older than for national level swimmers (Wolfrum et al., 2013). This was confirmed by a study on Backstroke and Freestyle swimmers, finding that ages of peak performance were 1-2 years younger at national level than at international level (Kollarz et al., 2013).
2.2.3 Physiological factors
VO$_{2\text{max}}$ has been suggested to be one of the most important factors for younger swimmers and older swimmers (Jürimäe et al., 2007; Klika and Thorland, 2016). A study by Hellard et al. (2018) found that faster elite level swimmers also had higher VO$_{2\text{max}}$ values and were able to reach this level faster than the slower swimmers in the sample, at around 50m in a 100m race. The same authors also concluded that anaerobic factors become more important with age. Anthropometric factors are also thought to affect performance in swimmers, including height, weight, arm span and body fat percentage (Siders et al., 2009; Zuniga et al., 2011; Morais et al., 2013; Klika and Thorland, 2016; Barbosa et al., 2019). One study concluded that faster swimmers in the male 100m Freestyle event were taller, heavier and had longer limbs (Barbosa et al., 2019). Similarly, fastest 10-13 year old males and females in the same event were taller, with larger surface areas on their hands and feet (Morais et al., 2013). In a different study involving swimmers, arm span was seen to be one of the best predictors of Freestyle performance in younger swimmers (Jürimäe et al., 2007). There has been much deliberation over the effect of body fat percentage upon performance in swimmers.
Some studies have noted an important tracking effect of body fat percentage and performance (Zuniga et al., 2011), whilst others have concluded a non-significant interaction (Lätt et al., 2009; Barbosa et al., 2019). In young adults, leanness was deemed as a more important factor than for children (Klika and Thorland, 2016). It has been further suggested that body composition and somatotype may be an indicator of swimming performance in women, but not for men (Siders, Lukaski and Bolonchuk, 1993). Some studies have looked further into body fat percentage, looking instead at lean mass. For teenage female swimmers, body fatness is relatively unimportant, but lean body mass has an influence on performance (Stager, Cordain and Becker, 1984). It was found by other authors that male swimmers experience double the increase in lean mass than females within and between seasons for eight years (Pyne, Anderson and Hopkins, 2006). It has been shown that for female athletes, lean body mass affects performance, but that percentage of body fat is unimportant (Stager, Cordain and Becker, 1984). Furthermore, another study concluded that measurements of body composition were a predictor of swimming performance for women, but not for men (Siders, Lukaski and Bolonchuk, 1993).
A key problem experienced by female athletes is Relative Energy Deficit Syndrome (Vanheest et al., 2014). Controversially, there is a suggestion that speed of female swimmers may be increased by decreasing their body fatness, as this was stated to be the only mean difference between males and females by one set of researchers (Zuniga et al., 2011). However, restriction of energy intake by athletes during increased energy expenditure during exercise can frequently result in ovarian suppression. It was found that in ovarian suppressed athletes, there was an 9.8% decline in Freestyle performance, compared with an 8.2% improvement for the cyclic females (Vanheest et al., 2014). More holistic studies have revealed that actually the most crucial factor in female performance success is maintaining a nutritional energy balance, rather than focusing on anthropometric measurements (VanHeest and Mahoney, 2007). Most authors on this subject have
suggested that tackling relative energy deficit syndrome in female athletes should take a multi-disciplinary approach for the athlete with support from their coach, medical personnel and sports science support (Vanheest et al., 2014).
2.2.4 Biomechanical Factors
There are several biomechanical factors affecting swimming performance. Kinematic stroke parameters are often used as an indicator of performance, including stroke length and stroke rate (Barbosa et al., 2011; Kennedy et al., 1990). Indeed, faster 10-13 year old males and females have been shown to have better stroke mechanics, including stroke lengths (Morais et al., 2013). Stroke index, a product of average velocity and stroke length, has also been found to be a good predictor of performance in young Freestyle swimmers (Jürimäe et al., 2007; Barbosa et al., 2019).
Biomechanical factors were further investigated in a study of young, female, 400m Freestyle swimmers, which concluded they were the more important than bioenergetic and physical factors (Lätt et al., 2009). Force generation potential was found to be one of the most important factors for children (Klika and Thorland, 2016), and power delivered by swimmers in the water was significantly higher in faster swimmers (Barbosa et al., 2019).
Changes in training load of as little as 10% have been found to make a difference to swimming performance (Hellard et al., 2017). Furthermore, improvement in performance has been shown to significantly correlate with the average intensity of training sessions rather than volume or frequency of training sessions (Mujika et al., 1995). Successful performance has also been linked to training periodisation, including tapering (Jorge E. Morais et al., 2014). Swim speed improved by 1.6% after an 11-day tapering of training which reduced volume without reducing intensity, showing that training load is a factor affecting swimming speed (Papoti et al., 2007). A further observational
study of training loads found that a small reduction in volume was more effective than larger reductions in the period from 6-11 weeks away from competitions. They also suggested cyclical periodisation should be specific to swimming events, particularly different distances. Sprinters require highly periodised training, whereas middle and long distance swimmers require a more progressive, continuous approach towards periodisation (Hellard et al., 2017).
2.3 Performance Progression of Swimmers
A comparative study across 4 sports showed that the age of female medal winners has not only increased since the first modern Olympics in 1898 until the most recent Olympic event in 2014, but also in modern times since 1980. For men, peak performance age has not changed in any swimming event (Elmenshawy, Machin and Tanaka, 2015). In a separate study of Olympic Freestyle swimmers from 1957 onwards, the age of peak performance of men and women increased, from 20 to 21 years of age for males, and from 18 to 19 years of age for females (Nevill et al., 2007). More recent studies of swimmers, but also athletes in general, have also suggested that the age of peak performance may be increasing with time (Junior, Popov and Bulgakova, 2007; Nevill et al., 2007; Kollarz et al., 2013; Elmenshawy, Machin and Tanaka, 2015). Between the Olympic games in 2008 and 2012, it was concluded that the age of peak performance for male and female swimmers has increased by around 1.5-2 years (Allen, Vandenbogaerde and Hopkins, 2014). When Backstroke was analysed alongside Freestyle events, no changes were found in the age of peak performance of international swimmers from 1994-2001 (Kollarz et al., 2013). In a study of more than 2000 male swimmers from 1962 to 2004, Junior, Popov and Bulgakova (2007) found that the average age of the best 10 swimmers in the world had increased with time from 20 to 23 years. Additionally, there was a significant increase in the maximum age of males within the top 10, which reached almost 35 in 2004. It is hypothesised that modernised changes in sociocultural and political landscapes have
influenced and supported the surge of older, specifically female athletes (Elmenshawy, Machin and Tanaka, 2015).
Alongside changes in the age of peak performance, some studies have also looked at the change of swimming speed across time (Nevill et al., 2007; Kollarz et al., 2013; Elmenshawy, Machin and Tanaka, 2015). The rate of female improvement for Freestyle events has been faster than the rate of male improvement since 1957, with generally the degree of improvement being greater for longer races (Nevill et al., 2007). Most studies analysing swimming performance focus on Freestyle, as it is the stroke with the most variation in distance, 50-1500m. However, in a project investigating speed in elite Freestyle and Backstroke swimmers, Kollarz et al. (2013) discovered that speed increased in both strokes and all distances (50-200m) from 1994 to 2011 at both a national and international level.
It is universally accepted that there is a general enhancement in sporting performance from adolescence to adulthood in a variety of sports (De Koning et al., 1994; Lätt et al., 2009; Costa et al., 2010; Costa et al., 2011, 2014; Dormehl, Robertson and Williams, 2016b, 2016a). This enhancement in performance has been shown to fit a quadratic model. Analysis of the results of an annual national schools’ competition’s 7 events over 8 years, a quadratic model was fit to the swimming progression of individual males to their peak performance using mixed linear models. It was found that the slowest rate of improvement was in the 200m Individual Medley event and that the fastest progression was in the 100m Butterfly. It was also concluded that Butterfly is one of the last strokes in which males specialise (Dormehl, Robertson and Williams, 2016b). In a similar study of female swimmers, only three events showed reliable models; 100m Backstroke, 200m Individual Medley and 200m Freestyle (Dormehl, Robertson and Williams, 2016a). Moreover, Allen et al. (2014) studied elite male and female swimmers, showing the most progression in Butterfly over 4 and 8
years leading up to the Olympic Games. Interestingly, males demonstrated the least progression in Backstroke, whilst women progressed less in Breaststroke events (Allen *et al.*, 2014). Weippert *et al.* (2020) also found that quadratic equations give the best fit performance progression for runners in 800m, 1000m and 1500m races from 14 years of age to the individual’s peak performance. When compared to swimming races by duration, these distances are equivalent to swimming events of 200m and longer. In cycling, it was calculated that the performance progression between junior and elite riders was around 5% for males and 6% for females (Schumacher, Mueller and Keul, 2001).
These studies have shown that the performance progression experienced throughout adolescence for male and female athletes is similar across sports.
The Olympic Games is a quadrennial opportunity to gather performance data for athletes in all sports, as it is undeniably the most prestigious event of the athlete’s year and usually the culmination of a four-year cycle of training. Few studies track the patterns in performance from one Olympics to the next, due to the length of time between the two events. Some of the published research has tracked the progression of athletes to the Olympic Games. Over 5 seasons leading to the 2008 Olympics, it was found that the performance of swimmers in the male Freestyle events improved 0.6-1% between seasons and 3-4% across the whole time period. Additionally, it was concluded that performance stability increased in the third season of the Olympic cycle, equivalent to the year before the competition (Costa *et al.*, 2010). A similar study of progression to the 2008 and 2012 games yielded similar results, women and men showed a similar rate of progression to their peak performance over 4 years (2.4±1.2%) and eight years (9.5±4.8%) (Allen, Vandenbogaerde and Hopkins, 2014).
It is generally accepted that swimmers should peak for the season leading up to and including the Olympic Games, as it is the biggest sporting event in the four-year cycle. For this reason, it is
expected that times achieved in qualification meets for the Olympic Games are likely to be slower than those achieved at the Olympic Games themselves, as athletes aim to peak to produce their best performance for the Olympics. In a study involving 51 swimmers from Australia and the USA (Pyne, Trewin and Hopkins, 2004), swimmers proceeding to finals showed an average progression of 1.2% on their heat time. The authors also noted that to stay in contention for a medal, swimmer should aim to improve their performance by around 1% in the year before the Olympics and a further 1% within the competition period itself. It was found that a further improvement of 0.4% substantially increases a swimmer’s chance of achieving a podium finish (Pyne, Trewin and Hopkins, 2004). Other studies have also agreed with the notion that higher performing swimmers tend to show more progression in performance than swimmers not achieving finalist or medallist positions (Mujika et al., 1995; Issurin et al., 2008). Entry and competition times for 301 swimmers from the Athens Olympic Games were used to analyse the relative performance gain between qualification events and the Olympic games. It was determined that the average performance gain was $0.58 \pm 1.13\%$, equating to a performance decline in 68.2% of Olympic swims. However, medallists and finalists do not fit this pattern, improving their personal best time by an average of 0.35% and 0.12% respectively (Issurin et al., 2008). In a separate observational study, swimmers were tracked over two seasons. Those swimmers who achieved a personal best in the season before were more likely to maintain their performance in the following year. Whereas swimmers who had not achieved a personal best time in the preceding season were more likely to swim a best time in the final season (Mujika et al., 1995).
There is some published research on the stability of performance (Stewart and Hopkins, 2000; Dormehl and Williams, 2015). Males showed less consistency in opting to swim the same events at a National Schools’ competition throughout their development (Dormehl and Williams, 2015). However, in a study of elite swimmers, males showed the most consistent performance in the same
events between competitions (Stewart and Hopkins, 2000). This could explain why swimmers specialise in Breaststroke at a younger age than other strokes (Dormehl and Williams, 2015).
2.3.1 Performance Progression of British Swimmers
The Swimming Discussion paper (British Swimming, 2018) aimed to discover whether swimmers were producing their best times of the season at the British Summer Championships. From these results, they concluded that on average, females showed a negative progression in performance, getting slower between the qualification events and the national championships, and that this pattern was observed in every single female event. Males, on the other hand, were shown to produce a positive performance progression, achieving faster performances at the National championships than at the qualification events earlier in the season. A significant proportion (86%) of female clubs showed a regression, while only 49% of male clubs showed the same trend. Only 14% of female clubs showed a progression from the qualifying window, and the worst female club produced a regression of 3.34% between the two swims. Their analysis was simplistic, comparing clubs and therefore overlooking the performance progression of individuals within the sample. This raised questions as to why females were underperforming at what for many of them will be the key meet for the year and why this was so different to the pattern of male performance observed in the same study. However, unfortunately the paper was a descriptive report, without any robust analysis techniques to look at performance of individual athletes and so it is unclear how representative the findings are, and whether the differences identified are statistically significant. Moreover, as the results were reported at club level, the data does not allow for analysis of performance at the individual swimmer level.
2.3.2 Performance Progression of International Swimmers
A number of studies have looked at the performance stability of athletes over time and how this can affect predictions of future performance (Costa et al., 2010; Costa et al., 2014; Morais et al., 2014; Mostaert et al., 2021). Performance stability using race times and therefore prediction potential was moderate for all Breaststroke events, except 50m, which saw a low prediction of performance (Costa et al., 2010). It has been suggested by the same group of authors that 13-14 years of age is a key milestone for boys for the stability of performance in the 200m Freestyle and 100m Breaststroke. At this point, the ability to predict a swimmer’s final performance level strongly increases (Costa et al., 2010; Costa et al., 2014). However, it was concluded in a cycling study that there was a lack of prediction possible in the U15 age group, but that it was more accurate to predict the senior performance of athletes who were in the U17 age group (Mostaert et al., 2021). Although it has been shown that there is no evidence that measuring anthropometric or physiological factors in junior skaters could be used to predict a senior performance (De Koning et al., 1994), it has been suggested that assessments of fitness, health and training of athletes could improve prediction capacity of these models (Bullock and Hopkins, 2009).
2.4 Gender differences
Although the literature surrounding female sporting performance is limited, some research has been published which demonstrate the difference between male and female sporting performance (Kennedy et al., 1990; Morais et al., 2013; Dormehl, Robertson and Williams, 2016a, 2016b; Handelsman, 2017). An early piece of research on gender gaps in swimming revealed that males had superior performances to females, primarily due to stature, age and longer stroke lengths (Kennedy et al., 1990). In a study measuring anthropometric, kinematic and energetic variables, it was found that there is no significant difference in Freestyle swimming performance at younger ages (10-13 years) between males and females, despite there being a small difference in stroke frequency and
the surface area of hands and feet (Morais et al., 2013). From the age of 12-13, males and females show a divergence in performance, thought to be correlated with the rise in circulating testosterone in males (Handelsman, 2017). Females have been shown to undergo a slower progression than males as females have begun to mature earlier than males, by 12 years of age (Dormehl, Robertson and Williams, 2016a, 2016b).
Gender differences have been observed to decrease with increasing race distances in freestyle events (Rüst, Knechtle and Rosemann, 2012). The age of peak performance has been observed to be older for increasing running race distances, but the opposite is true for swimming, with younger historic gold medallists for longer races (Schulz and Curnow, 1988). Using retrospective data analysis, this pattern of decreasing sex differences with increasing speeds was confirmed for 50m and 1500m events. However, they did note increased variation between men and women in the 800m Freestyle (Rüst, Knechtle and Rosemann, 2012). Another study also confirms this, it was observed that sex-related differences in performances decreased significantly with an increase in distance for both national and international level swimmers in both Freestyle and Breaststroke (Wolfrum et al., 2013).
It is well documented that senior athletes outperform junior athletes, but the level of swimmer is also important when considering differences between the sexes. When comparing international level finalists with the top Swiss swimmers, Wolfrum et al. (2013) found that sex differences were more pronounced in freestyle events than breaststroke races over 50-200m for national but not international level swimmers. In a study of cyclists, it was found that the overall gender gap between males and females was around 12%, but that for athletes achieving a ranking of first to fifth, this decreased to 2-3%. This suggests that faster athletes do not experience the same gender gap (Schumacher, Mueller and Keul, 2001).
Summary
There has been a great volume of research conducted on the various components of swimming performance and longitudinal studies for elite swimmers (Mujika et al., 1995; Pyne et al., 2000; Avalos, Hellard and Chatard, 2003; Costa et al., 2010; Costa et al., 2013; Hellard et al., 2018). There have also been few other papers dedicated to longitudinal monitoring annual performance progression of the same swimmers over time (Pyne et al., 2004; Stewart and Hopkins, 2000; Trewin et al., 2004). However, very little research is focused on the sub-elite swimmers, who ultimately make up the pool of athletes from which elite swimmers are trained. Whilst their study had limitations due to the nature of its participants, Dormehl, Robertson and Williams (2016) are one of the few collectives to have observed this critical age group.
The current research into female performance is limited, either focusing on elite swimmers, already at the height of their career (Costa et al., 2010) or on male adolescent swimmers (Dormehl et al., 2016a). The body of research pertaining to female adolescent swimmers is very sparse, especially as a longitudinal study. It has been shown that, particularly female, swimmers reach their age of peak performance before their counterparts in other sports, especially in the longer, endurance-based events (Allen and Hopkins, 2015; Schulz and Curnow, 1988). For this reason, when looking at the progression of female swimmers it is vital to look at the adolescent and youth athletes that are currently on their journey through the pathway to podium.
The experimental chapter will be split into two parts. The aim of Part I is to explore the patterns in performance within and between seasons, comparing performance trajectories of males and females from the national qualification events to the British Summer Championships in the same year, using data from 2016-2019. Using 4 years of data will allow a longitudinal view of the
championships over a full quadrennial cycle, taking into account periodisation and major international competitions, which are generally biennial or quadrennial.
The aim of Part II is to determine if any factors available for analysis are affecting the performance of swimmers, specifically related to stroke, distance, level and age of the swimmer. Similarly to the British Swimming study, any strokes or distances showing a significantly different progression towards the national championships will be identified and the significance of the effect of stroke and distance on performance progression will be determined. The effect of the level of swimmer will also be examined, to find out if higher level swimmers experience a greater progression in performance between qualification events and the National championships. Using age data, the aim is to discover at which point male and female performance progression diverges, if at all.
Based upon the findings, it is hoped that the study will help to inform future practice to identify any gaps in the performance progression of female swimmers during and leading up to the national championships. This, in turn, can be used to inform future research into successful programming for females to perform optimally at the National championships.
The main hypotheses for part I are that females reach their peak performances before males, that the difference between male and female performance is smaller in longer events and that fewer females progress their successful junior swims to successful senior swims.
For part II, the main hypotheses are that females demonstrate a regression in performance between the national qualification events and the national championships, older female swimmers show the
least progression between two events and that Breaststroke performance represents a problem for British females.
Chapter 3 – Experimental Chapter
Part I – Performance trajectories over a swimming career
Methods
Data Collection and Analysis
The top 10 historic junior and senior performances of all time were obtained for each swimming event from the British Rankings database. Events included were; 50m, 100m, 200m, 400m, 800m and 1500m Freestyle; 50m, 100m and 200m Backstroke, Breaststroke and Butterfly; 200m and 400m Individual Medley. All events were recorded in long course competitions. The junior top 10 includes the best times achieved by swimmers up to the age of 18, the senior top 10 includes the best performances for swimmers 19 years and over. Historic times for all swimmers identified were also obtained from the Rankings database (swimmingresults.org, 2021) for the event in which they achieved their top 10 ranking to allow a longitudinal approach to the data across the entire career of the swimmer. In total, 44901 observations for 269 unique swimmers were recorded. In a subsequent step, swimmers only appearing on the Junior list were allocated to the Junior Only group (JO), those appearing only on the Senior list were given the group Senior Only (SO), and those on both the Junior and Senior top 10 lists were allocated to a Junior to Elite group (JE). The total number of observations for each event was counted, and the number of male and female observations for each event was calculated. The number of swimmers within each group was calculated and the proportion of each group for each sex was determined. The fastest swim in each event for each individual was filtered to obtain average age of peak performance for both males and females.
Statistical Analysis
Data was initially checked for normality of distribution. A linear model using the restricted maximum likelihood method was fit to establish the significance of each factor (sex, distance, stroke, group and age) upon the peak speed produced by each individual in their events. A multivariate ANOVA was subsequently used to assess the significance of each factor within the linear model. A 2nd degree polynomial (quadratic) model was then fit to the historic performances of each individual over the length of their career to establish a mean career trajectory to compare the development of males and females. The model was also used to compare the mean career trajectories of swimmers in the three groups; JO, JE and SO. The fixed effect was the individual, with random effects of sex, group, age, stroke and distance on the best speed achieved by that individual. Data is presented as mean ± standard deviation unless otherwise stated. Statistical analysis was conducted in R Studio (RStudio Inc., 2019) and statistical significance was set as p<0.05.
Results
Total numbers of individuals in each group were 190 JO, 150 JE and 190 SO, a breakdown is included in Table 1. Occasionally, swimmers do not wish to have their results visible on the rankings website and these swimmers appear on the rankings table as “Member Hidden”. There were three hidden swimmers on the female senior rankings list, so data for these swimmers was not available for analysis. As there were no hidden swimmers on the female junior rankings list, it can be assumed that these hidden swimmers would have been in the female SO group. The female rankings tables show an almost equal split between the three groups, whereas there are fewer male JE swimmers, both in number and as a percentage.
Table 1 - Number of individuals included for analysis in each group (JO, JE, SO), including 3 swimmers hidden on database (Female, SO). Average age of peak performance and number of FINA points at peak performance (Mean ± SD).
| | Male | | | | Female | | | |
|----------------------|------------|----------|----------|----------|------------|----------|----------|----------|
| | JO | JE | SO | Total | JO | JE | SO | Total |
| **Number of Individuals** | 104 | 66 | 104 | 274 | 86 | 84 | 86 | 256 |
| **Percentage (%)** | 38.0% | 24.1% | 38.0% | | 33.6% | 32.8% | 33.6% | |
| **Unique Individuals** | 68 | 35 | 63 | 143 | 62 | 46 | 52 | 126 |
| **Age of peak performance (Mean ± SD)** | 18.7 ± 1.9 | 21.4 ± 2.3 | 23.8 ± 3.1 | 21.3 ± 3.3 | 17.3 ± 1.6 | 19.6 ± 2.3 | 22.5 ± 2.4 | 19.7 ± 3.0 |
| **FINA Points** | 824 ± 35 | 897 ± 44 | 885 ± 36 | 865 ± 49 | 817 ± 43 | 892 ± 36 | 875 ± 43 | 861 ± 52 |
Thirty-five swimmers (10.42%) of swimmers appearing on the senior rankings list (from groups JE and SO) achieved their best times for their event whilst in the junior age group (aged 18 and under). Twenty-eight of these swimmers were female, with the youngest 15 years old at the time of her peak performance, the other 7 swimmers were male and all aged 17 or 18 at the time of their peak performance. All swimmers achieving their career fastest time in the junior age group, but
appearing on the senior rankings list were from the JE group. Forty-one (39.4%) male JO swimmers achieved their best time in the senior age group, whereas only 11 (12.6%) females in the same group achieved their best times in the senior age group. Fifty-six (66.7%) females in the JE age group achieved their career best performances in the senior age group, but 59 (90.8%) males obtained their peak performance in the senior age group. All athletes in the SO group achieved their peak performance in the senior age group. Out of a total of 17 events, 15 male events had a best time performed by a swimmer from the JE group, 2 from SO. Whereas the JE group accounted for 12 of the 17 best times for females, 5 from SO. The average age of peak performance by each group is shown in Table 1.
The average FINA points achieved by the population of males was $865 \pm 49$ and for females was $861 \pm 52$. The average FINA points produced by the top male swimmer in each event was $946 \pm 44$, with the top female swimmers in each event achieving an average of $950 \pm 27$.
For each individual event, females achieved their peak performance earlier than males (Table 2). The average age of peak performance for females ($19.7 \pm 3.0$ years) and males ($21.3 \pm 3.3$ years) was significantly different ($p<0.05$) when all groups were considered across all events. The age of peak performance of the top male in each event was $22.2 \pm 1.8$ years and the top female in each event was $21.2 \pm 3.0$ years, which did not represent a significant difference ($p<0.05$).
1500m Freestyle was the event with the youngest age of peak performance for males ($20.1 \pm 2.4$ years). The event with the oldest age of peak performance for males was 100m Breaststroke, $22.8 \pm 3.6$ years. For females, the event with the oldest age of peak performance was 400m Freestyle ($21.1 \pm 2.9$ years) and the youngest was 400m Individual Medley ($18.5 \pm 2.3$ years).
Table 2 - Number of individuals per group, age of peak performance and FINA points for each event individually.
| Event | Male | | | | Female | | | |
|------------------------|------|-------|-------|-------|--------|-------|-------|-------|
| | | Number of Swimmers | Age of Peak Performance (Mean ± SD) | FINA Points (Mean ± SD) | | Number of Swimmers | Age of Peak Performance (Mean ± SD) | FINA Points (Mean ± SD) |
| | | JO / SO | JE | | | JO / SO | JE | | |
| 50m Freestyle | 6 | 4 | 21.6 ± 5.1 | 823 ± 55 | 7 | 3 | 20.6 ± 3.6 | 839 ± 47 |
| 50m Backstroke | 6 | 4 | 20.6 ± 2.8 | 849 ± 51 | 4 | 6 | 20.5 ± 3.5 | 881 ± 41 |
| 50m Breaststroke | 7 | 3 | 21.8 ± 3.6 | 839 ± 56 | 4 | 6 | 19.5 ± 3.0 | 878 ± 46 |
| 50m Butterfly | 7 | 3 | 21.1 ± 3.9 | 809 ± 46 | 9 | 1 | 19.2 ± 3.7 | 765 ± 48 |
| 100m Freestyle | 7 | 3 | 20.7 ± 3.1 | 872 ± 38 | 8 | 2 | 19.6 ± 2.9 | 851 ± 40 |
| 100m Backstroke | 6 | 4 | 21.6 ± 3.4 | 873 ± 35 | 5 | 5 | 20.4 ± 3.1 | 893 ± 39 |
| 100m Breaststroke | 6 | 4 | 22.8 ± 3.6 | 862 ± 57 | 4 | 6 | 19.1 ± 2.2 | 874 ± 41 |
| 100m Butterfly | 8 | 2 | 21.2 ± 2.9 | 859 ± 35 | 5 | 5 | 20.6 ± 3.3 | 865 ± 34 |
| 200m Freestyle | 6 | 4 | 21.8 ± 2.9 | 871 ± 25 | 6 | 4 | 20.0 ± 2.6 | 886 ± 30 |
| 200m Backstroke | 4 | 6 | 20.9 ± 3.2 | 858 ± 38 | 5 | 5 | 18.9 ± 2.3 | 881 ± 26 |
| 200m Breaststroke | 7 | 3 | 21.4 ± 2.7 | 914 ± 54 | 4 | 6 | 18.6 ± 2.8 | 867 ± 68 |
| 200m Butterfly | 5 | 5 | 20.5 ± 3.3 | 862 ± 32 | 5 | 5 | 19.9 ± 2.9 | 860 ± 37 |
| 200m Individual Medley | 5 | 5 | 22.2 ± 2.8 | 890 ± 33 | 4 | 6 | 18.8 ± 1.9 | 880 ± 38 |
| 400m Freestyle | 6 | 4 | 22.1 ± 3.3 | 906 ± 24 | 3 | 7 | 21.1 ± 2.9 | 882 ± 40 |
| 400m Individual Medley | 7 | 3 | 21.2 ± 2.8 | 871 ± 32 | 3 | 7 | 18.5 ± 2.3 | 865 ± 36 |
| 800m Freestyle | 6 | 4 | 20.6 ± 2.8 | 857 ± 37 | 4 | 6 | 20.4 ± 2.8 | 873 ± 40 |
| 1500m Freestyle | 5 | 5 | 20.1 ± 2.4 | 893 ± 37 | 6 | 4 | 19.9 ± 2.7 | 823 ± 35 |
When grouping the same stroke and distance together, females were still younger than males in every group (Table 3). On average, the youngest age for a male peak performance was in 1500m (20.1 ± 2.4 years) and the oldest age was in the 400m events 21.6 ± 3.1 years). Female swimmers produced their best performances at a younger age on average in the 200m distance (19.3 ± 2.6 years) and at an older age in the 800m distance (20.4 ± 2.8 years). Strokes at which swimmers produced their peak performance at a younger age on average were Butterfly for males (20.9 ± 3.4 years) and Individual Medley for females (18.7 ± 2.1 years). The strokes with the oldest ages of peak performance on average were the male Breaststroke events (22.0 ± 3.4 years) and the female Freestyle events (20.2 ± 3.0 years). When comparing the average age of peak performance between males and females, Freestyle showed the least difference between the sexes, whilst Individual
medley showed the most difference in the average age of peak performance. When distance is considered, the longer events, 800m and 1500m showed the least difference between males and females and the 200m distance showed the largest difference between the average age of peak performance for males and females (Table 3).
A linear model was fit for the best speed achieved by each individual with the main effects of sex, distance, stroke, group and age. In an ANOVA of the main effects of the linear model; group, sex, distance, stroke, group and age all had a highly significant effect upon speed ($p<0.001$). An interaction between sex and stroke was considered and showed that there are highly significant differences between the speed difference between strokes for males and females ($p<0.001$). An interaction between group and event showed that the speed difference between events differs for each group (JO, JE, SO), $p<0.001$. An interaction between sex, group and stroke showed a highly significant interaction $p<0.001$.
**Table 3 - Age of peak performance and FINA points when events are grouped by stroke and distance.**
| Stroke | Male | Female | Difference |
|-----------------|-----------------------|----------------------|---------------------|
| | Average Age of Peak Performance (Mean ± SD) | Peak FINA Points (Mean ± SD) | Average Age of Peak Performance (Mean ± SD) | Peak FINA Points (Mean ± SD) | Average Age of Peak Performance (Male – Female) | Sex with Most FINA Points |
| Freestyle | 21.1 ± 3.4 | 870 ± 46 | 20.2 ± 3.0 | 858 ± 45 | 0.9 | Male |
| Backstroke | 21.0 ± 3.2 | 860 ± 43 | 19.9 ± 3.0 | 885 ± 36 | 1.1 | Female |
| Breaststroke | 22.0 ± 3.4 | 871 ± 64 | 19.0 ± 2.7 | 873 ± 54 | 2.9 | Female |
| Butterfly | 20.9 ± 3.4 | 843 ± 45 | 19.8 ± 3.4 | 825 ± 63 | 1.1 | Male |
| Individual Medley | 21.7 ± 2.8 | 880 ± 34 | 18.7 ± 2.1 | 873 ± 37 | 3.0 | Male |
| 50m | 21.3 ± 4.0 | 830 ± 54 | 19.9 ± 3.5 | 835 ± 66 | 1.4 | Female |
| 100m | 21.5 ± 3.3 | 866 ± 43 | 19.9 ± 2.9 | 870 ± 42 | 1.6 | Female |
| 200m | 21.4 ± 3.0 | 880 ± 43 | 19.3 ± 2.6 | 875 ± 43 | 2.1 | Male |
| 400m | 21.6 ± 3.1 | 888 ± 34 | 19.8 ± 2.9 | 874 ± 39 | 1.8 | Male |
| 800m | 20.6 ± 2.8 | 857 ± 37 | 20.4 ± 2.8 | 873 ± 41 | 0.1 | Female |
| 1500m | 20.1 ± 2.4 | 894 ± 37 | 19.9 ± 2.7 | 823 ± 35 | 0.2 | Male |
The mixed effects quadratic model (Figure 2 -Figure 5) was fit using the restricted maximum likelihood method for each event. The random effect was of the individual swimmer, and fixed effects were sex, age, group and event. In addition, combinations of sex and event, group and age and age and sex were also included. An ANOVA was carried out on the model and highly significant differences were observed between sexes, events and groups, $p<0.001$. Table 4 provides a summary of the AVOVA output, showing the degrees of freedom, F-statistic, sum of squares and the p-value for each of the variables and combinations of variables that had a significant effect upon speed. Age had a significant effect upon speed ($p<0.001$). A significant interaction was observed between sex and event ($p<0.001$), meaning that the degree of difference between males and females depends upon which group they are in. There was a significant interaction between sex and age ($p<0.001$), so the development trajectories of males and females are different. A further significant interaction was observed between group and age, so the trajectories of performance are different between the groups JO, JE and SO. Overall, this quadratic model accounted for 95.1% of the variation within the dataset.
Table 4 – Table showing the output of the multivariate ANOVA on the quadratic model showing degrees of freedom (Df), F-statistic (F), Sum of squares $\Sigma(x_i - \bar{x})^2$ & p-value (p).
| ANOVA | Df | F | $\Sigma(x_i - \bar{x})^2$ | p |
|-----------|----|------|--------------------------|---------|
| Sex | 1 | 859 | 1.95 | $p<0.001$ |
| Age | 2 | 72155| 327.58 | $p<0.001$ |
| Group | 2 | 314 | 1.42 | $p<0.001$ |
| Event | 16 | 6369 | 231.32 | $p<0.001$ |
| Sex:Age | 2 | 4753 | 21.58 | $p<0.001$ |
| Age:Group | 4 | 1295 | 11.76 | $p<0.001$ |
| Sex:Event | 16 | 61 | 2.20 | $p<0.001$ |
Figure 2 - Quadratic model for 50m Freestyle (50FR), Backstroke (50BK), Breaststroke (50BR) and Butterfly (50FL), comparing males and females in each group; Junior & Elite (JE), Junior Only (JO) and Senior Only (SO).
Figure 3 - Quadratic model for 100m Freestyle (100FR), Backstroke (100BK), Breaststroke (100BR) and Butterfly (100FL), comparing males and females in each group; Junior & Elite (JE), Junior Only (JO) and Senior Only (SO).
Figure 4 - Quadratic model for 200m Freestyle (200FR), Backstroke (200BK), Breaststroke (200BR), Butterfly (200FL) and Individual Medley (200IM), comparing males and females in each group; Junior & Elite (JE), Junior Only (JO) and Senior Only (SO).
Figure 5 – Quadratic model for 400m Freestyle (400FR) & Individual Medley (400IM), 800m Freestyle (800FR) & 1500m Freestyle (1500FR), comparing males and females in each group; Junior & Elite (JE), Junior Only (JO) and Senior Only (SO).
Summary
The first study has found that on average females achieved their peak performance at a younger age than males and that females were also more likely to convert their top-ranking junior swims to top-ranking senior swims. In agreement with the Swimming Discussion Paper (British Swimming, 2018), it was also found that there was a disparity between male and female age of peak performance which was most prominent in Breaststroke and 200m events. The next section will aim to explore these patterns within a season, comparing performances of swimmers during the national qualification window to performances by the same swimmers at the national championships.
Part II - Performance Trends at the British Summer Championships
Methods
Swimming Calendar
Across the course of a swimming season various licensed events are held throughout the country at county, regional and national level (Figure 6). Each year, qualification events for the National championships are held during the qualification window (Figure 6) across the country and times achieved by each swimmer are uploaded to the British Rankings Database. At the end of the qualification window (March to May), the top 24 (18 for 800m and 1500m Freestyle) swimmers in each event (combination of stroke and distance) for males and females are invited to the British Summer Championships in July. The next 24 swimmers in each event, for males and females, are invited to the home nation summer meets (Swim England, Scottish Swimming, Swim Wales). Where an invitation is declined in advance, the next fastest swimmer in that event and distance will be invited (British Swimming, 2020). To qualify for a national championship event, a swimmer must be ranked in the top 48 for their age group (age at 31st December of the year of the championships). The ranking swim must occur during the qualifying window. The qualifying window for 2020 was between Friday 13th March and Sunday 10th May 2020. The national championships for 2020 would have been; British Summer Meet (National championships) from 23rd to 28th July and Swim England Summer Meet from 29th July to 2nd August. Figure 6 is a schematic layout of the season by week, showing the position of the qualifying window in relation to both the English and British national meets. The top 24 swimmers from these qualification events attend the British Summer Meet.
| Month | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 | 18 | 19 | 20 | 21 | 22 | 23 | 24 | 25 | 26 | 27 | 28 | 29 | 30 | 31 |
|-------------|---|---|---|---|---|---|---|---|---|----|----|----|----|----|----|----|----|----|----|----|----|----|----|----|----|----|----|----|----|
| September | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| October | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10| 11| 12| 13| 14| 15| 16| 17| 18| 19| 20| 21| 22| 23| 24| 25| 26| 27| 28| 29| 30| 31|
| November | 1 | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| December | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10| 11| 12| 13| 14| 15| 16| 17| 18| 19| 20| 21| 22| 23| 24| 25| 26| 27| 28| 29| 30| 31|
| January | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10| 11| 12| 13| 14| 15| 16| 17| 18| 19| 20| 21| 22| 23| 24| 25| 26| 27| 28| 29| 30| 31|
| February | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10| 11| 12| 13| 14| 15| 16| 17| 18| 19| 20| 21| 22| 23| 24| 25| 26| 27| 28| 29| 30| 31|
| March | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10| 11| 12| 13| 14| 15| 16| 17| 18| 19| 20| 21| 22| 23| 24| 25| 26| 27| 28| 29| 30| 31|
| April | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10| 11| 12| 13| 14| 15| 16| 17| 18| 19| 20| 21| 22| 23| 24| 25| 26| 27| 28| 29| 30| 31|
| May | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10| 11| 12| 13| 14| 15| 16| 17| 18| 19| 20| 21| 22| 23| 24| 25| 26| 27| 28| 29| 30| 31|
| June | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10| 11| 12| 13| 14| 15| 16| 17| 18| 19| 20| 21| 22| 23| 24| 25| 26| 27| 28| 29| 30| 31|
| July | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10| 11| 12| 13| 14| 15| 16| 17| 18| 19| 20| 21| 22| 23| 24| 25| 26| 27| 28| 29| 30| 31|
| August | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10| 11| 12| 13| 14| 15| 16| 17| 18| 19| 20| 21| 22| 23| 24| 25| 26| 27| 28| 29| 30| 31|
Figure 6 - Schematic layout of the planned 2019-2020 season
(National championships), whilst swimmers ranking 25-48 will be invited to their home country’s national summer meet (Swim England Summer Meet). Occasionally, when swimmers have qualified for multiple events and do not wish to swim all of them at the nationals, lower ranked swimmers will be invited to the national championships to fill the 24 places.
**Data Collection**
Data from the British Summer Meet (National championships) and related qualification events in the most recent 4 years from 2016-2019 were obtained from the British Swimming website (database accessed April 2020).
Swimmers from all age groups were included in the analysis; 13/14, 15, 16, 17/18, 19+. Ages were determined as age at 31\textsuperscript{st} December in the year of the championships. This ensures that age groups are the same for both the national qualification window and the National Championships. A breakdown of the number of swimmers in each age category for each year is listed in Table 5.
All National Championship events were included: 50m, 100m, 200m, 400m, 800m and 1500m Freestyle; 50m, 100m and 200m Backstroke, Breaststroke and Butterfly; 200m and 400m Individual Medley, swum in a long course pool. For the 2016 and 2017 events, males were not included in the 800m Freestyle and the girls were not included in the 1500m Freestyle, as these events were not introduced until the 2018 season.
The final place achieved by each individual within the age group at the national championships for each event was included as a variable for analysis, based upon the fastest time achieved at the
national championships in that event and year. Swimmers who were disqualified or did not start at the National Championships event were not included in the analysis.
| Sex | Age Group | Female 13/14 | Female 15 | Female 16 | Female 17/18 | Female 19+ | Female Total | Male 13/14 | Male 15 | Male 16 | Male 17/18 | Male 19+ | Male Total |
|-----|-----------|--------------|-----------|-----------|-------------|------------|-------------|------------|--------|--------|-----------|---------|-----------|
| | | | | | | | | | | | | | |
| 2016| | 353 | 331 | 319 | 325 | 229 | 1557 | 343 | 352 | 353 | 329 | 202 | 1579 |
| 2017| | 346 | 346 | 316 | 287 | 266 | 1561 | 357 | 345 | 325 | 288 | 286 | 1601 |
| 2018| | 367 | 380 | 368 | 343 | 292 | 1750 | 366 | 366 | 352 | 347 | 289 | 1720 |
| 2019| | 387 | 382 | 376 | 369 | 333 | 1847 | 382 | 379 | 378 | 368 | 355 | 1862 |
| Total| | 1453 | 1439 | 1379 | 1324 | 1120 | 6715 | 1448 | 1442 | 1408 | 1332 | 1132 | 6762 |
Table 5 - Number of swimmers by year, age group and sex
All 4 years of results were included in the analysis to provide an overview over one full quadrennial Olympic cycle. The qualification window is the period of time in which swimmers can record a time to be submitted to the rankings database, which puts them in contention for a qualification place. The length of the qualification window was 91 days in 2016, 2017, but reduced down to 89 days in 2018 and 67 days in 2019. The qualification window closes at the end of May with 57 days between the end of the window and the start of the National Championships, which last for 6 days.
Data obtained from the British Swimming database included the heat and final performance times in each British Summer Championships event, stroke discipline, distance, and the name, sex and age of the swimmer. This resulted in 13477 national qualification swims and their associated national championship swims in the same year by 2716 unique swimmers from 412 clubs. The fastest time achieved by each athlete from either the heat or final of each event at Nationals was used for analysis, alongside their entry time, which was the fastest time achieved within the qualification window by the same athlete in the same event.
Data Analysis
Performance change was calculated using Equation 1, below:
\[
\text{Performance Change} (\%) = \frac{\text{Fastest time at nationals (s)} - \text{Entry time from window (s)}}{\text{Entry time from window (s)}}
\]
Equation 1 - Calculation of change in performance variable
A negative result from the use of this equation indicates that a faster time was achieved at the national championships when compared to the entry time from the qualification window. A positive result indicates a decline in performance between the national qualification window and the national championships, with a slower time at nationals.
Statistical Analysis
After assessing data for normality of distribution, a multi-variate analysis of variance (MANOVA) was conducted to determine the effect of multiple independent variables of sex, age group, distance, stroke and year, on the dependent variable, percentage change in performance. Where significant effects on change in performance were found between qualification and final events, Tukey’s Honest Significant Difference (Tukey’s HSD) post-hoc testing was conducted on each single independent variable to identify any statistical differences between different measures for males and females.
A Wilcoxon test was used to determine significant differences between the paired data of overall percentage performance change from the national qualification events and the national championships between males and females. This determined if there was a statistically significant between-group difference in the change in performance by sex (p<0.05).
As a follow-up to the MANOVA analysis, a Tukey’s HSD test was used to identify the within-group statistical differences for each dependent variable; distance, stroke and year.
A linear model was used to assess the relationship between final placing and performance change in order to investigate whether the percentage performance change is dependent upon a swimmer’s ability as indicated by their final placing. This was carried out using the least squares method, with an adjusted $R^2$ value. As part of the model, an ANOVA was used to assess the interaction of final placing on the change in performance between qualification and nationals for males and females of different age groups. The same analysis was also completed using age group as the independent variable to determine the differences between the males and females of each age group.
All statistical analysis was undertaken using R software (RStudio Team, 2019), with statistical significance being accepted at $p<0.05$.
Results
The mean number of female swimmers in each club was 3.26 and the mean number of male swimmers per club was 3.11. A similar pattern was observed with the average number of events per female was 2.68 and the average number of male events per individual was 2.60 across the 4 years.
Performance Change
The mean performance change between the national qualification window and the national championships for males and females combined was shown to be $0.16 \pm 1.72\%$. The mean change in performance progression in males was found to be -0.14%, with their Nationals swims faster than their qualification swims. Females showed a change in performance of 0.46%, meaning their Nationals times were slower than the qualification window. A post-hoc Wilcoxon test determined that the mean performance change was significantly greater in males than females ($p<0.001$). Table 6 presents the average performance change between the qualification events and the national championships across years 2016-2019 for each stroke in male and female swimmers.
Table 6 – Average performance change between qualifications and national championships by males and females in each stroke (yellow), distance (blue) and stroke and distance combination (main table). Positive number indicates a positive progression, negative number indicates a regression in performance. FL = Butterfly, BK = Backstroke, BR = Breaststroke, FR = Freestyle, IM = Individual Medley.
| | Female | | | | | Male | | | | |
|----------------|--------|-------|-------|-------|-------|------|-------|-------|-------|-------|
| | FL | BK | BR | FR | IM | FL | BK | BR | FR | IM |
| | 0.38 | 0.38 | 0.69 | 0.42 | 0.43 | -0.18| -0.27 | -0.11 | -0.09 | -0.10 |
| 50m | 0.28 | 0.16 | 0.27 | 0.30 | 0.39 | -0.23| -0.02 | -0.55 | -0.25 | -0.10 |
| 100m | 0.51 | 0.44 | 0.33 | 0.89 | 0.39 | -0.26| -0.32 | -0.24 | -0.29 | -0.17 |
| 200m | 0.60 | 0.55 | 0.56 | 0.89 | 0.43 | 0.57 | 0.03 | -0.19 | -0.01 | 0.20 | 0.19 | -0.03 |
| 400m | 0.46 | - | - | - | 0.64 | 0.29 | -0.20 | - | - | - | -0.23 | -0.17 |
| 800m | 0.33 | - | - | - | 0.33 | - | -0.46 | - | - | - | -0.46 | - |
| 1500m | 0.16 | - | - | - | 0.16 | - | 0.05 | - | - | - | 0.05 | - |
A MANOVA found no significant interaction between independent variables of year, sex, stroke, distance and age group and the performance change experienced between the qualification events and the National Championships (all $p>0.05$). A significant interaction was found between performance change and sex, stroke and distance ($p<0.001$). There were also significant interactions between sex and distance ($p<0.01$), sex and stroke ($p<0.05$), and sex and age group ($p<0.001$). There was also an interaction between event and distance ($p<0.01$). There were also main effects found for year, sex, event, distance and age group on performance change between qualification and championships ($p<0.001$). Post hoc analysis demonstrated that performance change between qualification and national championships was worst for female breaststroke and significantly different to all other strokes ($p<0.05$). In addition, the means of change in performance for the 200m events were significantly worse than 50m, 100m and 1500m events ($p<0.05$).
**Final Placing**
A linear model was fit using the least squares method to examine the relationship between change in performance (between qualification and championships) and final placing at the national championships (Figure 7). The model is highly significant for both females ($adjusted R^2 = 0.468$, $p<0.001$; Equation 3), and males ($adjusted R^2 = 0.423$, $p<0.001$; Equation 2). The linear model suggests a disparity in performance change between males and females of between 0.53% and 0.72%, depending on final position, with males demonstrating more positive performance progression than females. The general pattern for finalists was a positive progression for both sexes, but there was still a disparity between magnitude of male and female change in performance.
Figure 7 - Fit of linear model for prediction of final placing by change in performance
\[
\text{Male Final Placing} = \frac{\% \text{Change in Performance} + 2.078}{0.176}
\]
Equation 2 – Male final placing by performance linear model
\[
\text{Female Final Placing} = \frac{\% \text{Change in Performance} + 1.557}{0.184}
\]
Equation 3 - Female final placing predicted by change in performance
Figure 8(a) demonstrates the relationship between performance change and final placing across the age groups. Finalists (places 1-10) in the 13/14 age group show the greatest magnitude of performance progression between the qualification window and the National championships. Finalists in the 19+ age group show the least progression when compared to the other age groups.
When each age group is separated and males and females are compared, first placed females show a steady decline in average first place performance progression from the 13/14 years age group to the 19+ age group (Table 7). Males show a steady decline in performance progression until 16 years, when there is a dramatic drop in their progression to 17/18 and 19+ age groups.
Comparing males to females, the youngest 3 age groups; 13/14, 15, 16 (Figure 8b-d), show a disparity in their performance, whereas the oldest two age groups; 17/18, 19+ (Figure 8e-f), show less of a disparity between males and females, especially in swimmers achieving a higher placing. The $R^2$ value becomes lower as the disparity decreases, decreasing the reliability of the model for the older age groups (Table 7). The linear models fit for males and females in the 13/14, 15 and 16 year age groups show strong significant differences between the sexes ($p<0.001$). The 17/18 year age group shows a much less significant difference ($p<0.1$) and the 19+ age group shows a non-significant difference ($p>0.1$).
**Table 7 – Performance progression by swimmers in 1st position of each age group, disparity between the male and female 1st to 25th swimmers and the adjusted $R^2$ value for males and females.**
| Age Group | 1st Place Performance change (%) | Male to Female Disparity (%) | Adjusted $R^2$ |
|-----------|---------------------------------|-----------------------------|---------------|
| | Male | Female | 1st Place | 25th Place | Male | Female |
| 13/14 | -2.66 | -1.98 | 0.69 | 0.88 | 0.562 | 0.617 |
| 15 | -2.43 | -1.52 | 0.91 | 0.70 | 0.547 | 0.527 |
| 16 | -2.19 | -1.28 | 0.91 | 0.79 | 0.516 | 0.464 |
| 17/18 | -1.34 | -1.17 | 0.17 | 0.36 | 0.370 | 0.430 |
| 19+ | -0.91 | -0.92 | 0.01 | 0.93 | 0.224 | 0.290 |
Figure 8 - Change in performance by age group & sex. (a) Average pattern for both sexes by age group, (b) Change in performance by final placing for 13/14 year old males and females, (c) Change in performance by final placing for 15 year old males and female, (d) Change in performance by final placing for 16 year old males and females, (e) Change in performance by final placing for 17/18 year old males and females, (f) Change in performance by final placing for 19+ year old males and females.
Chapter 4 – General Discussion
This study set out with the aim to examine the differences observed in short- and long-term performance development between males and females in Britain. Part I of the study used the 10 best historic performances of all time in all events for both the junior and senior age group to examine the development trajectory of performance for male and female swimmers. Part II focused on 4 years of National Championships results to explore the comparability of performances in adolescent swimmers between qualification and national championship events. Specifically, the tendency for females to underperform at the national championships, swimming slower than they did to qualify.
Performance Progression
The female rankings tables show an almost equal split between the three development groups; Junior & Elite (JE), Junior Only (JO) and Senior Only (SO). There are fewer male JE swimmers, both in number and as percentage of the total number of male swimmers. In total, 24.1% of males achieving a junior rankings list progressed to appear on the senior rankings list, but 32.8% of females progressed. In a similar study on track & field events, Boccia, Cardinale and Brustio (2020) found that more females (21%) progressed from a junior ranking to a senior ranking when compared to males (17%). They also concluded that top ranked senior athletes achieve their peak performances later than top ranked junior athletes. Similarly, the current study suggests that only 10% of swimmers appearing on the senior rankings list achieved their best times in the junior age group. Unsurprisingly, these swimmers were all part of the JE group, their successful swimming careers spanned both the junior and senior age groups. It has been hypothesised that increased experience in a sport, starting earlier, could lead to an increase in motivation and decrease the likelihood of drop-out (Salguero et al., 2003). Using a similar methodology to the current study, Schumacher et al. (2006) found that 29.4% of the elite athletes had participated as a junior, and that 34% of the participants in junior later
participated in major elite competitions. The equivalent JE group had their first and last elite result at younger age than SO athletes, which is a similar conclusion to that of this study. Only 39.4% of male swimmers in the JO age group managed to further improve their times in the senior age group, but these were not fast enough for them to be included in the senior rankings list. As all competitive performances are recorded on rankings, they are all eligible to appear on either the junior or senior rankings list, depending on the age of the swimmer. Therefore, this could be attributed to the phenomenon of drop-out, that JO swimmers are not as successful in the senior rankings as they were in the junior rankings, causing a lack of motivation and therefore drop-out (Monteiro et al., 2017). Equally, their lack of senior success could be attributed to drop-out and therefore not recording any times in the senior age group that would be eligible for the rankings list. Perhaps the most striking of this set of results was that 66.7% of females in the JE age group achieve their best times in the senior age group, but 90.8% of males in JE achieve their best times in the senior age group.
Unsurprisingly, all athletes in the SO group achieved their peak performance in the senior age group. Five of the 17 top female swimmers (1 for each event) were from the SO group, whereas only 2 of the top 17 best males were from the SO age group. As boys are known to develop later than girls, it might be expected that there would be more males in the SO group, as they have been shown to achieve their peak performances around 2 years after girls (Allen & Hopkins, 2015). Since this is not the case, it could be hypothesised that the current talent development pathway is favouring individuals who are peaking early, translating their successful junior ranked swims into senior ranked swims.
FINA points are a measure of success of a swim based upon the world record in the same year. It is expressed as a number that is generally over 1000 for a swim beating the world record and under 1000 for a swim slower than the world record (FINA, 2011). These scores give an idea of the potential international success of every swim recorded in a licensed meet worldwide. Using FINA points as a metric for international success, in part I of the study, it was found that of the 17 events, males had more success in 8 events and females showed more success in 9 events. In power events including 50m Butterfly and 100m Freestyle, males showed more
dominant performances. They also showed better performances in the longer, more technical or tactical events including 200m Breaststroke, both 200m and 400m Individual Medley events and the 1500m Freestyle. British females showed better international potential in the 800m Freestyle and most 100m events.
Overall, males showed a positive performance progression of 0.46% between the fastest performance in the national qualification window and their fastest performance at the national championships. This demonstrates a mean disparity between males and females of 0.60%. It has been revealed that this disparity also existed in swimmers competing at the 2000 Olympic games (Pyne, Trewin and Hopkins, 2004). Female swimmers had a mean percentage change in performance between the 2000 Olympic qualification events and the 2000 Olympic games of 0.0% but males showed an average performance improvement of 0.2% (Pyne, Trewin and Hopkins, 2004). As a group, females demonstrated a regression in performance for every single national championship event. This means their fastest time at the national championships was slower than their fastest time from the qualification window. However, the fastest female swimmers in each age group, particularly those making finals at the National championships, show more of a positive progression in performance between the two competition periods. Swimmers at the National championships showed an average disparity between male and female performance change of between 0.52 - 0.75%, with females showing less positive progression between their fastest swim during the national qualification events and their fastest performance at the national championships. Although the average progression between qualification and nationals for both males and females demonstrated by this study is larger than the results of the current literature (Pyne, Trewin and Hopkins, 2004), this could be due to the younger, sub-elite sample, which have previously been shown to possess a greater magnitude of improvement throughout the season (Costa et al., 2011). Even though Costa et al. (2011) only included male swimmers in freestyle events, there was a clear trend for a slowing rate of performance progression with increasing age during adolescent years.
Population
The mean number of swimmers per club was found to be lower for males than females, with the average just over 3 swimmers per club. This raises a problem with the previously mentioned research conducted by British Swimming (2018), which only considered results from clubs with 3 or more swimmers and so it is likely that a high proportion of individuals were excluded from their analysis. The difference in the number of swimmers per club could suggest that the male championship is more competitive and therefore more specialised, whilst the female championship is less competitive and therefore fewer individuals make up the population of national swimmers. This is an idea supported by the number of events per swimmer, which was marginally more for females than males, again, suggesting that males show slightly more specialisation than females. In a study of competition and gender in competitive sport, 58.3% of women stated that they felt competition detracted from their sporting experience, stating that intra-club competition was a negative factor to their sport, whereas none of the men studied held this belief (Warner and Dixon, 2015). The findings from previous research suggest that there should be fewer female swimmers per club competing at Nationals if intra-club competition is seen as detrimental by female swimmers, but this is not certain, as attitudes towards competition were not analysed as part of this research.
Year of Competition
When considering differences between the years of competition, it is important to note that 2016 was an Olympic year, and therefore the top swimmers, usually in the oldest age groups, would not have attended the national summer championships. Swimmers are encouraged to attend the highest level of competition they have been selected for and as such they would have been preparing for and competing at their respective international competitions. Therefore, 4 years of competition were studied, as different biennial and quadrennial events throughout the cycle could affect the attendance of the country’s best swimmers at the
national championships. This was not acknowledged by British Swimming (2018) in their analysis, but quadrennial variation has been considered by several authors (Bullock and Hopkins, 2009; Costa et al., 2010; Allen et al., 2015) in their study design. The only factor that changes between the layout of each year 2016-2019 in the current study is the length of the qualification window, from 91 days down to 67 days. The period between the national qualification window and the start of the national championships for all years was 57 days, equating to around 8 weeks. In a study of Olympic qualifiers (Pyne, Trewin and Hopkins, 2004), it was found that trials held 5 weeks before the games resulted in less progression than by swimmers whose trials were 17 weeks from the games. It was supposed that 17 weeks gave swimmers sufficient time to improve their performances, whereas 5 weeks did not (Pyne, Trewin and Hopkins, 2004). This would suggest that any senior swimmers would struggle to demonstrate a positive progression between the window and the championships.
Millard et al. (1985) found that women had lower creatine phosphokinase levels following heavy training when compared to men, suggesting that women are able to recover faster, as their muscles do not experience the same damage that male swimmers experience. This was corroborated by a study by Kenitzer (1998), who discovered that an optimum female taper was 2 weeks, after which performance declined. Another study found that males demonstrated more of a progression in performance than females over the course of a 3-4 week taper (Mujika, Padilla and Pyne, 2002). Alongside these isolated studies on the differences between tapers for males and females, it is thought by many coaches that females require a shorter taper than males (Maglischo, 2003). This could be a contributing factor when considering the “underperformance” of females between the window and the national championships, especially for clubs with many swimmers completing the same training load and taper, regardless of their gender. Most authors agree that a targeted, individualised programme is necessary to achieve the optimum taper for the best performance (Bompa and Haff, 2009). Interestingly, data from the current study demonstrates a biennial pattern of underperformance by both males and females, in 2017 and 2019, with greater performance progression being observed in 2016
and 2018. In the years showing underperformance, the World Swimming Championships were from the middle to the end of July, meaning that the top swimmers in the country would not be able to attend the national championships at the same time. The World Junior Championships were in the same years at the end of August, suggesting that the best juniors, females aged 14-17 and males aged 15-18, would either be away on preparatory training camps, or using the national championships as a preparatory or exhibition competition, with the aim of peaking for the international event.
**Effect of Stroke & Distance**
Part I of this study shows that for the longer distance Freestyle races (800m and 1500m), the sex difference in age of peak swim speed decreases. This is a phenomenon also noted by Rüst, Knechtle and Rosemann, (2012). It has been supposed that the difference between the age of peak male and female performance decreases with increasing race length for all strokes. When comparing against other strokes, research has found that the difference in age of peak swimming speed is greater for Freestyle events than Breaststroke events of 50-200m in swimmers of national level (Wolfrum et al., 2013). However, the current study of elite swimmers in the UK found the opposite; Breaststroke demonstrated a greater difference between the age of peak performance in males and females than Freestyle. Moreover, the current study found that the sex differences in Freestyle events decrease with distance, but this disagrees with Wolfrum et al. (2013) in that the same pattern was not obvious for Breaststroke races. However, there is agreement between the current study and that of Wolfrum et al. (2013) in that swimmers achieving their peak performances in 200m Breaststroke were younger on average than swimmers in 50m and 100m events. British male swimmers were younger at their peak performance in Breaststroke than Freestyle in 50-200m events, but females achieved their peak times older in Breaststroke than Freestyle for the 50m and 100m events. Wolfrum et al. (2013), found that both sexes were younger in Breaststroke than in Freestyle.
In part II, the influence of the interaction between sex, stroke and distance upon the performance change between the qualification window and the national championships was highly significant ($p<0.001$). Although all female events showed a regression in performance, with 100m and 200m breaststroke and breaststroke showing the most regression. In a study of the career trajectories of Olympic swimmers Allen et al. (2014), demonstrated that females had slower rates of progression towards their fastest time for breaststroke than for any other stroke. The current analysis shows that the event showing the least short-term progression to the national championships for males was the 200m breaststroke. When this study grouped results by stroke, the events showing the least average progression were freestyle, individual medley and breaststroke. British Swimming has also suggested that Breaststroke is a particular problem area for adolescent British swimmers (British Swimming, 2018), which is supported by the findings of the current study. However much of this underperformance could be attributed to the late development of factors including power and muscle development associated with breaststroke performance. Interestingly, the current study also found that Freestyle rates of progression were lower than in other events, but this may have been skewed by the 1500m, one of the only events which showed a regression in performance between the window and the championships for males. This could be due to the tactical nature of this event, relying heavily on pacing, which is dependent upon the level of competition on the day of the final event. Individual Medley races are highly technical events, requiring proficiency of all four strokes and their turns. With Individual Medley excluded, it could be noted that breaststroke was the worst performing form stroke for males. Indeed, (Dormehl, Robertson and Williams, 2016b) found that for male adolescent swimmers, the slowest rate of improvement was in the 200m Individual Medley and 100m Breaststroke, which is consistent with the findings of the current study. A different paper by the same authors (Dormehl, Robertson and Williams, 2016a) also concluded that 100m Breaststroke was the stroke showing the slowest progression for females, with their fastest improvement happening in the 200m Freestyle. Dormehl et al. (2016a) also stated that 100m Butterfly and 200m Individual Medley were the second-fastest improving strokes for females, and in a separate study of male adolescents (Dormehl, Robertson and Williams, 2016b), it was found that 100m Butterfly was the fastest improving stroke. Butterfly appears to be one of the last strokes that males specialise in, and could explain the
relatively similar performances of males and females in the Butterfly events, especially in the 50m distance as found by the current study.
In part II of this research, the most disparity between progression of male and female performances was found in the 100m distance events. When grouped by distance, the best events showing the most positive performance at national championships for female swimmers were 50m distances, which is also the distance showing the least disparity between males and females. An event showing a minimal sex difference was the 50m Butterfly, which was also the second-best female event. For females, their worst distance was 200m. For males, their worst distance was 1500m. However, as previously mentioned, due to the tactical nature of this event, this result will be excluded. Males also performed badly in the 200m events, showing the least positive progression and in fact, regression between the window and the championships. It has been suggested that the 200m events, lasting from 90-180 seconds, require a great deal more aerobic contribution than 50m and 100m events and is therefore more similar to a 400m event in terms of energy metabolism (Serresse et al., 1988; Nomura et al., 1996; Ring et al., 1996; Trappe, 1996; Maglischo, 2003).
It has been hypothesised that triathletes show least sex difference in swimming events of 1500-3800m when compared to running and cycling (Lepers, Knechtle and Stapley, 2013) and the performance gap between males and females is smaller in longer events (Knechtle et al., 2020). The findings of both current studies show that in the longer swimming races, particularly 1500m Freestyle, males and females showed the least difference in performance. Moreover, in part I of the study, the age of peak performance for males and females were closest together in the 1500m Freestyle. It has been further hypothesised that at distances requiring characteristics of endurance, including 30km open water events, that women may be capable of out-performing men (Knechtle et al., 2020). In part II of the study, 1500m Freestyle was the event in which females showed the most positive progression between the qualification events and the national championships. In addition, males and females showed the least difference in their performance progression
to the national championships. This could be partly due to the event being new for women, as it first appeared on the National Championships programme in 2018 and will be added to the programme in the postponed Tokyo 2020 Olympic Games. This would lead to the suggestion that swimmers are still becoming familiar with this event, gaining a great deal of experience with every repetition of the race, hence the dramatic improvement in performance between the national qualification window and the national championships. This suggestion would agree with Yustres et al. (2019) who suggest that experience of high-level competition has a positive impact upon performance, with more experienced swimmers experiencing improved times, placings and rates of progression. Another reason for the decreased gap between males and females in the 1500m Freestyle could be that the longer events require more tactics and pacing strategies, so speed becomes more subjective during the race, i.e., at qualification meets, the standard is likely to be lower than at the national championships, leading to a faster performance at nationals. Indeed, a recent study by Knechtle et al. (2020) showed that the disparity between men and women over longer pool swimming events is diminishing, and for some older and younger age groups, females are outperforming males.
**Age**
It has been hypothesised that females reach their peak performance at a younger age than males (Allen and Hopkins, 2015), and the current study agreed with this hypothesis in every event, age group and grouping of distance and stroke. In support of the findings of the current study, Buhl et al. (2013) investigated performance in four events, comparing the 400m and 200m Freestyle and Individual Medley events, finding that the age of peak performance was less for women than for men. However, Vaso et al. (2013) found that there was no significant difference in the age at which peak swimming times were achieved between males and females in the same selection of events. Kollarz et al. (2013), looked at each distance of backstroke, concluding that females (18-23) were on average 2-3 years younger than males (21-26). They also concluded that swimmers at national level are 1-2 years younger at their age of peak performance than swimmers at international level, which can be corroborated by the current study. In the current analysis, the top male
swimmer for each of the events had an average age of 22.2 years and the top female in each event was 21.2 years. Whereas the average for each event overall was 21.3 years for males and 19.7 years for females, a 0.9-1.6 year difference between the two groups of swimmers. In a study comparing the Freestyle events, Rüst, Knechtle and Rosemann (2012) found that women achieved their peak performance earlier than men in all Freestyle events from 50m to 1500m, except 800m. Indeed, Rust et al (2012) also concluded that women peak at an earlier age to men in all Freestyle events, including the 800m. In a study comparing a similar programme of events, Allen, Vandenbogaerde and Hopkins (2014) found that men have an older age of peak performance than women (24.2 ± 2.1 vs. 22.5 ± 2.4 years, respectively). It was also found by the same authors that swimmers older in age had more success in shorter distances (Allen, Vandenbogaerde and Hopkins, 2014). The current study found the same trends, that the longer distances of each stroke tend to include younger ages of peak performance.
The use of an age group variable rather than age assumes that the groups selected are biologically sensible. Since some age groups are combined for qualification and the national championships, it has to be assumed that the swimmers in each category are at a similar level of maturation, regardless of their actual chronological age as they have qualified with a similar time to the others in their age group (13/14, 15, 16, 17/18, 19+). British Swimming (2018) state that they would expect the cohort of swimmers at the national championships to exhibit a positive progression in their performances between the qualification window and the national championships. This is due to the increased rate of natural growth and maturation experienced by the younger age groups in the weeks between the window and the national championships. Whilst this general idea is reflected in the results by each age group, it only accounts for a proportion of the best-performing athletes, with final placings of around 1-12. The lower ranking swimmers still experienced a regression in their performance. Higher placed swimmers produce consistently better performances and a more positive progression when compared to lower-ranked swimmers of the same sex and age group. In a study of Olympic swimmers, Pyne, Trewin and Hopkins (2004) demonstrated that 5 weeks between a
qualifying event and the Olympic games did not give sufficient time for a senior athlete to significantly improve their performance, but that 17 weeks did. Their finding would support the results of this study, that senior athletes experience less of a progression effect than athletes in lower age groups in the period amounting to 8 weeks between the qualification window and the national championships. As mentioned previously, younger swimmers have been found to experience greater improvements throughout the season, as shown by Costa et al. (2011).
**Prediction**
The initial difference in the performance progression of males and females corroborates the idea that male and female performance diverges at around 12-13 years of age due to the levels of circulating testosterone in boys, accelerating their progression when compared to females (Handelsman, 2017). Data from the current study demonstrates that, on average, first placed females show a steady decline in their percentage of progression between the qualification events and the National championships, with the largest drop in performance between the 13/14 and 15 age groups. Whereas male swimmers demonstrated a significant decline in their percentage of progression between the 16 and 17/18 age groups. This can be interpreted as their performances for females and males becoming more stable at the age of 15 and 17 respectively, which echoes current literature on teenage sporting performance (Handelsman, 2017). Interestingly, these align with the minimum ages of peak performance found in part I of the study for swimmers with the top 10 senior performances of all time for each event. Although this accounts for a small number of individuals, performance can be said to stabilise at these ages for both males and females. Existing research suggests that 13-14 years of age is a key milestone for boys for the stability of performance in some swimming events (Costa et al., 2010; Costa et al., 2014), but a cycling study concluded that prediction of senior performances by boys in the U17 age group was more accurate than predictions for U15 athletes (Mostaert et al., 2021).
Talent Development
The current Swim England pathway programme (Table 8) is made up of eight different stages and at the top level, comprised of swimmers who are expected to achieve medals at international championships, there are only up to 24 swimmers selected to cover the 34 Olympic events.
Table 8 - Summary of Swim England and British Swimming talent development pathway programmes 2019/2020 (Swim England, 2019)
| Pathway Stage | Age | Number of Individuals |
|----------------------------------------------------|----------------------|-----------------------|
| County Development Programme | 11 yrs | 792-1188 |
| Regional Development Programme | 12 yrs | 288 |
| National Development Programme | 13-14 yrs | 288 |
| National Event Camps | 15-16 yrs | 90 |
| Swim England Junior Squad | 18 yrs & under | 40 |
| Swim England Performance Squad | 22 yrs & under | ≤20 |
| British Swimming Podium Potential Programme | 15+ yrs | ≤30 |
| British Swimming Podium Programme | 16+ yrs | ≤24 |
Whilst the Athlete Development Support Pathway accounts for the developmental differences between males and females from the FUNdamentals stage, the pathway programmes by Swim England (Table 8) do not seem to take these into consideration for either the national championships, or the pathway programmes. Over half of the swimmers studied in part I only appeared on the senior rankings list, without a highly ranked junior performance. Despite this, the current pathway programme does not take this into account, with swimmers being selected for the podium potential and podium programmes from 15 years of age. This study has suggested that the current talent pathway may be favouring individuals who peak in the junior age group, specifically males. Allen et al. (2015), published a suggestion that to achieve the maximum number of Olympic qualifiers, huge squad sizes would be needed in order to guarantee that 90% of qualifying swimmers are included in the talent development squad. However, fewer than 60 swimmers currently make up the British Swimming performance squads (Swim England, 2019). The small size of this performance squad means that funding is likely to be channelled to the top swimmers, leading to lack of funding for other swimmers who could make up a larger and potentially more successful talent programme at some of the country’s many swimming clubs, rather than just the centralised talent programme (Allen et al., 2015). Inevitably not all swimmers selected for the talent programmes will progress to the top level, due to dropout or injury, among
other reasons. It is also a commonly held belief by coaches that females are more susceptible to drop out and therefore the pool of swimmers from which to pick a national team is even smaller. This could be having a negative effect upon female performance as there will be a gap between the performances of those at well-resourced performance centres and swimmers in club programmes. As a result of this disparity, the level competition at a national level, used for selection, could be having a detrimental effect upon results at an international level. There is a conflicting approach by the National governing bodies of swimming, from a holistic approach at the Athlete Development Support Pathway level, to an elite approach in the pathway programmes. To move forwards, it is suggested that the pathway is more inclusive of swimmers developing on a trajectory that may suggest a successful performance in the senior age group, rather than just pushing the currently successful junior athletes, as some will not progress to the senior age group.
**Limitations**
Prior to the Covid-19 pandemic, a field-based study was planned and ethical approval gained to assess the effect of physiological determinants upon performance change between the national qualification window and the national championships (Appendix I & II). Due to the national lockdown in March 2020, the qualification window and subsequently the national championships were cancelled, as well as all training activities, meaning the original study could not be completed.
Due to the availability of data and study design, there were several limitations with the current study. Although the data acquired for the study contained the age and year of birth of each individual, their exact date of birth is not available and therefore relative age effect cannot be determined. Costa et al. (2013) suggest that although successful competitive swimmers are more likely to have birth dates in the first half of the year, it is an effect experienced more by males and they concluded there was mostly no effect upon performance of the top-50 swimmers. Additionally, as the results of the British swimming selection policies
are based around the performance in their allocated age groups, the relative age effect is of limited use within the analysis of results for this study.
Although the number of swimmers in each age bracket is similar for each year, it is not the same. This could affect the reliability of the findings. As the selection method for the national championships is now by qualification window and ranking position, the swimmers at the national championships will be some of the fastest swimmers in the country, so may not account for many of the club swimmers up and down the UK.
Lastly, there are many other determinants of performance that were not measured during this study. Research has shown that factors such as anthropometrics, biomechanics, experience level, psychology and physiology can have a dramatic effect on performance (Jürimäe et al., 2007; Lätt et al., 2010; Barbosa et al., 2011; Klika and Thorland, 2016). However, the current study design is based solely on the freely available performance data for British swimmers.
**Practical Application & Future Direction**
The main findings of the study were that females consistently underperform at the British Summer Meet when compared to their own performances during the qualification window. Females also show a disparity in their performance change when compared to males, but both sexes show similar patterns of performance in relation to their final placing, age group and some strokes. Rather than trying to identify why girls are underperforming in all events, the emphasis for future research should be shifted to identifying why there is such a disparity in male and female performance progression. It seems that males experience a more rapid decline in performance from the 16 years age group, whereas it had previously suggested that females were demonstrating a notable drop in their stability of performance. More evidence is required to establish whether this is a pattern and to determine why this might be the case.
To further explore the phenomenon of successful juniors failing to convert their junior performances into senior ranking performances, it is suggested that a qualitative approach could be used to gather information about the reasons behind a change in performance. Similar studies have been carried out around the tendency of junior athletes to drop-out before reaching the senior age group (Salguero et al., 2003). This information could contribute towards determining the reason why male and female performance differs across the age groups.
Whilst the current study shows the general patterns for swimmers grouped by the factors available to analyse from the national championships results, further research into the determinants of swimming performance is required. Further studies should aim to identify the potential cause of the patterns of performance demonstrated by females, but also by males in order to address the disparity in performance progression between males and females. Further research should also focus on what is causing the differences in stability of performance between males and females, in order to give a clear direction for coaches to pursue in the club environment to address the difference in the performance of their male and female swimmers.
**Conclusion**
This research suggests that females achieve their peak performances at younger ages than males, but they show the most progression to the senior age group, whereas males show less of a progression from junior to senior age group. It was found that the pathway to a successful senior performance is not just a progression from the junior age group, but that many swimmers only appear on the rankings list in the senior age group. Whilst the idea of female underperformance at the nationals was confirmed, the patterns of performance progression were similar throughout the age groups and lower ranked, slower swimmers are showing the
most drastic underperformance. Faster, higher ranked males and females consistently showed a positive performance progression between qualification events and the national championships across all age groups.
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Appendix I – Research Proposal for Original Project
Research Proposal
How do physiological determinants affect performance change between the national qualifying window and the national championships in sub-elite female youth swimmers?
Research Context
Following the publication of the Swimming Discussion Paper, questions were raised over the preparation of female athletes due to the regression of performance by female clubs between the national qualification window and the national championships (British Swimming, 2018a). The paper showed that 86% of female clubs showed a regression, when compared with a 49% regression for male clubs.
The ability to identify variables impacting upon female performance is particularly important for coaches and their athletes at international level, as they need to be able to produce their optimum performance at a specific targeted meet, for example, the world championships or Olympic games.
There are several physiological determinants of athletic performance in swimmers. It has been found that until boys and girls reach puberty, girls have a performance advantage. However, when testosterone is produced by boys during puberty, this enables them to progress much faster than girls, leading male athletes to faster performances. The same study also demonstrated that swimming performance follows a quadratic growth curve until plateau occurs at the age of 15 for girls and 17 for boys (Senefeld et al., 2019). Costa et al. (2013) found that there was hardly any effect of birth date on the difference of performance in swimmers.
Training load can have a huge impact upon the performance of swimmers, with a difference of 10% making a considerable difference to performance (Hellard et al., 2017). When a training load is too high or increases too quickly, it can lead to fatigue but also illness, overreaching or injury (Halson, 2014). Mujika (1995) found that previous episodes of detraining could have a negative effect on future performances. Matthews et al. (2010) saw that there was a small increase in the incidence of illness in athletes with a higher training load and that athletes experience longer episodes of illness when compared to recreationally active individuals. However, Pyne et al. (2000) found that presence of respiratory tract illnesses did not have an effect on performance of swimmers.
Lowensteyn, Signorile and Giltz (1994) suggest that increased levels of body fat can contribute significantly to a decline in performance in both male and female swimmers. When focusing on stature, taller swimmers, with greater arm spans can move more water and therefore increase their speed (Mazzilli, 2019). It has been found that although female lean mass has little variation throughout the season, it does increase from pre-season to taper (Pyne, Anderson & Hopkins, 2006). Bossi et al. (2013) found that although not significant in their study, performance improved in the follicular phase of the menstrual cycle. Another paper agreed with this idea, stating that muscle strength is also greater during the follicular phase (Pallavi, D Souza & Shivaprakash, 2017).
Aim
Study 1
The aim of the first part of the study is to establish whether individual female performance for swimmers in the 13-18 year age groups shows a regression between the qualification window (March to May) and the national championships (July and August) using historic performance data.
**Study 2**
The second element of the study will focus on the factors affecting the performance of female swimmers from the qualifying window to the national championships. It will compare performance data with associated physiological variables including; age, menstrual cycle, training load, freshness & fatigue, health and anthropometrics.
**Hypotheses**
**Study 1**
The performance of female youth swimmers between the qualifying period and the national championships shows greater regression than their male equivalents (British Swimming, 2018a). Swimming performance follows a quadratic growth curve until plateau occurs at the age of 15 years for females and 17 years for males (Senefeld et al., 2019).
**Study 2**
Athletes show increased stress responses in the lead up to the national championships when compared to their preparation for competitions within the qualifying window (Rushall, 1990). Athletes with a greater level of illness before the national championships show more of a regression in performance than athletes who experience illness before events in the qualifying window (Matthews et al., 2010). Athletes who have a period of non-training exhibit a regression between the national qualifying window and the national championships (Mujika, 1995). Athletes with greater raw skinfold measurements before the national championships experience a decline in performance at the national championships (Lowensteyn, Signorile & Giltz, 1994). Athletes that experience a decline in performance between the qualifying window and the national championships perceive their workload to be less than those who show a progression in performance (Hart & Staveland, 1988). Girls produce better performances when they are in the follicular phase of the menstrual cycle (Bossi et al., 2013; Pallavi, D Souza & Shivaprakash, 2017).
**Research Design**
**Study 1**
The performances of the subjects (described in Subjects section) will be plotted against time. The performance trajectory for each individual will be mapped, which will then contribute towards the grouped trajectory for performance. From this, the expected performance bounds can be determined, which could be used to create a predictive model of performance across a swimming career. A similar analysis will be used to map the performance of each swimmer within each season, to determine whether there is a change in performance across the season, but particularly between national qualification events and the national championships (analyses described in statistical analysis section).
**Study 2**
Table 1 shows the weekly layout of the season, including the qualification window and the national championship events (British Swimming, 2019; Scottish Swimming, 2019; Swim England, 2019 and Swim Wales, 2019). Swimmers will qualify for the National Championship events in accordance with the invitation policy (British Swimming, 2018b).
Participants will be monitored over an 8-month period from January to August 2020, to include the qualifying window (13th March to 10th May 2020) and the national championship events (17th July to 2nd August 2020). Baseline tests will be completed in the initial month of the study. These will include a health questionnaire, initial anthropometric measures, performance and familiarisation with the study. Participants will be required to complete their normal training as prescribed by their individual coaches at their different clubs. Training diaries will be used by the participants throughout to provide data on their training load, health, menstrual cycle, fatigue and freshness. Test sets will be completed by participants fortnightly, under the guidance of their coaches. The lead researcher will visit participants every month to measure their anthropometric parameters including height, seated height, arm span, weight and raw skinfold measurements (details of each parameter are within measures section).
| Significant Dates | 06-Jan | 13-Jan | 20-Jan | 27-Jan | 03-Feb | 10-Feb | 17-Feb | 24-Feb | 02-Mar | 09-Mar | 16-Mar | 23-Mar | 30-Mar | 06-Apr | 13-Apr | 20-Apr | 27-Apr | 04-May | 11-May | 18-May | 25-May | 01-Jun | 08-Jun | 15-Jun | 22-Jun | 29-Jun | 06-Jul | 13-Jul | 20-Jul | 27-Jul | 03-Aug |
|-------------------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|--------|
| Training Diary | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Test Sets | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Anthropometrics | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Baseline Tests | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Table 1 - Research design over the study period, showing British Summer Championships and Home Countries Summer Meets
Subjects
Study 1
For the initial study within this research, the subjects will be the top 50 boys and girls in each national championship event, both long and short course in the 13-18 years age group from 2014-2019 (age at 31st December). This is to allow a full analysis of their performances from 13 to 18 years of age. Performance will be compared between seasons and within the season to establish the relationship between performance at the national qualifying events and performance at the national championships.
Study 2
Participants for the research will be female swimmers in the 13-18 year age groups (on 31st December 2020) from clubs in the Swim England Kent County. They will be selected from the top 50 times within the last year for each event, distance and course. This measure of their current performance would suggest that they have potential to qualify for the national championships in 2020. This will be achieved by using the rankings qualifying times generator (Swimmingresults.org, 2019a, Appendix 1), alongside the national rankings database (Swimmingresults.org, 2019b) as a basis for selection. Participants will be selected in December 2019, allowing data collection to begin in January 2020. The proposed completion date for the study is 31st August 2020.
Participants will be provided an information sheet summarising the study. They will then be required to complete an initial health questionnaire and consent form prior to the commencement of the study.
Measures
The lead researcher is a qualified and DBS checked Swim England coach, but a member of the coaching staff from the relevant swimming club will be present for the collection of measurements on each visit day.
Baseline Assessments
Baseline assessments will take place at the beginning of the study. They will include a standard health screening questionnaire (Appendix I), an assessment of current performance and an overview of the weekly routine of each participant (see page 1 of training diary, Appendix IV).
**Performance**
Measurements of performance will be two-fold. First, an estimate of the athlete’s critical swim speed (CSS) or critical velocity ($V_{crit}$) and secondly, their competition results. CSS will be calculated from the results of a fortnightly test set. The test set comprises 2 maximum effort swims, one of 400m, the other of 200m (Pelayo *et al.*, 2000). The gradient of the regression line between the two results will give the $V_{crit}$ in metres per second ($ms^{-1}$):
$$V_{crit} = \frac{400 - 200}{t_{400} - t_{200}}$$
Where $t_{400} =$ time for 400m in seconds (s) and $t_{200} =$ time for 200m in seconds (s). This speed can be converted into a time per 100m ($100 \div V_{crit}$) in seconds (s) (Wakayoshi *et al.*, 1992a and 1992b). Test sets will be performed at similar levels of fatigue and freshness. Either a morning or evening session on the testing day will remain constant on each testing week for the duration of the study (e.g. on a Wednesday morning). Participants will swim their usual 15 minute warm up as directed by their coach, followed by the test set.
The second measure of performance will be the results of any races swum throughout the study period. These times will automatically be uploaded to the rankings database (British Swimming, 2016) as a time ($mm:ss.00$), which can be converted to $ssss.00$ to enable analysis.
**Anthropometrics**
Height, arm span, body mass and skinfold thickness measurements will be taken every month, using standard protocols. Height, seated height and arm span will be measured in metres ($m$) using the same portable tape measure on each of the measurement days. Body mass will be measured in kilograms ($kg$), using the same portable set of scales on each measurement date. Distribution of subcutaneous fat will be assessed via raw skinfold thickness measurements from 7 sites: triceps, biceps, subscapular, suprailiac, abdominal, thigh and calf using standard protocols (Saw *et al.*, 2018; Pyne, Anderson & Hopkins, 2006). Due to the age of the swimmers, these will be taken in the presence of a chaperone, over the participant’s swimsuit where necessary. This means that the thickness of the swimsuit will also have to be measured and considered when recording the data.
**Training Load**
Training diaries will be completed by the participants to monitor their training. A brief outline of the session will be recorded in the training diary, with the session RPE, total duration and total distance. Training load will be calculated using the session RPE method suggested by Foster *et al.* (2001):
$$\text{Training Load (AU)} = \text{Session RPE (CR10 scale)} \times \text{Session Duration (mins)}$$
Athletes will be introduced to and given a copy of the CR10 scale (Appendix III, Foster *et al.*, 2001) before completing their training diaries.
**NASA-TLX**
Participants will give a subjective evaluation of workload for each session, using a modified Task Load Index (NASA-TLX) questionnaire (Hart & Staveland, 1988). This is within the training diary and has an unlabelled 7-point response between the two endpoints.
**DALDA**
The athletes’ subjective responses to training will be quantified using the daily analyses of life demands for athletes (DALDA) questionnaire, which will be completed daily by the participants as part of their training.
diary. Part A will assess the sources of life stress using 9 descriptors and the 25 descriptors in part B will evaluate the symptoms of this stress (Rushall, 1990).
**Health**
By using a modified comprehensive survey to assess any symptoms of illness, an illness load can be calculated for each day (Matthews *et al.*, 2010):
\[
\text{Total Illness Load (AU)} = \sum \text{Cumulative Daily Severity Scores (AU)}
\]
**Statistical Analysis**
**Study 1**
Improvement over time and with age will be compared using a univariate ANOVA of performance (swimming velocity, $ms^{-1}$) against time (Senefeld *et al.*, 2019). From this, bounds will be put in place to map the common trajectory of performance. A comparison between the change in performance of girls and the change in performance of boys between the national championships will be made with a sample paired t-test, using the means of performance change for each.
**Study 2**
Change in performance over time will be evaluated using a univariate ANOVA, similar to part 1 of the study. To compare all other studied variables against performance, a multivariate ANOVA will be used. There will be a test for significance at 5%, so values of P<0.05 will be considered statistically significant. To compare performances at qualification and nationals of the participants for part two of the study, the same t-test will be used as in part 1, using a series of performances from the qualification period and a series of performances from the national championships.
HEALTH QUESTIONNAIRE
Participant Number..................................................................
Please answer these questions truthfully and completely. The sole purpose of this questionnaire is to ensure that you are in a fit and healthy state to complete an exercise test.
ANY INFORMATION CONTAINED HEREIN WILL BE TREATED AS CONFIDENTIAL.
SECTION 1: GENERAL HEALTH QUESTIONS
Please read the 10 questions below carefully and answer each one honestly: check YES or NO.
| Question | YES | NO |
|-------------------------------------------------------------------------|-----|----|
| 1. Has your doctor ever said that you have a heart condition or high blood pressure? | | |
| 2. Do you feel pain in your chest at rest, during your daily activities of living, or when you do physical activity? | | |
| 3. Do you lose balance because of dizziness or have you lost consciousness in the last 12 months? (Please answer NO if your dizziness was associated with over-breathing including vigorous exercise). | | |
| 4. Have you ever been diagnosed with another chronic medical condition (other than heart disease or high blood pressure)? | | |
If yes, please list condition(s) here:
5. Are you currently taking prescribed medications for a chronic medical condition?
If yes, please list condition(s) and medications here:
6. Do you currently have (or have you had within the past 12 months) a bone, joint or soft tissue (muscle, ligament, or tendon) problem that could be made worse by becoming more physically active? Please answer NO if you had a problem in the past but it does not limit your ability to be physically active.
If yes, please list condition(s) here:
7. Has your doctor ever said that you should only do medically supervised physical activity? | | |
8. Are you, or is there any chance you could be, pregnant? □ □
9. Are you currently taking any nutritional supplement?
If ‘YES’ please inform the researcher what supplements are being taken □ □
10. Are you involved in any other research project?
If ‘YES’ please inform the researcher about details of the project □ □
If you answered NO to all of the questions above, you are cleared to take part in the exercise test.
Go to SECTION 3 to sign the form. You do not need to complete section 2.
If you answered YES to one or more of the questions in Section 1 - PLEASE GO TO SECTION 2.
SECTION 2: CHRONIC MEDICAL CONDITIONS
Please read the questions below carefully and answer each one honestly: check YES or NO.
| | | YES | NO |
|---|-----------------------------------------------------------------|-----|----|
| 1.| Do you have arthritis, osteoporosis, or back problems? If YES answer questions 1a-1c. If NO go to Question 2. | | |
| 1a.| Do you have difficulty controlling your condition with medications or other physician-prescribed therapies? (Answer NO if you are not currently taking any medications or other treatments). | | |
| 1b.| Do you have joint problems causing pain, a recent fracture or fracture caused by osteoporosis or cancer, displaced vertebrae (e.g. spondylolisthesis), and/or spondyloysis/pars defect (a crack in the bony ring on the back of the spinal column)? | | |
| 1c.| Have you had steroid injections or taken steroid tablets regularly for more than 3 months? | | |
| 2.| Do you have cancer of any kind? If YES answer questions 2a-2b. If NO, go to Question 3. | | |
| 2a.| Does your cancer diagnosis include any of the following types: lung/bronchogenic, multiple myeloma (cancer of plasma cells), head and neck? | | |
| 2b.| Are you currently receiving cancer therapy (such as chemotherapy or radiotherapy)? | | |
| | Question | YES | NO |
|---|--------------------------------------------------------------------------|-----|----|
| 3.| Do you have heart disease or cardiovascular disease? This includes coronary artery disease, high blood pressure, heart failure, diagnosed abnormality or heart rhythm. If YES answer questions 3a-3e. If NO go to Question 4. | | |
| 3a.| Do you have difficulty controlling your condition with medications or other physician-prescribed therapies? (Answer NO if you are not currently taking any medications or other treatments). | | |
| 3b.| Do you have an irregular heartbeat that requires medical management? (e.g. atrial fibrillation, premature ventricular contraction) | | |
| 3c.| Do you have chronic heart failure? | | |
| 3d.| Do you have a resting blood pressure equal to or greater than 160/90mmHg with or without medication? Answer YES if you do not know your resting blood pressure. | | |
| 3e.| Do you have diagnosed coronary artery (cardiovascular) disease and have not participated in regular physical activity in the last 2 months? | | |
| 4.| Do you have any metabolic conditions? This includes Type 1 Diabetes, Type 2 Diabetes and Pre-Diabetes. If YES answer questions 4a-4c. If NO, go to Question 5. | | |
| 4a.| Is your blood sugar often above 13mmol/L? (Answer YES if you are not sure). | | |
| 4b.| Do you have any signs or symptoms of diabetes complications such as heart or vascular disease and/or complications affecting your eyes, kidneys, OR the sensation in your toes and feet? | | |
| 4c.| Do you have other metabolic conditions (such as thyroid disorders, current pregnancy related diabetes, chronic kidney disease, or liver problems)? | | |
| 5.| Do you have any mental health problems or learning difficulties? This includes Alzheimer’s, dementia, depression, anxiety disorder, eating disorder, psychotic disorder, intellectual disability and down syndrome. If YES answer questions 5a-5b. If NO go to Question 6. | | |
| 5a.| Do you have difficulty controlling your condition with medications or other physician-prescribed therapies? (Answer NO if you are not currently taking any medications or other treatments). | | |
| 5b.| Do you also have back problems affecting nerves or muscles? | | |
| 6.| Do you have a respiratory disease? This includes chronic obstructive pulmonary disease, asthma, pulmonary high blood pressure. If YES answer questions 6a-6d. If NO, go to Question 7. | | |
| 6a.| Do you have difficulty controlling your condition with medications or other physician-prescribed therapies? (Answer NO if you are not currently taking any medications or other treatments). | | |
| | | YES | NO |
|---|-----------------------------------------------------------------|-----|----|
| 6b.| Has your doctor ever said you blood oxygen level is low at rest or during exercise and/or that you require supplemental oxygen therapy? | | |
| 6c.| If asthmatic, do you currently have symptoms of chest tightness, wheezing, laboured breathing, consistent cough (more than 2 days/week), or have you used your rescue medication more than twice in the last week? | | |
| 6d.| Has your doctor ever said you have high blood pressure in the blood vessels of your lungs? | | |
| 7. | Do you have a spinal cord injury? This includes tetraplegia and paraplegia. If YES answer questions 7a-7c. If NO, go to Question 8. | | |
| 7a.| Do you have difficulty controlling your condition with medications or other physician-prescribed therapies? (Answer NO if you are not currently taking any medications or other treatments). | | |
| 7b.| Do you commonly exhibit low resting blood pressure significant enough to cause dizziness, light-headedness, and/or fainting? | | |
| 7c.| Has your physician indicated that you exhibit sudden bouts of high blood pressure (known as autonomic dysreflexia)? | | |
| 8. | Have you had a stroke? This includes transient ischemic attack (TIA) or cerebrovascular event. If YES answer questions 8a-8c. If NO go to Question 9. | | |
| 8a.| Do you have difficulty controlling your condition with medications or other physician-prescribed therapies? (Answer NO if you are not currently taking any medications or other treatments). | | |
| 8b.| Do you have any impairment in walking or mobility? | | |
| 8c.| Have you experienced a stroke or impairment in nerves or muscles in the past 6 months? | | |
| 9. | Do you have any other medical condition which is not listed above or do you have two or more medical conditions? If you have other medical conditions, answer questions 9a-9c. If NO go to Question 10. | | |
| 9a.| Have you experienced a blackout, fainted, or lost consciousness as a result of a head injury within the last 12 months OR have you had a diagnosed concussion within the last 12 months? | | |
| 9b.| Do you have a medical condition that is not listed (such as epilepsy, neurological conditions, and kidney problems)? | | |
| 9c.| Do you currently live with two or more medical conditions? | | |
Please list your medical condition(s) and any related medications here:
| | |
|---|---|
| 10. | Have you had a viral infection in the last 2 weeks (cough, cold, sore throat, etc.)? If YES please provide details below: |
| 11. | Is there any other reason why you cannot take part in this exercise test? If YES please provide details below: |
| 12. | Please provide brief details of your current weekly levels of physical activity (sport, physical fitness or conditioning activities), using the following classification for exertion level:
L = light (slightly breathless)
M = moderate (breathless)
V = vigorous (very breathless)
Activity | Duration (mins.) | Level (L/M/V)
Monday
Tuesday
Wednesday
Thursday
Friday
Saturday
Sunday |
Please see below for recommendations for your current medical condition and sign this document:
- **If you answered NO to all of the follow-up questions about your medical condition, you are cleared to take part in the exercise test.**
- **If you answered YES to one or more of the follow-up questions about your medical condition it is strongly advised that you should seek further advice from a medical professional before taking part in the exercise test.**
This health questionnaire is based around the PAR-Q+, which was developed by the Canadian Society for Exercise Physiology [www.csep.ca](http://www.csep.ca)
## Appendix II – Qualifying times for study. Age at 31st December 2019 (Swimmingresults.org, 2019a)
| Event code: | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 | 18 |
|------------|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|-----|
| **Age Type:** | 50m Fr | 100m Fr | 200m Fr | 400m Fr | 800m Fr | 1500m Fr | 50m Br | 100m Br | 200m Br | 50m Fl | 100m Fl | 200m Fl | 50m Ba | 100m Ba | 200m Ba | 100m IM | 200m IM | 400m IM |
| **12 LC** | 30.16 | 01:06.1 | 02:23.4 | 05:05.4 | 10:44.9 | 21:31.0 | 38.73 | 01:25.2 | 03:03.8 | 32.9 | 01:14.5 | 02:52.7 | 34.7 | 01:15.3 | 02:40.9 | 01:42.7 | 05:50.9 |
| **SC** | 29.54 | 01:04.6 | 02:21.3 | 04:58.2 | 10:20.7 | 20:33.1 | 37.74 | 01:22.5 | 02:58.4 | 32.51 | 01:13.4 | 02:46.6 | 33.63 | 01:12.6 | 02:36.1 | 01:15.4 | 05:38.5 |
| **13 LC** | 29.12 | 01:03.3 | 02:17.0 | 04:50.6 | 10:03.7 | 19:38.7 | 36.91 | 01:20.9 | 02:55.4 | 31.21 | 01:09.9 | 02:37.7 | 33.26 | 01:11.7 | 02:33.8 | 01:23.5 | 05:31.3 |
| **SC** | 28.5 | 01:01.9 | 02:14.8 | 04:43.5 | 09:49.2 | 19:18.7 | 36.08 | 01:18.7 | 02:50.8 | 30.91 | 01:09.3 | 02:35.9 | 32.13 | 01:09.3 | 02:30.0 | 01:12.0 | 05:23.4 |
| **14 LC** | 28.47 | 01:01.6 | 02:13.3 | 04:41.8 | 09:43.8 | 19:02.4 | 35.76 | 01:18.4 | 02:49.4 | 30.32 | 01:07.9 | 02:33.8 | 32.37 | 01:09.4 | 02:29.4 | 01:20.5 | 05:21.5 |
| **SC** | 27.97 | 01:00.3 | 02:11.1 | 04:36.5 | 09:38.2 | 18:54.3 | 35.24 | 01:16.6 | 02:45.2 | 30.14 | 01:06.9 | 02:31.4 | 31.33 | 01:06.9 | 02:25.1 | 01:09.9 | 05:14.8 |
| **15 LC** | 27.98 | 01:00.4 | 02:11.2 | 04:37.3 | 09:37.1 | 18:35.2 | 35.39 | 01:17.6 | 02:47.5 | 29.79 | 01:06.5 | 02:28.9 | 31.65 | 01:08.1 | 02:27.8 | 01:22.8 | 05:17.5 |
| **SC** | 27.66 | 59.73 | 02:09.5 | 04:34.1 | 09:30.7 | 18:31.5 | 34.94 | 01:15.3 | 02:44.7 | 29.82 | 01:06.0 | 02:28.5 | 30.9 | 01:06.0 | 02:23.6 | 01:09.3 | 05:12.0 |
| **16 LC** | 27.89 | 01:00.4 | 02:11.0 | 04:38.6 | 09:38.9 | 19:16.0 | 35.31 | 01:17.7 | 02:47.9 | 29.71 | 01:06.3 | 02:30.2 | 31.73 | 01:08.0 | 02:27.7 | 01:28.0 | 05:18.8 |
| **SC** | 27.37 | 59.34 | 02:08.9 | 04:34.1 | 09:36.7 | 19:34.2 | 34.74 | 01:15.4 | 02:44.8 | 29.63 | 01:05.7 | 02:28.2 | 30.66 | 01:06.2 | 02:24.3 | 01:08.7 | 05:13.5 |
| **17 LC** | 27.94 | 01:00.2 | 02:10.9 | 04:35.5 | 09:37.4 | 19:43.1 | 35.53 | 01:18.9 | 02:50.4 | 29.8 | 01:06.0 | 02:30.6 | 31.58 | 01:07.9 | 02:27.4 | 01:22.6 | 05:15.9 |
| **SC** | 27.59 | 59.18 | 02:08.7 | 04:32.6 | 09:39.3 | 20:11.5 | 35.32 | 01:16.1 | 02:46.6 | 29.9 | 01:06.0 | 02:30.8 | 30.94 | 01:06.5 | 02:24.3 | 01:08.8 | 05:13.1 |
| 0 | Rest |
|-----|-------------------------------------------|
| 1 | Very, very easy |
| 2 | Easy |
| 3 | Moderate |
| 4 | Somewhat hard |
| 5 | Hard |
| 6 | - |
| 7 | Very hard |
| 8 | - |
| 9 | - |
| 10 | Maximal |
Training Diary
Normal training schedule
| Day | | | |
|---------|-------|-------|-------|
| Monday | | | |
| Tuesday | | | |
| Wednesday| | | |
| Thursday| | | |
| Friday | | | |
| Saturday| | | |
| Sunday | | | |
| Date: |
| Are you currently on your period? YES / NO |
| Training day (pool or dryland training) | Planned non-training day (planned rest days) | Unplanned non-training day (holidays, illness etc.) | Competition day (including all races) |
| Summary of all training activities |
| **(1) Type:** Pool / Dryland / Race | **(2) Type:** Pool / Dryland / Race | **(3) Type:** Pool / Dryland / Race |
| Time: | Time: | Time: |
| Brief session/race outline: | Brief session/race outline: | Brief session/race outline: |
| Total distance: | Total distance: | Total distance: |
| Total duration: | Total duration: | Total duration: |
| Session-RPE (0-10): | Session-RPE (0-10): | Session-RPE (0-10): |
NASA-TLX. For each session, please rate how you felt using the session number (1, 2 or 3) on each line)
Overall Workload – total workload associated with the session, considering all sources and components.
Low High
Task difficulty – Whether the session was easy or demanding, simple or complex, exacting or forgiving.
Low High
Performance - How successful you think you were in doing what we asked you to do and how satisfied you were with what you accomplished.
Failure Perfect
Physical effort – The amount of mental and physical activity that was required.
None Impossible
Frustration level – How insecure, discouraged, irritated and annoyed versus secure, gratified, content and complacent you felt.
Fulfilled Exasperated
Stress Level – How anxious, worried, uptight and harassed or calm, tranquil, placid and relaxed you felt.
Relaxed Tense
Fatigue – How tired, weary, worn out and exhausted or fresh, vigorous and energetic you felt.
Exhausted Alert
DALDA
Please respond by circling the appropriate response alongside each item in Part A and Part B.
A = worse than normal
B = normal
C = better than normal
**PART A**
| | | | |
|---|---|---|---|
| 1 | Diet | A | B | C |
| 2 | Home life | A | B | C |
| 3 | School/college | A | B | C |
| 4 | Friends | A | B | C |
| 5 | Sport training | A | B | C |
| 6 | Climate | A | B | C |
| 7 | Sleep | A | B | C |
| 8 | Recreation | A | B | C |
| 9 | Health | A | B | C |
**PART B**
| | | | |
|---|---|---|---|
| 1 | Muscle pains | A | B | C |
| 2 | Techniques | A | B | C |
| 3 | Tiredness | A | B | C |
| 4 | Need for a rest | A | B | C |
| 5 | Supplementary work | A | B | C |
| 6 | Boredom | A | B | C |
| 7 | Recovery time | A | B | C |
| 8 | Irritability | A | B | C |
| 9 | Weight | A | B | C |
| 10 | Throat | A | B | C |
| 11 | Internal | A | B | C |
| 12 | Unexplained aches | A | B | C |
| 13 | Technique strength | A | B | C |
| 14 | Enough sleep | A | B | C |
| 15 | Between sessions recovery | A | B | C |
| 16 | General weakness | A | B | C |
| 17 | Interest | A | B | C |
| 18 | Arguments | A | B | C |
| 19 | Skin rashes | A | B | C |
| 20 | Congestion | A | B | C |
| 21 | Training effort | A | B | C |
| 22 | Temper | A | B | C |
| 23 | Swellings | A | B | C |
| 24 | Likability | A | B | C |
| 25 | Running nose | A | B | C |
Illness Questionnaire
Do you have any symptoms of illness today? YES / NO
If yes, please rate your symptoms below as:
1 = minimal (no change to training)
2 = moderate (modified training)
3 = severe (no training)
| | Symptom Description | 1 | 2 | 3 |
|---|-------------------------------------------------------------------------------------|---|---|---|
| 1 | **Upper respiratory** | | | |
| | *Blocked/runny nose, sore throat, sneezing* | | | |
| 2 | **Chest infection** | | | |
| | *Coughing, sputum, chest congestion, wheezing* | | | |
| 3 | **Muscles & joints** | | | |
| | *Aching or swollen (not injury)* | | | |
| 4 | **Gastrointestinal** | | | |
| | *Nausea, vomiting, diarrhoea, abdominal pain, bloating, loss of appetite* | | | |
| 5 | **Head** | | | |
| | *Headache, migraine, dizziness, light intolerance* | | | |
| 6 | **Eye irritation** | | | |
| | *Itchiness, redness, sticky discharge, watery eyes* | | | |
| 7 | **Skin infections** | | | |
| | *Sores, athletes’ foot* | | | |
| 8 | **General fatigue** | | | |
| | *Lethargy, tiredness* | | | |
| 9 | **Ears** | | | |
| | *Ear ache, ringing, hearing loss* | | | |
|10 | **Urinary tract** | | | |
| | *Increased frequency, pain/burning* | | | |
|11 | **Menstruation** | | | |
| | *Increased or heavy flow, abdominal pain, irregularity* | | | |
|12 | **Other (please state)** | | | |
References
Bossi, J., Kostelis, K., Walsh, S. and Sawyer, J. (2013) ‘Effects of menstrual cycle on exercise in collegiate female athletes’. *Research quarterly for exercise and sport*, 84.
British Swimming (2016) *The regulations and requirements in association with British Rankings*. Available at: [http://www.swimming.org/library/documents/544/download](http://www.swimming.org/library/documents/544/download) (Accessed 24/09/2019).
British Swimming (2018a) *Swimming Discussion Paper*. Available at: [https://www.britishswimming.org/news/latest-swimming-news/swimming-discussion-paper/](https://www.britishswimming.org/news/latest-swimming-news/swimming-discussion-paper/) (Accessed: 24/09/2019).
British Swimming (2018b) *2020 Summer meet qualifying window announced*. Available at: [https://www.britishswimming.org/news/latest-swimming-news/2020-summer-meet-qualifying-window-announced/](https://www.britishswimming.org/news/latest-swimming-news/2020-summer-meet-qualifying-window-announced/) (Accessed 24/09/2019)
British Swimming (2019) *British Summer Championships 2020*. Available at: [https://www.britishswimming.org/events-and-tickets/british-summer-championships-2020/](https://www.britishswimming.org/events-and-tickets/british-summer-championships-2020/) (Accessed: 24/09/2019).
Costa, A., Marques, M., Louro, H., Ferreira, S. and Marinho, D. (2013) ‘The relative age effect among elite youth competitive swimmers’, *European Journal of Sport Science*, 13(5), pp. 437–444.
Foster, C., Florhaug, J., Franklin, J., Gottschall, L., Hrovatin, L., Parker, S., Doleshal, P. and Dodge, C. (2001) ‘A new approach to monitoring exercise training’, *Journal of Strength & Conditioning Research*, 15(1) pp. 109-115.
Halson, S. (2014) ‘Monitoring training load to understand fatigue in athletes’, *Sports Medicine*, 44(2), pp. S139-S147.
Hart, S. and Staveland, L. (1988) ‘Development of NASA-TLX (task load index): results of empirical and theoretical research’, *Advances in Psychology*, 52, pp. 139-183.
Hellard, P., Scordia, C., Avalos, M., Mujika, I. and Pyne, D. (2017) ‘Modelling of optimal training load patterns during the 11 weeks preceding major competition in elite swimmers’, *Applied Physiology, Nutrition & Metabolism*, 42, pp. 1106-1117.
Lowensteyn, I., Signorile, J., Giltz, K. (1994) ‘The effect of varying body composition on swimming performance’, *Journal of Strength and Conditioning Research*, 8(3) pp. 149-154.
Matthews, A., Pyne, D., Saunders, P., Fallon, K. and Fricker, P. (2010) ‘A self-reported questionnaire for quantifying illness symptoms in elite athletes’, *Open Access Journal of Sports Medicine*, 1, pp. 15-22.
Mazzilli (2019) ‘Body height and swimming performance in 50 and 100 m freestyle Olympic and world championship swimming events: 1908 – 2016’, *Journal of Human Kinetics*, 66, pp. 205-213.
Mujika, I., Chatard, J., Busso, T., Geyssant, A., Barale, F. and Lacoste, L. (1995) ‘Effects of training on performance in competitive swimming’, *Canadian Journal of Applied Physiology*, 20(4), pp. 395-406.
Pallavi, L., D Souza, U. and Shivaprakash, G. (2017) ‘Assessment of musculoskeletal strength and levels of fatigue during different phases of the menstrual cycle in young adults’, *Journal of Clinical and Diagnostic Research*, 11(2), pp. CC11-CC13.
Pelayo, P., Delaporte, J., Gosse, N. Sidney, M. (2000) ‘Critical speed & critical stroke rate could be useful physiological and technical criteria for coaches to monitor endurance performance in competitive swimmers’, *ISBS Swimming 2000* [Online, Accessed: 09/10/2019]
Pyne, D., Anderson, M. and Hopkins, W. (2006) ‘Monitoring changes in lean mass of elite male and female swimmers’, *International Journal of Sports Physiology and Performance*, 1, pp. 14-26.
Pyne, D., McDonald, W., Gleeson, M., Flanagan, A., Clancy, R. and Fricker, P. (2000) ‘Mucosal immunity, respiratory illness, and competitive performance in elite swimmers’. *Medicine & Science in Sports & Exercise*, pp. 348-353.
Rushall, B. (1990) ‘A tool for measuring stress tolerance in elite athletes’, *Journal of Applied Sport Psychology*, 2(1), pp. 51-66.
Saw, A., Halson, S. and Mujika, I. (2018) ‘Monitoring athletes during training camps: observations and translatable strategies from elite road cyclists and swimmers’, *Sports*, 6(63).
Senefeld, J., Clayburn, A., Baker, S., Carter, R., Johnson, P. and Joyner, M. (2019) ‘Sex differences in youth elite swimming’, *PLoS ONE*, 14(11).
Scottish Swimming (2019) *Scottish Summer Meet 2020*. Available at: https://www.swimwales.org/events/swim-wales-summer-open (Accessed 24/09/2019).
Swim England (2019) *National Summer Meet Competitor Information*. Available at: https://www.swimming.org/sport/national-summer-meet-competitor-information/ (Accessed 24/09/2019)
Swim Wales (2019) *Swim Wales Summer Open*. Available at: https://www.swimwales.org/events/swim-wales-summer-open (Accessed: 24/09/2019).
Swimmingresults.org (2019a) *Qualifying Times Generator*. Available at: https://www.swimmingresults.org/qt/ (Accessed 12/11/2019).
Swimmingresults.org (2019b) *Event Rankings (Last 12 Months)*. Available at: https://www.swimmingresults.org/12months/ (Accessed 12/11/2019).
Wakayoshi, K., Yoshisa, T., Udo, M., Kasai, T., Moritani, T., Mutoh, Y. and Miyashita, M (1992a) ‘A simple method of determining critical speed as swimming fatigue threshold in competitive swimming’, *International Journal of Sports Medicine*, 13(5), pp.367-371.
Wakayoshi, K., Ikuta, K., Yoshida, T., Udo, M., Moritani, T., Mutoh, Y. and Miyashita, M. (1992b) ‘Determination and validity of critical velocity as an index of swimming performance in the competitive swimmer’, *European Journal of Applied Physiology*, 64, pp. 153-157.
Dear Yolanda,
Re: How do physiological determinants affect performance change between the national qualifying window and the national championships in sub-elite female youth swimmers?
I am delighted to confirm that SSES REAG has approved your research study (Prop 34_2019_20) and you are now permitted to recruit participants and commence your research.
If you need to amend any aspect of your research, please ensure you inform SSES REAG by completing a request for amendment form and submitting all revised paperwork (e.g. participant information sheet, questionnaires).
If there should happen to be any adverse event during your study, please also ensure SSES REAG is kept informed.
I hope your study is successful.
With kind regards,
Karen Hambly
(Chair SSES REAG)
|
Moving to Tarrytown, but, Running Out of Room: Town Halls of the Past Part II
By: Riley Wentzler & Felicia Barber
with research assistance from Ryan Stuzin
As previously stated in our last article Greenburgh Town Hall has not always been in its current location at 177 Hillside Ave. There have been many previous locations. This article picks up the story of Greenburgh Town Hall from 1916-1956.
Fulling Building (1916 - 1931)
Town Hall moved to the Fulling Building in 1916 (Dashwood 1916). This building takes its name from the developer who paid for its construction, George W. Fulling (Tarrytown Daily News Friday, August 6, 1915). The Fulling Building is located at 17-19 North Broadway Tarrytown. Town Hall remained in this building until 1931 (Hastings News, Friday July 31, 1931 p. 5), when it left because there wasn’t enough room for all of the offices. At that point it entered the Lyceum Building (Hastings News, Friday July 31, 1931 p. 5).
Lyceum Building (1931 - 1956)
Located at 1 Central Avenue Tarrytown, many businesses and organizations have called the Lyceum Building home, including Town Hall (Hastings News, Friday July 31, 1931 p. 5). The Lyceum Building was home to Town Hall starting in 1931, but it wasn’t quite a perfect home, for the same reason the Fulling Building had not been. Like its predecessor, it still didn’t have enough space for all of the town government. Two offices, The Building Inspector and the Department of Public Works, had to share one office in the second floor of a building on the corner of West Hartsdale and Central Avenue (Greenburgh Bicentennial Commission, 1998, p 61). This quest for greater space would eventually force five offices to move off the premises in 1956 (Hastings News, Thursday December 6, 1956 p.10). Therefore, the journey of the Town Hall continued.
We hope you have enjoyed this week’s article. Next week, Town Halls of the Past Part III, will cover 1956-1970.
Previous Slices of History include:
- Greenburgh’s BROTHERLY LOVE, RELIEF AND TRUTH: A History of The Freemasons in Greenburgh (9/12/18)
https://www.greenburghny.com/DocumentCenter/View/5658/BROTHERLY-LOVE-RELIEF-AND-TRUTH--in-Greenburgh
- Greenburgh and The Arts (9/22/18)
https://www.greenburghny.com/DocumentCenter/View/5665/Greenburgh-AND-The--ARTS
- A Final Resting Place for “Man’s Best Friend”: The Peaceable Kingdom (9/29/18)
https://www.greenburghny.com/DocumentCenter/View/5653/A-Final-Resting-Place--for-Mans-Best-Friend
- Greenburgh’s Hall of Heroes: Ferncliff Cemetery Where Memories Live Forever (10/12/18)
https://www.greenburghny.com/DocumentCenter/View/5667/Greenburgh-Hall-of-Heroes
- Greenburgh at The Great American Crossroads: Greenburgh's Civil War Story (10/19/18)
https://www.greenburghny.com/DocumentCenter/View/5666/Greenburgh-at-The-Great-American-Crossroad
- A Different Kind of Rebel: Greenburgh’s Contributions to the Underground Railroad (10/27/18)
https://www.greenburghny.com/DocumentCenter/View/5680/A-Different-Kind-of-of-Rebel--Greenburghs-contributions-to-The-Underground-Railroad
- "The Disappearing Railroad Blues" in Greenburgh: The Fate of the Putnam Railroad Line and the old Putnam Trail (11/6/18)
https://www.greenburghny.com/DocumentCenter/View/5675/The-Disappearing-Railroad-Blues-in-Greenburgh
- A Thousand Words Which You Never Knew: The Forgotten Story of the Seal of Greenburgh (11/17/18)
• How a Flat Tire led to a Happy Escape: The Story of Carvel in Greenburgh (12/11/18)
https://www.greenburghny.com/DocumentCenter/View/5670/How-a-Flat-Tire-led-to-a-Happy-Escape
• The Guardians of History: Greenburgh’s Historical Societies (1/6/19)
https://www.greenburghny.com/DocumentCenter/View/5676/The-Guardians-of--History
• A Small House, an Important Meeting, a Huge Victory: The Story of the Odell House (1/12/2019)
https://www.greenburghny.com/DocumentCenter/View/5654/A-Small-House--an-Important-Meeting--A-Huge-Victory
• The Intersection of Banking, Ballet, and School: Greenburgh’s Warburg Estate (Updated) (10/22/19)
https://greenburghny.com/DocumentCenter/View/6095/The-Intersection-of-Banking--Ballet--and-School-updated
• Lost History: The Tragedy of Malkasten (1/26/19)
https://www.greenburghny.com/DocumentCenter/View/5673/Lost-History--The-Tragedy-of-Malkasten
• A Beautiful View for the Perfect Event: The Belvedere Estate (2/9/19)
https://www.greenburghny.com/DocumentCenter/View/5652/A-Beautiful-View-for-The-Perfect-Event--Belvedere-Estate
• The Power of Wealth and Humility: A Reflection on Two Highly Influential African Americans (2/18/19)
https://www.greenburghny.com/DocumentCenter/View/5679/Wealth-and-Humility
- Greenburgh Under the Hollywood Lights: The TV shows and movies Filmed in Greenburgh Part I (2/23/19)
https://www.greenburghny.com/DocumentCenter/View/5668/Greenburgh-under-Hollywood-Lights-Part-I
- Oh, The Places Your Mail has Gone: A History of The Hartsdale Post Office (3/9/2019)
https://www.greenburghny.com/DocumentCenter/View/5674/Oh-The-Places-Your-Mail-has-Gone
- From Insurance to Symphonies: The Home of Charles Ives (3/16/19)
https://www.greenburghny.com/DocumentCenter/View/5664/From-Insurance-to-Symphonies--The-Home-of-Charles-Ives
- Greenburgh Under the Hollywood Lights: The TV shows and Movies Filmed in Greenburgh Part II (3/29/19)
https://www.greenburghny.com/DocumentCenter/View/5669/Greenburgh-Under-the-Hollywood-Lights-The-TV-shows-and-movies-Filmed-in-Greenburgh-Part-II
- From Chasing Rabbits to Setting Records: The Amazing Story of Larry James (4/7/2019)
https://www.greenburghny.com/DocumentCenter/View/5661/From-Chasing-Rabbits-to-Setting-Records
- From Fixing Cars to building Infrastructure: How Massaro Park Got its name (4/13/2019)
https://www.greenburghny.com/DocumentCenter/View/5663/From-Fixing-Cars-to-Building-Infrastructure-How--Massaro-Park-Got-Its-Name
- There is no church here, but “the brave men, living and dead, who struggled here, have consecrated” this ground: The Story of The Little White Church Cemetery (4/27/19)
https://www.greenburghny.com/DocumentCenter/View/5678/There-is-no-church-here-but-the-brave-men-living-and-dead-who-struggled-here-have-consecrated-this-ground
• Irvington in Chains and our Process A History of Slavery in Irvington and A look at how Slices of History are made (and our interview with historian Robert Marchant) (5/11/2019)
https://www.greenburghny.com/DocumentCenter/View/5671/Irvington-in-Chains
• From Farmland to Shopping District: The Rise of Central Avenue (5/25/2019)
https://www.greenburghny.com/DocumentCenter/View/5662/From-Farmland-to-Shopping-District-The-Rise-of-Central-Avenue
• Like a long lost friend”: The story of how summer recreation has evolved in Greenburgh (6/7/2019)
https://www.greenburghny.com/DocumentCenter/View/5672/like-a-long-lost-friend
• Abandon Ship!!! The Story of United Nuclear Corporation and their Short-lived Elmsford Facility (6/28/19)
https://www.greenburghny.com/DocumentCenter/View/5656/Abandon-Ship
• Beyond Heritage Versus Hate Toward Hope and Reconciliation: The story of Mount Hope Cemetery and its Confederate Monument (7/13/19)
https://www.greenburghny.com/DocumentCenter/View/5657/Beyond-Heritage-Versus-Hate-Toward-Hope-and-Reconciliation---The-story-of-Mount-Hope-Cemetery-and-its-Confederate-Monument
• Hidden History: The Story of Fairview Fairgrounds Part I (7/27/19)
https://www.greenburghny.com/DocumentCenter/View/5660/fairgrounds
• Entertainers for Justice (8/3/2019)
https://www.greenburghny.com/DocumentCenter/View/5659/Entertainers-for-Justice
• A Tale of Two Towns: Greenburgh, NY, and Muncy, PA (8/23/2019)
https://www.greenburghny.com/DocumentCenter/View/5655/A-Tale-of-Two-Towns--Greenburgh-NY-and-Muncy-PA
• When Greenburgh Went “East Bound and Down”: Greenburgh During Prohibition (10/6/2019)
https://greenburghny.com/DocumentCenter/View/5992/When-Greenburgh-Went-East-Bound-and-Down-Greenburgh-During-Prohibition
• From Mopping The Floor of One Institution to Managing Three at Once: The Amazing Story of Former Westchester County Commissioner of Public Welfare Ruth Taylor (12/12/19)
https://greenburghny.com/DocumentCenter/View/6272/From-Mopping-The-Floor-of--One-Institution-to-Managing-Three-at-Once
• Greenburgh Gets its “Sun Daze on” Under the Watchful Eyes of the Boys in Blue (1/9/2020)
https://greenburghny.com/DocumentCenter/View/6366/Greenburgh-Gets--its-Sun-Daze-on-Under-the-Watchful-Eyes-of-the-Boys-in-Blue
• Making Martin Luther King Jr’s Dream Come Alive the Success Story of the Parkway Homes/ Parkway Gardens Community:(1/18/2020)
https://greenburghny.com/DocumentCenter/View/6377/Making-Martin-Luther-King-Jrs-Dream-Come-Alive-the-Success-Story-of-the-Parkway-Homes-Parkway-Gardens-Community
• Formed By Adversity, Held Together by Faith: The History of the Parkway Homes/Parkway Gardens Community (2/27/2020)
https://greenburghny.com/DocumentCenter/View/6547/Formed--
• From an Apple Orchard to The Olympics: The Saint Andrew’s Golf Club (3/8/2020)
https://greenburghny.com/DocumentCenter/View/6591/From-an-Apple-Orchard-to-The-Olympics--The-Saint-Andrews-Golf-Club
• Ashes “Ashes, Ashes!!We all Fall Down”(3/23/2020)
https://greenburghny.com/DocumentCenter/View/6653/Ashes-Ashes-We-all-Fall-Down
• A Leading Medical Institution at The Border of Greenburgh: The Story of New York Medical College (4/4/2020)
https://greenburghny.com/DocumentCenter/View/6685/A-Leading-Medical-Institution-at-The-Border-of-Greenburgh
• When the Cure was Worse than the Disease: A Look back on When The Medical Profession Wasn’t so Reliable: (4/18/2020)
https://greenburghny.com/DocumentCenter/View/6728/When-The-Cure-was-Worse-than-the-Disease
• All Aboard!!! The Story of The Old Putnam Railroad In Greenburgh (5/31/2020)
https://greenburghny.com/DocumentCenter/View/6909/All-Aboard-The-Story--the-Old-Putnam-Railroad
• Juneteenth: A Day of Liberation (6/6/2020)
https://greenburghny.com/DocumentCenter/View/6920/Juneteenth--A-Day-of-Liberation
• The Jewel of Greenburgh: The Life of Charles Lewis Tiffany (7/25/2020)
https://greenburghny.com/DocumentCenter/View/7049/The-Jewel-of-Greenburgh---The-Life-of-Charles-Lewis-Tiffany
• Hastings’ Best and Brightest: Nobel Laureates of Hastings (8/1/2020)
https://greenburghny.com/DocumentCenter/View/7065/Hastings-Best-and--Brightest---Nobel-Laureates-of-Hastings
• Happy Hour Amid Civil Strife In Elmsford The Story of How the Brother Against Brother Nature of the American Revolution Led to the Cocktail. (8/8/2020)
https://www.greenburghny.com/DocumentCenter/View/7158/Happy-Hour-Amid-Civil-Strife-in-Elmsford
• A Woman Rebel In Hastings: The Life of Margaret Sanger (1879-1966) (10/7/2020)
https://www.greenburghny.com/DocumentCenter/View/7166/A-Woman-Rebel-In-Hastings-The-Life-of--Margret-Sanger
• Headless Horsemen, Long Naps, and Sunshine: Washington Irving and Sunnyside (10/17/2020)
https://www.greenburghny.com/DocumentCenter/View/7171/Headless-Horsemen-Long-Naps-and-Sunshine
• A General’s Residence in Greenburgh (10/21/2020) A-General’s-Residence-in-Greenburgh (greenburghny.com)
• The Ghost of Restaurants Past in Greenburgh Part I (12/12/20) The-Ghost-of-Restaurants--Past-in-Greenburgh-Part-I (greenburghny.com)
• A Truly Trailblazing Road: Historic Roads in Greenburgh Part I-The Bronx River Parkway (12/19/2020)
https://www.greenburghny.com/DocumentCenter/View/7292/A-Truly-Trailblazing-Road-Historic-Roads-In-Greenburgh-Part-I
• On The Road Again: Significant Roads In Greenburgh – Saw Mill River Parkway (1/2/2021)
https://www.greenburghny.com/DocumentCenter/View/7413/Saw-Mill-River-Parkway
• The Baby Brother of Parkways The Sprain Brook Parkway (1/9/2021) The-Baby-Brother-of-Parkways---The-Sprain-Brook (greenburghny.com)
• Tarrytown is Alive with The Sound Music: The Tarrytown Music Hall (1/30/2021)
https://www.greenburghny.com/DocumentCenter/View/7525/Tarrytown-is-Alive-with-The-Sound-of-Music-Tarrytown-Music-Hall
• The Black Contribution to The Thin Blue Line: Greenburgh’s First African - American Police Officers (2/6/2021) The-Black-Contribution-to-The-Thin-Blue-Line (greenburghny.com)
• African- Americans Nobly Serving Their Community At the Levers of Power: African-American Town Board Members Past & Present (3/1/2021) African--Americans-Nobly-Serving-Their-Community-At--the-Levers-of-Power (greenburghny.com)
• The Legacy and Influence of Alexander Hamilton In Greenburgh: The Life of His Great-Great Granddaughter - Mary Schuyler Hamilton (3/13/2021) https://www.greenburghny.com/DocumentCenter/View/7635/The-Life-of-Alexander-Hamiltons-Great-Great-Granddaughter---Mary-Schuyler-Hamilton
• Alcohol, The Irvings and the Hamiltons: The Sanctuary of Zion Episcopal Church(3/27/2021) Sanctuary-of-Zion-Episcopal-Church (greenburghny.com)
• From the Basement to Trailers and Beyond: The Story of June Castleberry and The Lois Bronz Children’s Center (4/3/2021) The-Story-of-June-Castleberry---and-The-Lois-Bronz-Childrens-Center (greenburghny.com)
• Rising from the Ashes: Greenburgh’s First Town Hall: Town Halls of the Past Part I (4/10/2021) Town-Halls-of-the-Past-Part-I (greenburghny.com)
About the Authors:
We are both Assistant Town Historians at Greenburgh Town Hall and we are engaged to be married and are currently looking for permanent employment.
**Riley Wentzler:**
I was born and raised in a small rural town in central Pennsylvania. In high school, I took every honors course available including four years of Spanish. I received A’s in all of them. I graduated third in my class of 146 students. This brought me to Edinboro University of Pennsylvania. Once there, I continued my trend of academic excellence. I graduated summa cum laude in Political Science with a minor in Spanish and a Master’s in Communication Studies, with a G.P.A of 3.94. It was also there that I met my lovely fiancée, Felicia Barber. My Master’s in Communication has promoted public speaking, teamwork, and customer service. My Political Science degree has developed my research skills using computer-based tools and provided me with experience using the Microsoft Office products. My minor in Spanish has facilitated my bilingual capabilities. During my internship at Greenburgh, I created the petition for the State Roads project using website tools. My diverse education and areas of interest have provided me with a wide range of skills. I look forward to finding a career opportunity in business or government. **To suggest a topic for next week’s article, you can contact me at email@example.com, or to help me find employment, you can contact me at firstname.lastname@example.org**
**Felicia Barber:**
I was born in New York City and raised in Hartsdale, New York. I graduated from Ardsley High School. I recently earned a Bachelor of Fine Arts degree in Graphic Design at Edinboro University of Pennsylvania. It was here that I met my fiancé, Riley Wentzler. As a result of my academic excellence, I won a scholarship every year. I learned and applied many graphic design skills to projects during my summer internships and at school. I am proficient in using Adobe graphic design applications including Photoshop, Illustrator and InDesign. For my Identity/branding course at Edinboro, I created logos to appear on the tee-shirts of Physical Education majors. For a veteran’s upcoming event, I used a typeface to focus the reader to the soldier in the poster. For the State Roads Legislative Campaign project, I created the embedded graphic-photo that accompanied the petition I am looking for a job to utilize my skills as a Graphic Designer in an agency, print shop, company or government **To suggest a topic for next week’s article, you can contact me at email@example.com. To learn more about my artwork or to help me find employment you can contact me at firstname.lastname@example.org.**
**Volunteer - Research Assistant - Ryan Stuzin:**
I was born and raised in Scarsdale, New York. I am a senior at Edgemont High School, where I am captain of the varsity ski and golf teams. I also cover the ski team for the Scarsdale Inquirer. I have been a volunteer junior ski patroller at Stratton Mountain in Vermont and founded the Red Cross Club at my high school. I will be attending Colgate University in the fall, with a plan to study political science and/or history and eventually go to law school. I participated in the Town of Greenburgh internship program last summer, which inspired me to learn more about our town and its government. That, coupled with my love of history, is what prompted me to reach out to Riley and Felicia to help them with their articles about the history of Greenburgh.
**Two Interviews with the authors:**
[https://riverjournalonline.com/around-town/a-love-of-history-and-each-other/13708/](https://riverjournalonline.com/around-town/a-love-of-history-and-each-other/13708/)
https://wcbs880.radio.com/articles/news/stories-main-street-couple-cerebral-palsy-brings-manytalents-town-greenburgh
References:
Dashwood, R. (1916, June 16). Notice to Contractors. *Dobbs Ferry Register*, p. 9
Greenburgh Bicentennial Commission. (1998). *Greenburgh: A Glimpse of Our Past*. Greenburgh, New York: Greenburgh Bicentennial Commission.
unknown. (1915, August 6). George W. Fulling and Town Board of Greenburg Come to and Work will be Started on Broadway Site. *Tarrytown Daily News*, p. Front.
Unknown. (1931, July 31). Town Hall Moves Offices into New Building. *Hastings News*, p. 5.
Unknown. (1956, December 6). Town Offices Leave Tarrytown. *Hastings News*, p. 10.
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Crystal growth and characterisation of \((\text{Dy}_x\text{La}_{1-x})_2\text{Ti}_2\text{O}_7\) crystals
R. Jacko\(^1\), M. Mihalik\(^{2*}\), M. Mihalik jr.\(^2\), M. Zentková\(^2\), P. Roupcová\(^{3,4}\)
\(^1\)USSE Research & Development, U. S. Steel Košice s.r.o., Slovak Republic
\(^2\)Institute of Experimental Physics, Slovak Academy of Sciences, Watsonova 47, Košice, Slovak Republic
\(^3\)Institute of Physics of Materials, ASCR, v. v. i., Brno, Czech Republic
\(^4\)Brno University of Technology, Central European Institute of Technology, Brno, Czech Republic
Received 3 September 2019, received in revised form 12 November 2019, accepted 11 December 2019
Abstract
\(\text{LaTiO}_{4.5}\) crystals were grown by optical floating zone technique in air, \(O_2\), or Ar. Crystal structure varies between orthorhombic \(Pna2_1\) (air, \(O_2\)) and monoclinic \(P2_1\) (Ar). Crystals are transparent (air, \(O_2\)) or opaque (Ar) with amber or black colour. Magnetisation resembles the properties of \(\text{LaTiO}_{3.5}\). \((\text{Dy}_x\text{La}_{1-x})_2\text{Ti}_2\text{O}_7\) crystals were grown in \(O_2\). The solubility of dopant (La or Dy) in the parent compound is limited. Two phases with \(Pna2_1\) and \(Fd3m\) structure coexist in the range from \(x = 0.32\) to 0.68. The \(a\)-axis of \(Pna2_1\) is intact by substitution of \(\text{La}^{3+}\) by \(\text{Dy}^{3+}\); both \(b\)- and \(c\)-axes decrease. The \(a\)-axis of \(Fd3m\) increases with substitution of \(\text{Dy}^{3+}\) by \(\text{La}^{3+}\) and the spin freezing temperature \(T_f\) shifts to a higher temperature. Either of the new magnetic phase (\(Pna2_1\) structure) or dynamical behaviour of spins in \(Fd3m\) phase exists below \(x = 0.68\) in the range between the transition to ‘spin ice’ state \(T_i\) and \(T_f\).
Key words: optical floating zone, single crystals, crystal structure, ferroelectrics, spin ice
1. Introduction
\(\text{LaTiO}_x\) compounds are structurally related to perovskites, and there are two known phases. The first, \(x = 3.50\), is a 2D layered-type ferroelectric. The second, \(x = 3.00\), is a weak ferromagnet with a 3D orthorhombic distorted perovskite structure. The physical properties of lanthanum titanium oxides strongly depend on the content of oxygen in the material [1, 2]. \(\text{LaTiO}_3\) is an antiferromagnetic Mott insulator with a pseudo-cubic perovskite crystal structure of \(\text{GdFeO}_3\) type (space group \(Pbnm\)) [3–5]. This structure arises from the ideal perovskite (space group \(Pm\bar{3}m\)) by tilting the \(\text{TiO}_6\) octahedron around a \([110]_c\) axis (subscript c denotes the notation with respect to the cubic perovskite lattice), followed by a rotation around the \(c\)-axis (or \([001]_c\) axis) [5]. The Néel temperature varies between \(T_N = 130\) and 146 K, depending on the exact oxygen stoichiometry [5–7]. Interestingly, a reduced total moment of about 0.45–0.57 \(\mu_B\) in the ordered state has been observed [5–7]. One could speculate that this suggests the presence of an orbital angular momentum that is antiparallel to the spin momentum [7, 8]. Recently, however, Keimer et al. [9] observed that the orbital momentum must be quenched. To explain the reduced moment, they proposed the presence of strong orbital fluctuations in the system. This seems to be supported by the theoretical study of Khaliullin and Maekawa [10], who suggested that \(\text{LaTiO}_3\) is in a completely novel state of matter – an orbital liquid state. \(\text{La}_2\text{Ti}_2\text{O}_7\) is a well-known high-temperature, ferroelectric compound (the Curie temperature \(T_C \approx 1500^\circ\text{C}\)), which exhibits a strong piezoelectric and electro-optic effect, has a high dielectric constant with a low-temperature coefficient and a low dielectric loss at microwave frequency, also possesses good photocatalytic activity [11–14]. \(\text{La}_2\text{Ti}_2\text{O}_7\) does not form the expected isometric pyrochlore structure-type, as is typical for many of the heavy rare earth and transition metal oxides, but rather forms a layered structure comprised of slabs of the ABO\(_3\) perovskite structure [11], which is monoclinic, \(P2_1\) at room temperature, the structure becomes orthorhombic, \(Cmc2_1\) at 780°C, and at 1500°C, it transforms into the paraelectric \(Cmcm\) phase. The room temperature crystal structure of \(\text{La}_2\text{Ti}_2\text{O}_7\) can be described in
some cases by the $Pna2_1$ orthorhombic crystal structure [15]. On the other hand, Dy$_2$Ti$_2$O$_7$ is identified as a spin-ice material with the pyrochlore structure that crystallises into a face centred cubic structure $Fd3m$ [16–20]. The dynamical freezing behaviour seen in Dy$_2$Ti$_2$O$_7$ differs from the critical slowing down observed in conventional disordered spin-glass materials. Another difference between the spin freezing in Dy$_2$Ti$_2$O$_7$ and that in conventional disordered spin glasses is the magnetic field dependence. Recently two ferroelectric transitions at $T_{C1} = 25$ K and $T_{C2} = 13$ K were observed in Dy$_2$Ti$_2$O$_7$ [17]. Remarkable magnetoelectric coupling was identified below the lower transition temperature, with significant suppression of the electric polarisation on an applied magnetic field.
In our paper, we focus on crystal growth, characterisation and magnetic properties of (Dy$_x$La$_{1-x}$)$_2$Ti$_2$O$_7$ system at low temperature, which may combine ferroelectric properties of La$_2$Ti$_2$O$_7$ with magnetic structure and ferroelectricity in Dy$_2$Ti$_2$O$_7$. In the first step, we studied the effect of crystal growth condition and oxygen content on the crystal structure of LaTiO$_x$ and in the second step, we investigated the change from pyrochlore crystal structure to orthorhombic distorted perovskite structure with substitution of La for Dy in (Dy$_x$La$_{1-x}$)$_2$Ti$_2$O$_7$ system.
## 2. Experimental details
(Dy$_x$La$_{1-x}$)$_2$Ti$_2$O$_7$ crystals were grown by the optical four mirror floating zone furnace model FZ-T-4000 (Crystal Systems INC). The grown crystals were characterised by scanning electron microscope (SEM) methods, including the energy-dispersive X-ray (EDX) microanalysis on the microscope TESCAN VEGA-3LMU equipped with EDX spectrometer BRUKER X-Flash 410M. SEM study confirmed the expected chemical composition and did not reveal any parasitic inclusions. The quality check and the alignment of the grown single crystals were performed by Real-time Laue Single Crystal Orientation Tool (Photonic Science). The X-ray powder diffraction (XRPD) study was performed on powdered samples by the Rigaku Ultima IV diffractometer XRPD technique using CuK$_{\alpha1,\alpha2}$ doublet radiation and by the X’Pert (PanAnalytical) diffractometer using Co K$_{\alpha1,\alpha2}$ radiation with a help of qualitative analysis provided by HighScore® software and the JCPDS PDF-4 database [21]. For a quantitative analysis HighScore plus® with Rietveld structural models based on the ICSD database and Crystallography Open Database (COD) were applied. Powder data were treated using the Rietveld method implemented in FullProf software [22]. Prepared samples were also analysed by magnetisation and AC susceptibility measurements, which were realised by MPMS SQUID magnetometer from Quantum Design.
## 3. Sample preparation and crystal growth
Floating zone technique with optical radiation heating was assigned to crystal growth of large single crystals of La-Ti-O, which crystallise as twinned (single) crystals with chemical formula LaTiO$_3$ and also LaTiO$_{3.5}$ (La$_2$Ti$_2$O$_7$) based on thermal treatment and preparation of starting material and type and condition of atmosphere used during crystal growth as type and pressure [23–26]. Starting materials for LaTiO$_x$ crystal growth can be different – the combination of La$_2$O$_3 + \text{TiO}_2 + \text{TiO}$ [1, 5], La$_2$O$_3 + \text{TiO}_2 + \text{Ti}$ [1], Ti + $\text{TiO}_2 + \text{La}$ [3], La$_2$O$_3 + \text{Ti}_2\text{O}_3$ or La$_2$O$_3 + \text{TiO}_2 + \text{Ti}_2\text{O}_3$ [23–26] materials can be used. The value of number $x$ can be tuned mainly by proper combination of starting materials, and less effect is attributed to a simple reduction process by melting under the argon-hydrogen atmosphere (ratio 96:4) [1]. As was reported [23, 24], the best purity of final composition LaTiO$_3$ can be achieved by using La$_2$O$_3$ and Ti$_2$O$_3$ as starting materials, and we used this combination in our work, too. In this case, Ti$^{3+}$ ion is present and we tried to prevent this oxidation number by preparation of starting materials and crystal growth under the Ar atmosphere and we studied the change of oxygen in the sample by manufacturing starting materials under air conditions and crystal growth process in air or oxygen. In all cases, we used a small overpressure of gas (about 0.1 MPa) and continuous gas flow.
Typical sample preparation of starting material we demonstrate for 15 g mass of LaTiO$_3$. We used high purity oxides of Ti$_2$O$_3$ (99.9 %, supplier: Sigma Aldrich, 4.6 g) and La$_2$O$_3$ (99.9 %, supplier: Sigma Aldrich, 10.4 g). The starting materials were mixed in a stoichiometric ratio in an agate mortar for at least 30 min to obtain a homogeneous powder. In the next step, the seed rod and feed rod were manufactured. The regular shape of both rods affects the stability of the melting zone, and that is why the preparation of feed rod is an essential and crucial part of crystal growth. The process of manual filling of a balloon with powder is time-consuming and tedious. During manual filling and pressing, geometrical imperfections and fluctuations in the density of pressed powder are usually introduced to feed or seed rods. Some of these imperfections can be eliminated by applying high isostatic pressure. For repeating crystal growth even with applying different growth conditions, feed rods should be the same (not only from the material side but also from the geometrical side). To minimise the geometric factor in the crystal growth process, we developed a device for the filling of balloons, which is shown in Fig. 1. We used latex one-end closed tubes (balloons) as containers for powder and the device shown in Fig. 1 to fill balloons with powder. Latex balloon is inserted to filler device by its closed end to split protective tube in suitable depth and loose end is pulled through a tube lip ring. The device is connected to a source of the vacuum by negative pressure inside of the device balloon which expands until it reaches the inner surface of the protective tube. Step by step small amount of the powder is added to the balloon and is subsequently compressed by a glass rod. This procedure is repeated many times to fill the balloon. In the next step isostatic pressure of above 200 MPa was used to produce rods with a hydraulic press into bars with a typical length of 6 to 7 cm (feed rod) and 3 cm (seed rod, both rods are shown in Fig. 2).
The balloons filled with powder were isostatically compressed into rods which were sintered in a vertical position in the air at a temperature $T = 1100^\circ$C from 30 to 109 h in the commercial muffle furnace CMF1100 (MTI corporation). The scheme of a typical sintering temperature layout is shown in Fig. 2. Sintering in vertical position can reduce some geometrical faults of feed rod, for example, banana shape (bent rod). During the sintering of pressed rod in a vertical position, a small extension of rod occurred, which led to the generation of pores or even surface cracks. Sintering of rods under Ar atmosphere we realised at 1350$^\circ$C in a horizontal position by GSL-1600 (MTI) furnace. Sintering procedure follows the solid-state reaction preparation route and the starting rods have already partially re-crystallised after heat treatment. Feed and seed rods surface become chalky after sintering (Fig. 2).
The width and length of the melting zone and condition on interface solid-liquid must be carefully watched, and only small correction of the lamp’s power can be applied at this part of crystal growth. The porosity of the starting material affected the stability of the molten zone and the gas bubble appeared in the melt zone. Small bubbles often merged and formed big bubbles, which were trapped in the melting zone and burst after some time and besides, the melt zone penetrated feed rod. On a series of screenshots taken during crystal growth in Fig. 3, the process of generating and merging bubbles is shown. Merging of bubbles is very dangerous for the stability of the melting
zone and in several cases resulted in the interruption of the crystal growth process. The crystals’ growth speed was individually set up from 5 to 8 mm per hour. The optimal crystal growth conditions for LaTiO$_x$ crystals are pulling speed of about 6 mm per hour and counter-rotation of both seed and feed rods 15 rpm. A list of prepared crystals and conditions applied during crystal growth can be found in Table 1, and crystals photos are shown in Fig. 4. The colour of the crystals changes depending on the content of oxygen in the crystal from dark amber transparent colour for grown in O$_2$, to light amber transparent colour for air and to opaque metallic shiny dark blue to black colour for Ar.
The Laue diffraction technique confirmed the single crystalline character of LaTiO$_x$. For example, the crystal No. 5 was grown as bi-crystal, separation (parting) surface is highlighted by a red arrow. Trial to orientate the crystal No. 5 was performed, which is shown in Fig. 5. Laue patterns from the lower part of a crystal No. 5 show relatively thin and sharp reflections. Those reflections are indicating the single crystalline character of the sample.
Single crystals of R$_2$Ti$_2$O$_7$ (R = Y, Gd, Tb, Dy, Ho, Er, Yb, and Lu) have been grown by the floating-zone technique in an image furnace [27–30] or by Czochralski method in iridium crucible with radio fre-
Fig. 3. Screenshots show the formation of large bubbles in the melting zone (red colour). In the background, we see the image of the hot wire of the halogen lamp (white), in the central part is seed rod ((a) – upper part), melting zone ((b) – middle), and grown crystal ((c) – bottom).
Fig. 4. Photos of the LaTiO$_x$ grown single crystals – crystal growth parameters are presented in Tab. 1.
Table 1. Summary of crystal growth parameters for grown LaTiO$_{3+\delta}$ crystals
| Crystal | Crystal growth conditions | Size diameter/length (mm) |
|---------|---------------------------|--------------------------|
| | Growth rate (mm h$^{-1}$) | Rotation rate (rpm) | Atm. | Lamp power | |
| No. 1 | 5 | 15 | O$_2$ | 63.9–65.8 | 4/30 |
| No. 2 | 6 | 15 | Air | 64–64.8 | 4/30 |
| No. 3 | 8 | 15 | Air | 63.5–67.5 (70.3) | 4/35 |
| No. 4 | 5 | 15 | Air | 64.5–65.8 | 4/45 |
| No. 5 | 6 | 15 | Ar | 63–64.5 | 4/40 |
Fig. 5. The photos show (a) part of LaTiO$_x$ crystal No. 5, which was grown in Ar atmosphere, placed on a goniometer – the red arrow points to the easy cleave plane = the boundary between two single crystals; (b) the corresponding Laue pattern.
Fig. 6. Examples of single-phase (La$_{1-x}$Dy$_x$)$_2$Ti$_2$O$_7$ crystals.
The amount of oxygen in the crystal affects the colour from black and opaque to dark amber semi-transparent and light yellow very well transparent [29]. In our case (Dy$_x$La$_{1-x}$)$_2$Ti$_2$O$_7$ crystals where $x = 0.00$, 0.15, 0.32, 0.50, 0.68, 0.85, 1.00 were grown from starting materials La$_2$O$_3$, Dy$_2$O$_3$, and TiO under the flow of O$_2$ with small overpressure of about 0.1 MPa using the pulling rate of 5 mm h$^{-1}$ with counter-rotation of both shafts 15 rpm. The seed rods and feed rods were prepared by sintering in the air at 1100°C. The examples of typical (Dy$_x$La$_{1-x}$)$_2$Ti$_2$O$_7$ crystals are shown in Fig. 6. We prepared the crystals from 30 to 40 mm long with a diameter between 3 and 5 mm with a very regular shape (Fig. 6a). Most of the crystals developed facets (Figs. 6b,c) as they grew, and all of them were transparent to light with amber colour.
4. Crystal structure
XRPD measurements performed on powdered samples revealed that all LaTiO$_x$ samples are sinFig. 7. Possible crystal structure of LaTiO$_x$ crystal grown in O$_2$: (a) XRPD pattern, which was analysed by monoclinic model of the crystal structure space group $P2_1$, (b) the model of monoclinic structure made by program Diamond 3.0, (c) the XRPD pattern analysed by orthorhombic model of the crystal structure space group $Pna2_1$, (d) the model of orthorhombic structure.
Table 2. The crystal structure of LaTiO$_{3+\delta}$ crystals grown in the different atmosphere was determined within two possible crystal structure models. The more probable crystal structure is marked by bold characters
| atmosphere | structure | $a$ (Å) | $b$ (Å) | $c$ (Å) | $V$ (Å$^3$) | $\beta$ |
|------------|-----------|---------|---------|---------|-------------|--------|
| air | $P121_1$ | 7.8246 | 5.5451 | 13.0215 | 558.4581 | 98.716°|
| air | $Pna2_1$ | **25.7399** | **7.8118** | **5.5488** | **1115.745** | **90.00°** |
| O$_2$ | $P121_1$ | 7.8130 | 5.5490 | 13.0205 | 558.1021 | 98.633 |
| O$_2$ | $Pna2_1$ | **25.7462** | **7.8126** | **5.5498** | **1116.3142** | **90.00°** |
| Ar | $P121_1$ | **7.8118** | **5.5491** | **13.0182** | **557.9282** | **98.629** |
| Ar | $Pna2_1$ | 25.7423 | 7.8121 | 5.5487 | 1115.976 | 90.00° |
Single phase with no observed differences between the start and the end of any crystal. The analysis of the XRPD data leads to two possible structures, monoclinic $P2_1$ and orthorhombic $Pna2_1$, as it is demonstrated in Fig. 7 for LaTiO$_{3.5} = \text{La}_2\text{Ti}_2\text{O}_7$ grown in O$_2$, where the same XRPD data were analysed by two different models $P2_1$ (Fig. 7a) and $Pna2_1$ (Fig. 7c) and the relevant crystal structures are presented in Figs. 7b,d. Polyhedrons with Ti atoms in the central position and oxygen atoms in vertices are basic building blocks of the crystal structure in both cases. Tetrahedrons are typical for $P2_1$ (Fig. 7b) and octahedrons, which are typical for 3D orthorhombic distorted perovskite structure, for $Pna2_1$ (Fig. 7d). Both crystal structures are members of the perovskite-related $n$-layered crystal structures $A_nB_{10}O_{3n+2}$ ($n$ is a number of layers) [2]. La$_2$Ti$_2$O$_7$ (La$_4$Ti$_4$O$_{14}$) crystal structure is 4-type layered with typical slabs that are perpendicular to the longest crystal axis ($c$-axis or $a$-axis). An easy cleaved plane is perpendicular to the longest axis of the crystal lattice and is the consequence of the layered structure (see Fig. 4, crystal No. 3). The comparison of $I_{\text{obs}} - I_{\text{cal}}$ from Fig. 7a and Fig. 7c indicates that $Pna2_1$ model of crystal structure fits better with our experimental data. The characteristic crystal parameters for LaTiO$_x$ crystals are summarised in Tab. 2 and Tab. 3. The $Pna2_1$ orthorhombic model of crystal structure describes a better crystal structure of crystals prepared in air and O$_2$; on the other hand, the monoclinic $P2_1$ crystal structure suits better for crystals prepared in Ar. The monoclinic $P2_1$ structure was approved in a larger number of papers [11–14] than the $Pna2_1$ orthorhombic crystal structure [15]. Our results indicate that the boundary between these two-layered crystal structures is narrow. The expected crystal structure of crystals prepared from La$_2$O$_3$ and
Table 3. Quality of determining crystal structure was tested within conventional Rietveld parameters $R_p$, $R_{wp}$, $R_e$, $Chi_2$, Bragg $R$-factor $R_{Bragg}$ and $R_f$-factor. The more probable crystal structure is marked by bold characters
| atmosphere | structure | $R_p$ | $R_{wp}$ | $R_e$ | $Chi_2$ | $R_{Bragg}$ | $R_f$ |
|------------|-------------|-------|----------|-------|---------|-------------|------|
| air | $P121_1$ | 59.0 | 59.7 | 8.67 | 47.51 | 52.1 | 35.1 |
| air | $Pna2_1$ | **38.3** | **39.2** | **8.85** | **19.66** | **29.1** | **21.3** |
| O$_2$ | $P121_1$ | 28.3 | 28.7 | 2.82 | 103.9 | 25.2 | 21.4 |
| O$_2$ | $Pna2_1$ | **24.8** | **22.9** | **2.97** | **59.61** | **20** | **19.9** |
| Ar | $P121_1$ | **40.6** | **38.9** | **13.8** | **7.979** | **30.9** | **15.9** |
| Ar | $Pna2_1$ | 45.6 | 52.6 | 13.9 | 14.27 | 35.2 | 18.0 |
Fig. 8. Crystal structure of $(\text{La}_{1-x}\text{Dy}_x)_2\text{Ti}_2\text{O}_7$: (a) XRPD pattern of $\text{Dy}_2\text{Ti}_2\text{O}_7$ – cubic structure space group $Fd\cdot3m$, (b) model of the cubic, (c) the XRPD pattern of $\text{La}_{1.33}\text{Dy}_{0.66}\text{Ti}_2\text{O}_7$ – cubic structure space group $Fd\cdot3m$ and orthorhombic crystal structure space group $Pna2_1$, and (d) the effect of Dy substitution with La.
$\text{Ti}_2\text{O}_3$ starting materials in the Ar atmosphere was orthorhombic $Pbnm$ with chemical composition $\text{LaTiO}_3$. Our study based on XRPD measurements revealed that the crystal structure is monoclinic $P2_1$ and despite the fact that the colour of the crystals is the same as for $\text{LaTiO}_{3+\delta}$ [26], our results suggest higher oxygen content. In order to verify this suggestion, we performed the study of magnetic properties which is part of this paper.
XRPD measurements of powdered samples $(\text{Dy}_x\text{La}_{1-x})_2\text{Ti}_2\text{O}_7$ confirmed the expected crystal structure of parent compounds $\text{La}_2\text{Ti}_2\text{O}_7$ and $\text{Dy}_2\text{Ti}_2\text{O}_7$ (Fig. 8a). The model of the pyrochlore crystal structure $Fd\cdot3m$ of $(\text{Dy}_x\text{La}_{1-x})_2\text{Ti}_2\text{O}_7$ is shown in Fig. 8b with TiO$_6$ octahedrons. Our results indicate that the solubility of dopant (La or Dy) in the parent compound is limited, two phases with different crystal structure $Pna2_1$ and $Fd\cdot3m$ coexist in the range between $x = 0.32$ and 0.68 (Figs. 8c,d) and only samples for $x = 0.00$, 0.15, 0.85, 1 are single-phase materials (Fig. 8d). The longest $a$-axis of the orthorhombic structure is intact by substitution of $\text{La}^{3+}$ by $\text{Dy}^{3+}$ and both $b$- and $c$-axes decrease with substitution indicating the dominant effect on slabs of the layered structure. Lattice parameter of the cubic structure increases with substitution of $\text{Dy}^{3+}$ ion by $\text{La}^{3+}$ ion with larger ionic radius from 10.149Å to 10.148Å, 10.166Å, 10.166Å, 10.181Å for $x = 1.00$, 0.85, 0.68, 0.5, and 0.32 (Fig. 9d).
5. Magnetic properties
The temperature dependence of magnetisation (Fig. 10a) and hysteresis loop (Fig. 10b) indicate that $\text{La}_2\text{Ti}_2\text{O}_7$ is diamagnetic material which may contain traces of magnetic impurities with magnetic phase transitions at 56 and 10 K of ferrimagnetic ordering.
corresponding to small upturns in $\mu(T)$ (Fig. 10a). These impurities are not identical with Mott isolator LaTiO$_3$ with the Néel temperature $T_N = 146$ K [5]. Another conclusion can be made from the hysteresis loop shown in the inset of Fig. 10b, which provides evidence that weak ferromagnetic ordering is natural for La$_2$Ti$_2$O$_7$. Recently room temperature magnetisation measurements revealed ferromagnetic and ferroelectric behaviour for transition metals doped La$_2$Ti$_2$O$_7$ including the parent compound, too [34, 35], which proposes multiferroic character of this system. Our results correspond with already published magnetisation measurements, and the comparison of the curvature and the shape of magnetisation dependence $\mu(T)$ obtained on the sample with oxygen content $x = 3.41$ [2] with our measurements points to the fact that the content of oxygen in the crystal prepared in Ar atmosphere is even higher than $x = 3.41$ and supports our XRPD measurements which despite the dark colour of the crystals revealed different crystal structure than LaTiO$_3$ crystal has.
The typical $\mu(T)$ dependences of (Dy$_x$La$_{1-x}$)$_2$Ti$_2$-O$_7$ do not show any signs of magnetic phase transition (Fig. 11a). Three temperature ranges with different slope of $1/\chi(T)$ is the characteristic feature for the inverse susceptibility of Dy$_2$Ti$_2$O$_7$: high-temperature range from 360 to 200 K yielding the Curie Weis temperature $\theta = -44.4$ K, range from 190 to 40 K with $\theta = -7.7$ K and finally from 20 to 2 K with $\theta \approx 0.5$ K indicating reduction of antiferromagnetic correlations and evolution of small ferromagnetic correlations which have been already observed in vicinity of transition to ‘spin ice’ ground state at $T_I$ [16]. Two of these ranges are shown in Fig. 11b. The change of the slope corresponds very well with the next highest excited state, which is expected to be around 200 K (Fig. 11a). Substitution of Dy$^{3+}$ with nonmagnetic La$^{3+}$ reduces the transition between high and low temperature regions from 150 to 50 K and antiferromagnetic correlation
from $\theta = -40.8 \text{ K}$ to $\theta = -7.3 \text{ K}$ for $x$ from 0.85 to 0.32, respectively. The small ferromagnetic correlations for the sample with $x = 0.85$ are suppressed and $\theta \approx 0.2 \text{ K}$.
Two distinct strongly frequency and magnetic field dependent maxima, which are present in both in-phase component $\chi'$ and out-of-phase component $\chi''$ of AC susceptibility, are a characteristic feature of Dy$_2$Ti$_2$O$_7$ (Figs. 12a,b). Their different frequency dependences suggest the existence of two different types of dynamical behaviour. One of $T_i$, observed below 2 K, is related to a highly degenerated ground state – ‘spin ice’ state and another to spin freezing at higher temperatures below $T_f \approx 10$ K [17–19]. The dynamical freezing behaviour seen in Dy$_2$Ti$_2$O$_7$ differs from the critical slowing down observed in conventional disordered spin-glass materials. In spin glasses, $T_f$ decreases with increasing magnetic field strength, while in Dy$_2$Ti$_2$O$_7$, the opposite tendency is seen for applied magnetic fields. Our results of AC susceptibility measurements with respect to an applied DC magnetic field, frequencies of driving field and chemical composition, which are summarised in Fig. 12, confirm these basic features. The effect of the different magnetic field we demonstrate in Figs. 12a, 2b. Both maxima at $T_i$ and $T_f$ are very well visible in AC susceptibility for the magnetic field 0.5 T (Fig. 12a). The enlargement of the field to 1T shifts the maximum at $T_f$ to a higher temperature and makes the maximum bigger (Fig. 12b). Our measurements indicate that strong frequency dependence of Dy$_2$Ti$_2$O$_7$ remains maintained on doped samples (Fig. 12a). Figures 12c,d summarise the effect of La substitution. The maximum at $T_f$ shifts to higher temperature with La substitution (Figs. 12c,d) and a new anomaly at $T_a$ marked by red arrow develops (Fig. 12d). The shift of $T_f$ is evident, and the anomaly at $T_a$ provides an indication of a new magnetic phase with $Pna2_1$ crystal structure or we see new dynamical behaviour in $Fd\bar{3}m$ phase below $x = 0.68$. Our AC results indicate enhanced dynamical behaviour which was already supposed for Dy$_2$(Ti$_{1-x}$Fe$_{1-x}$)$_2$Ti$_2$O$_7$ material [33]. The reduction of the maxima in AC susceptibility can be attributed to the reduction of the cubic phase in the sample which may indicate that the feature known from the spin ice system is still strong and new dynamical behaviour develops. The $T_i$ is not affected by substitution very much for the low concentration of dopant. The increase of the volume of the primary cell with La substitution is larger for a small concentration of dopant actually in the range of good solubility of La in Dy$_2$Ti$_2$O$_7$ and that is why the stronger effect on magnetic processes was observed for this concentration range.
6. Summary
In our paper, we focus on crystal growth and characterisation of (Dy$_x$La$_{1-x}$)$_2$Ti$_2$O$_7$ crystals which were grown by optical floating zone technique in different crystal growth conditions. The optimal pulling speed is about 6 mm per hour and counter-rotation of 15 rpm for both seed and feed rods for LaTi$_x$O$_x$ crystals which were prepared in air, O$_2$, or Ar atmosphere. In all cases, the final composition is close to LaTiO$_{3.5}$. The crystal structure varies between orthorhombic $Pna2_1$ (air, O$_2$) and monoclinic $P2_1$ (Ar). The colour of the crystals changes depending on the content of oxygen in the crystal from dark amber transparent colour for grown in O$_2$, to light amber transparent colour for air and to almost opaque metallic shiny dark blue to black colour for Ar. Our study of LaTi$_x$O$_x$ underlines the dominant effect of crystal growth conditions, especially gas surrounding the crystal structure, which may change the oxidation state of Ti even in the inert Ar atmosphere. Magnetic measurements confirmed properties which are expected for La$_2$Ti$_2$O$_7$ ferroelectric material and indicate very weak ferromagnetic properties for all samples. The study of (Dy$_x$La$_{1-x}$)$_2$Ti$_2$O$_7$ system was the first one dealing with possible solubility of dopant in this type of parent compounds and was performed on crystals grown in O$_2$ atmosphere with pulling speed 5 mm per hour and counter-rotation of 15 rpm for both seed and feed rods. Prepared crystals were from 30 to 40 mm long with a diameter between 3 and 5 mm, sometimes with very regular shape. Most of the crystals developed facets as they grew, and all of them were transparent to light with amber colour. The solubility of dopant (La or Dy) in the parent compound is limited, two phases with different crystal structure $Pna2_1$ and $Fd\bar{3}m$ coexist in the range between $x = 0.32$ and 0.68 and only samples for $x = 0.00$, 0.15, 0.85, and 1 are single phase. The longest $a$-axis of the orthorhombic structure is not intact by substitution of La by Dy and both $b$- and $c$-axes decrease with substitution. The lattice parameter of the cubic structure increases with the substitution of Dy$^{3+}$ ion by La$^{3+}$ ion with a larger ionic radius. The AC susceptibility measurements revealed that spin freezing temperature $T_f$ shifts to higher temperature with La substitution and new anomaly at $T_a$ marked develops providing evidence either of new magnetic phase with $Pna2_1$ crystal structure or creation of new dynamical behaviour of spins in $Fd\bar{3}m$ phase below $x = 0.68$ in the range between $T_i$ and $T_f$. The transition to ‘spin ice’ ground state at $T_i$ is not affected by substitution very much for the low concentration of La dopant. The frequency and magnetic field dependences of samples with pyrochlore structure resemble features typical for the Dy$_2$Ti$_2$O$_7$ spin frustrated system. The substitution of Dy by La opens a new possibility of tuning interesting magnetic properties of Dy$_2$Ti$_2$O$_7$ and can be used to study for a better understanding of multiferroic properties in this system.
Acknowledgements
This work was realized within the frame of the projects VEGA 2/0137/19 and “PROMATECH” ITMS: 26220220186.
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|
MHD Equilibrium Study of Noncircular Tokamak Reactor Plasmas
T.F. Yang and R.W. Conn
November 1975
UWFDM-152
FUSION TECHNOLOGY INSTITUTE
UNIVERSITY OF WISCONSIN
MADISON WISCONSIN
MHD Equilibrium Study of Noncircular Tokamak Reactor Plasmas
T.F. Yang and R.W. Conn
Fusion Technology Institute
University of Wisconsin
1500 Engineering Drive
Madison, WI 53706
http://fti.neep.wisc.edu
November 1975
UWFDM-152
Computational Study of MHD Equilibrium of Noncircular Tokamak Reactor Plasmas
by
Ted F. Yang
Robert W. Conn
November 1975
Nuclear Engineering Department
University of Wisconsin
Madison, Wisconsin 53706
Abstract
The MHD equilibrium and stability of noncircular tokamak plasmas limited by a separatrix is studied for two specific systems, a relatively small plasma with a current of 2.5 MA and a larger reactor size plasma with a current of 15.8 MA. The vertical field is produced by discrete external coils and no conducting shell is included. For the larger plasma, a stable equilibrium is found for a vertically elongated plasma with two stagnation points symmetrically located above and below the midplane as would be required for a system with a poloidal divertor. The plasma height to width ratio is 2, the plasma shape factor is 1.6 and the poloidal $\beta$ is 1.2. The flux surfaces have triangular deformation which results from the need to maintain good curvature for the vacuum vertical field. The stability criteria relating to rigid motions, localized interchange modes, and kink modes are examined and found to be satisfied. An equilibrium shape for the smaller plasma is also found even for $\beta_0 \sim 3.5$ (the aspect ratio is 5.6) and the stability criteria for localized modes are satisfied. However, the vacuum vertical field has the wrong curvature so that the system would require feedback for stabilization. The incorrect curvature of the vertical field is related to the engineering constraint that the coils cannot be placed arbitrarily close to the plasma which will especially be the case in reactor systems. Such coils are therefore not highly effective in controlling the plasma shape. Also discussed are the importance of such engineering constraints and the scaling of the two examples to different size tokamaks.
1. Introduction
Noncircular cross section tokamaks offer the potential for achieving higher values of total $\beta$, the ratio of particle to magnetic pressure, than circular plasmas with similar values of poloidal beta, $\beta_0$, and stability factor, $q$. The scaling is
$$\beta = \beta_p \left( \frac{S}{qA} \right)^2$$ \hspace{1cm} (I-1)
where $A$ is the aspect ratio and $S$ is the perimeter of the noncircular cross section divided by the perimeter of the largest inscribed circle. From an economics viewpoint this could translate into a reactor systems of lower cost because lower toroidal magnetic fields would be required. Furthermore, noncircular cross section plasmas more optimally fill the available volume within a set of toroidal field coils designed with a constant tension, or "D" shape. These advantages, however, will accrue only if plasma equilibrium and stability can be achieved at $q$ values comparable to those in circular plasmas and this remains an important open question.
Additional difficulties are created by the potential needs of tokamak reactor systems. The use of a magnetic divertor for impurity control makes it necessary to find a stable equilibrium with null points on the plasma boundary. Also, discrete external coils rather than a conducting shell will be required and the location of these coils will be partially constrained by the need to place a 1 to 2 m thick blanket and shield region between the plasma and the coils. Thus, the external coils cannot be located arbitrarily close to the plasma chamber.
We study here the MHD equilibrium and stability of noncircular tokamak plasmas that are limited by a separatrix. The vertical field is produced by discrete external coils and no conducting shell is included. Two specific examples are used in the analysis, a relatively small noncircular plasma with a current of 2.5 MA suitable for two component tokamak operation\(^{(3,4)}\) and a larger, reactor size system, UWMK-III,\(^{(5)}\) with a plasma current of 15.8MA.
II. **MHD Equilibrium and Stability Theory**
A. **General Considerations**
Future tokamaks and particularly tokamak power reactors will require discrete external coils rather than a conducting shell to keep the plasma in equilibrium. The required vacuum vertical field generated by such coils can be estimated in many ways. For example, a virtual shell can be placed around the plasma and, at equilibrium, one can replace the resulting image currents by a set of discrete coils.\(^{(6)}\) One then iterates on this procedure until a new equilibrium configuration is determined using only discrete coils. Alternatively, one can estimate the required vacuum field strength on the midplane by using the formula\(^{(7,8)}\) for circular tokamaks,
\[ B_\perp = \frac{\mu_0 I_\phi}{4 R} \left( \ln \left( \frac{8R}{a} \right) + \frac{1i}{2} + \beta_\theta - \frac{3}{2} \right) \]
where
\[ 1i = \frac{1}{\pi a^2 B_\theta^2(a)} \int_0^a B_\theta^2(r) \cdot 2\pi r dr \]
The currents and locations of the external coils must then be adjusted until an equilibrium is found which satisfies additional constraints placed on the size and shape of the plasma and the decay index of the vacuum field. We find this second method more convenient to use in connection with studies on systems that include a poloidal divertor.
The equilibrium vertical field required for a noncircular, elliptical plasma of small eccentricity and uniform current density is (9)
\[ B_\perp = \frac{\mu_0 I}{4\pi R_o} \left\{ \ln \frac{8R_o}{a} + \bar{\beta}_\theta - \frac{5}{4} - \frac{R-R_o}{R_o} \left[ \frac{3}{4} \ln \frac{8R_o}{a} - \frac{17}{16} + \frac{R_o^2}{a^2} (1- \frac{b}{a}) \right] \right\} \quad (1) \]
where \( R_o \) is the major radius, \( 2a \) is the plasma width, \( 2b \) is the plasma height and the average poloidal beta is defined as
\[ \bar{\beta}_\theta = \frac{\langle p \rangle}{B_\theta^2} \left( \frac{2\mu_0}{I_p} \right) \quad (2) \]
The shift of the magnetic axis from the geometrical center is an important quantity and, in the large \( A \) limit, is approximately given by
\[ \Delta_m = \frac{4\pi a^2}{2\mu_0 I_p} B_\perp \quad (3) \]
Another important quantity is the decay index of the transverse field. For noncircular cross section and small \( \bar{\beta}_\theta \), the decay index is given by
\[ n = \frac{3}{4} \frac{\ln \frac{8R_o}{a} - \frac{17}{12}}{\ln \frac{8R_o}{a} + \bar{\beta}_\theta - \frac{5}{4}} + \frac{R_o^2}{a^2} (1 - \frac{b}{a}) \quad (4) \]
and we require \( n > 0 \) at the magnetic axis for stability with respect to radial and vertical displacements. (10) The condition \( n > 0 \) is valid only for \( \frac{b}{a} \) small and \( R_o/a \) large, but it is sufficient for our purposes to know the field at the magnetic axis in order to estimate the current in the external coils.
B. MHD Equilibrium Calculations
The MHD equilibrium for an axisymmetric system can be determined by solving the usual equation for the flux function $\psi$ which satisfies
$$X \frac{\partial}{\partial X} \left( \frac{1}{X} \frac{\partial \psi}{\partial X} \right) + \frac{\partial^2 \psi}{\partial Z^2} = -X J_\phi,$$
where
$$J_\phi = X \frac{dP}{d\psi} + \frac{R_o B_o^2}{X} g \frac{dg}{d\psi}.$$
The magnetic field has been decomposed into poloidal and toroidal components using
$$\vec{B} = B_o \left[ f(\psi) \nabla \phi \times \nabla \psi + R_o g(\psi) \nabla \phi \right].$$
The coordinates $R$, $\phi$ and $Z$ are the axisymmetric coordinates, $\phi$ is the ignorable variable and $X$ is the distance from the symmetric axis. $\psi$ represents an arbitrary surface label and $\Psi$ is the poloidal flux inside a magnetic surface.
The MHD study group at the Princeton Plasma Physics Laboratory (11) have developed a general computational program to solve equation (5) in which the plasma boundary is determined self consistently with the location of external coils. This program has been used for the studies presented in this paper. A square of arbitrary size is used as an outer boundary for the problem and the boundary conditions on this border are fixed by specifying the current in the external coils. As such, the procedure does not require the use of a conducting external boundary. The plasma boundary can be fixed by a limiter or a separatrix. The program evaluates $q(\psi)$, $\beta_\theta(\psi)$ and $\beta_\theta$ from the formulae: (12,13)
\[ q(\psi) = \frac{f}{2\pi} \oint \frac{dl}{|\nabla \psi| X} \quad , \tag{8} \]
\[ \beta_\theta(\psi) = \frac{2\pi P}{<|\nabla \psi|^2>} \tag{9} \]
\[ \overline{\beta}_\theta = \frac{\int P \frac{dv}{d\psi} d\psi}{\int P \frac{dv}{d\psi} d\psi - R_o^2 B_o^2 \int \psi g \frac{dg}{d\psi} <\frac{1}{X^2}> d\psi} \tag{10} \]
Here,
\[ V = 2\pi \int \psi d\psi \oint \frac{x dl}{|\nabla \psi|} \quad , \tag{11} \]
and
\[ \frac{dv}{d\psi} = 2\pi \oint \frac{dl}{|\nabla \psi|} \quad . \tag{12} \]
The nonlinear equation (5) is solved by prescribing the functions \( P(\psi) \) and \( g(\psi) \) in equation (6). For the case of a reactor size system, the form of these functions has a significant effect on the equilibrium and stability of the plasma and warrants some discussions. If we choose
\[ P(\psi) = P_o \left( \frac{\psi_* - \psi}{\psi_* - \psi_o} \right)^{\alpha_1} \tag{13} \]
and
\[ g(\psi) = [1 - g_p \left( \frac{\psi_* - \psi_o}{\psi_* - \psi_m} \right)^{\alpha_2}] \quad , \tag{14} \]
the plasma current, \( j_\phi(\psi) \), has the form
\[ j_\phi(\psi) = -\frac{X_o P_o^{\alpha_1}}{\Delta \psi} \left( \frac{\psi_* - \psi}{\Delta \psi} \right)^{\alpha_1-1} + \frac{\alpha_2 P_o^2 B_o^2}{\Delta \psi X} g_p \left( \frac{\psi_* - \psi}{\Delta \psi} \right)^{\alpha_2-1} \]
\[ + \frac{\alpha_2 R_o^2 B_o^2}{\Delta \psi X} g_p^2 \left( \frac{\psi_* - \psi}{\Delta \psi} \right)^{2\alpha_2-1} \quad , \tag{15} \]
where $\Delta \Psi = \Psi_* - \Psi_m$ and $\Psi_*$, $\Psi_m$ are the flux at the plasma surface and magnetic axis. The constant $g_p$ is varied until $\Psi$ converges. On the other hand, if one chooses $\alpha_1$ and $\alpha_2 = 1$, $p'(\Psi)$ and $g'(\Psi)$ are independent of $\Psi$ and $j_\phi(\Psi)$ is given by
$$j_\phi(\Psi) = -\frac{X P_o}{\Delta \Psi} + \frac{R_o^2 B_o^2}{X \Delta \Psi} g_p + \frac{R_o^2 B_o^2}{X \Delta \Psi} \left( \frac{\Psi_* - \Psi}{\Delta \Psi} \right) g_p^2.$$
Thus, $j_\phi(\Psi)$ is nearly a linear function of $R$ when $g_p < 1$. This however is not a desirable profile and does not appear to be consistent with present tokamak experiments. If we set $\alpha_1 = 2$ and $\alpha_2 = 1$, then
$$j_\phi(\Psi) = -\frac{2X P_o}{\Delta \Psi} \left( \frac{\Psi_* - \Psi}{\Delta \Psi} \right) + \frac{R_o^2 B_o^2}{X \Delta \Psi} g_p + \frac{R_o^2 B_o^2}{X \Delta \Psi} \left( \frac{\Psi_* - \Psi}{\Delta \Psi} \right) g_p^2.$$
The current profile is now nearly parabolic in $r$. However, for $\beta_\theta > 2.0$, it is found that the safety factor becomes less than 1 near the magnetic axis. After further study, we find that values of $\alpha_1$ and $\alpha_2$ in the neighborhood of 1.4 are optimum.
C. **Stability Analysis**
The stability of the plasma with respect to rigid motions (vertical and radial displacements and flipping), localized interchange modes of both the resistive and ideal types, and general kink modes have each been considered.
1. **Rigid Motions**
We have found that one can often obtain large elongated plasmas of approximately elliptical shape with $\frac{b}{a} > 2$ and $S \approx 1.8$ for which $q(\Psi) > 1$ and the plasma is stable against localized modes but which nevertheless has the wrong curvature associated with the vacuum vertical field. It is therefore unstable to rigid displacements and it is typically a major effort to arrange
the external coils such that the decay index, $n$, at the magnetic axis, $R_m$ is greater than zero.
A detailed study has recently been made by Rebhan. (14) The necessary and sufficient criteria for stability with respect to any arbitrary rigid perturbation $b_\xi$ are given as
$$\oint \frac{R\Psi}{|\nabla \Psi|} z P_z^* \, dl + \frac{1}{2\pi} \int_S \vec{B} \cdot \vec{b}_\xi \vec{e}_\xi \cdot d\vec{s} = 0$$ \hspace{1cm} (18)
$$\oint \frac{R\Psi}{|\nabla \Psi|} R P_R^* \, dl \geq 0$$ \hspace{1cm} (19)
and $$\oint \frac{R(R\Psi - Z\Psi_R)}{|\nabla \Psi|} (R P_z^* - Z P_R^*) \, dl \geq 0$$ \hspace{1cm} (20)
$P^*$ represents the equilibrium pressure while subscripted values of $\Psi$ and $P$ imply derivatives. These general criteria can be evaluated numerically and the stability can be cast in terms of critical values for the parameters, $e_{cr} \equiv \frac{b}{a}$, and $q$. Assuming a parabolic pressure profile, elliptical flux surfaces with triangular deformation, and constant values of $P'(\Psi)$ and $g(\Psi)g'(\Psi)$, Rebhan obtained the critical value of $q$, designated $q_h$, for stability with respect to horizontal displacement as
$$\lim_{A \to \infty} q_h = \frac{1}{\sqrt{2}}.$$ \hspace{1cm} (21)
He also found the critical $q$ value, denoted $q_f$, for stability against flipping of the plasma ring as
$$\lim_{A \to \infty} q_f = 1.$$ \hspace{1cm} (22)
The values of $q_h$ and $q_f$ tend to decrease as $\Lambda$ decreases. The plasma is stable if $q$ is greater than $q_h$ and $q_f$. The existence of a critical $q$ is to be expected from the fact that horizontal displacement and flipping are special kink modes and $q$ must be kept above one to satisfy the Kruskal-Shafranov limit (15,16) and to obtain stability with respect to other kink modes. As such, no additional precautions need be taken. The criterion (18) can be reduced to (14)
$$C_{\text{vert}} = \oint_r \left\{ \frac{1}{R|\nabla \psi|} \left[ -\psi_R \psi_{RR} + \frac{\psi_Z \psi_R}{R} + \psi_R \psi_{RZ} \right] + Y \right\} \psi_z dl \geq 0$$
(23)
for vertical displacements, where $y = (\vec{e}_\theta \times \vec{n}) \cdot \vec{b}_\xi$.
2. **Localized Modes**
The criteria for stability with respect to the localized interchange modes are, (17,18) for idealized modes,
$$D_I = D + H \frac{1}{4} < 0$$
and for resistive modes,
$$D_R = D + H^2 < 0.$$
The parameters $D$ and $H$ are defined by
$$D \equiv \frac{<B^2/|\nabla V|^2>}{\Lambda^2} [J' \phi'' - I' \psi'' + \frac{<\sigma B^2>}{<B^2>} + P'2 \frac{1}{B^2} + \frac{<\sigma B^2>}{|\nabla V|^2} - \frac{<\sigma B^2/|\nabla V|^2>^2}{<B^2/|\nabla V|^2>}$$
$$H \equiv \frac{<B^2/|\nabla V|^2>}{\Lambda} \left[ \frac{<\sigma B^2/|\nabla V|^2>}{<B^2/|\nabla V|^2>} - \frac{<\sigma B^2>}{<B^2>} \right],$$
where $\Lambda \equiv \phi' \psi'' - \psi' \phi''$ and $\sigma \equiv \vec{J} \cdot \vec{B}/B^2$. $\phi$ and $\psi$ are the toroidal and poloidal field flux functions and $J$ and $I$ and the toroidal and poloidal current fluxes, respectively. Primes denote derivatives with respect to the volume, $V$, and
brackets denote field line averages.
3. **General Kink Modes**
The stability with respect to kink modes may be insured by examining the $q$ values and $\beta$. If the safety factor $q > 1$, the well-known Kruskal-Shafranov limit \((15,16)\) is that all "m" modes are stabilized and the critical $\beta$ for stability is $\beta = \varepsilon^2$, where $\varepsilon = \frac{a}{R}$, the inverse aspect ratio. A detailed stability study by Freidberg \((19)\) based on a sharp boundary model shows that the critical $\beta_\theta$ increases due to ellipticity and decreases due to triangularity. A value of this critical beta will be estimated from the results of Freidberg and used to estimate the stability against kink modes of the specific examples discussed next.
III. **Calculation for Specific Tokamak Designs**
A. **UWMK-III**
UWMK-III \((5)\) is a conceptual design for a noncircular tokamak power reactor system with characteristic parameters as listed in table I. A cross-sectional view is shown in Fig. 1. For this large system, the vacuum field calculated from Eqn. (3) is $B_\perp = 0.77\text{T}$ and the shift of magnetic axis calculated from eqn. (3) is $\Delta_m = 1.85\text{m}$. The decay index for mildly elliptical cross-sections is 0.34. The external coils were arranged in such a way that $B_\perp = 0.77\text{T}$ and $n > 0$ at $R_m = 10.0\text{ m}$.
Fig. 2 is a detailed flux plot for the equilibrium plasma in UWMK-III and Fig. 3 shows the vacuum vertical field. Table II is a list of the locations and the currents in all the discrete external vertical field coils. As can be seen, the plasma cross section is vertically elongated with two stagnation points on the boundary that are symmetrically located above and below the median plane.
The stagnation points are fixed by the coil $D_0$. For reasons related to the overall conceptual design of the device, we have required that the plasma surface intersect the midplane at $R_1 = 5.4$ m and $R_2 = 10.8$ m. The stagnation point has been placed at a height above the midplane such that $b \approx 2a$.
Two virtual limiters were placed at $R=5$ m and $R=11.5$ m to specify the initial size of the plasma at the beginning of the calculation. The parameters $\alpha_1$ and $\alpha_2$ were initially set at 1.4 for the reasons discussed in section II. The calculational sequence is to vary the locations and the currents in the external coils and the peak pressure, $P_o$, until an equilibrium is found with $\beta_0 \approx 2.2$, $q(\psi) > 1$ and the decay index $n > 0$. The parameters $\alpha_1$ and $\alpha_2$ are then varied until an optimum solution is found.
The two dimensional toroidal current density distribution is shown in Fig. 4 while the pressure and current profiles are shown in Fig. 5 as a function of $R$ on the midplane. The magnetic axis is at $\sim 9.0$ m, which is a shift outward of 0.9 m from the plasma geometric center. The toroidal current, $j_\phi$, peaks at $R_j = 10.0$ m and we refer to this location as the toroidal current axis. It is interesting to note that the current axis is shifted outward beyond the magnetic axis by about 1 m. The vacuum vertical field at $R_m = 9.0$ is $B_L \approx 0.7$ T. This last value shows that formula (3) gives a reasonably accurate prediction for $B_L$ and is useful as an initial guess. In Fig. 5, surface $\psi = -0.130$ is a flux surface near the magnetic axis while $\psi = -0.054$ is the surface closest to the separatrix. Turning now to the stability problems, the vacuum field for UWMK-III shown in Fig. 3 has good curvature to the right of the magnetic axis and bad curvature to the left. It seems clear that only for circular or mildly non-circular plasmas can the vacuum field have good curvature throughout the entire plasma cross section. However, the decay index criterion $n > 0$ is valid for circular plasmas of large aspect ratio. In general, it will be necessary to
calculate detailed spectra in order to understand the plasma stability with respect to small perturbations using a $\Delta W$ formation. This will be possible only when a $\Delta W$ code becomes operational.\textsuperscript{(20)}
One important observation which can be made is that the large triangularity of the plasma shape is a result of forcing the vertical field to have good curvature in the region to the right of the magnetic axis. The decay index $n$ is small but positive. To obtain larger values of $n$ would require a reduction in the height to width ratio, $\frac{b}{a}$, and shape factor $S$, i.e., a reduction in the ellipticity. When $n$ becomes negative, the triangularity is reduced and the plasma becomes more and more elliptical. This agrees with many theoretical predictions that vertically elongated plasma cross sections with large triangularity are more stable\textsuperscript{(14, 21)}. Obviously the plasma will be more stable when $n$ becomes larger until it reaches some maximum $n$ value. The present plasma for UWMK-III gives an elongation factor, $e = 2$ and a shape factor, $S = 1.6$. Since the vacuum vertical field is nearly parallel at the outer region of the plasma, it will begin to curve in the wrong direction if one tries to increase $e$ and $S$ further. Therefore, using the criterion $n > 0$, the values $e = 2$ and $S = 1.6$ are the upper limits we can use for the UWMK-III case.
Another interesting point to note from this study is that a plasma like UWMK-III with two stagnations points will have the unique advantage of providing both a stable elongated plasma and a divertor. It is therefore a good theoretical model for further study of the MHD stability of tokamaks.
The stability of the plasma against radial displacements and flipping is insured by the fact that $q(\psi)$ is greater than $q_h$ and $q_f$. To test for stability to vertical displacements, we consider a flux surface in the neighborhood of the magnetic axis for which $e = 1.4$ and $\beta_\theta = 1.2$. The corresponding value of $e_{cr}$ is approximately 1.5 using the results in Ref. 14. Therefore $e < e_{cr}$ and
the plasma is stable with respect to vertical displacements.
The stability criteria $D_I$ and $D_R$ are given by the solid curve and dashed curve, respectively, in Fig. 6. The values of $D_I$ and $D_R$ are negative implying that localized modes are stable. Negative values of $D_R$ provide strong stabilization for the tearing mode.
The critical $\beta$ value estimated from Ref. 19 is 0.047 for an aspect ratio of 3, an elongation factor, $e$, of 2, and $\overline{\beta}_\theta = 1$. If we take $q = 3.5$ at the flux surface closest to the separatrix, we find
$$\beta = \left(\frac{S}{Aq}\right)^2 \overline{\beta}_\theta \approx 0.032$$
for UWMK-III and this is less than the critical $\beta$. (19)
The toroidal field in the vacuum and in the plasma are shown by dashed and solid curves in the upper part of Fig. 4. The diamagnetic effect is small, about 7%. The value of $B_\phi$ at the magnetic axis is reduced by 0.25 T. This means higher powers are needed when R.F. heating is used. (22) As useful information for R.F. heating studies, we present in Fig. 7 the resonance surfaces (i.e. the contours of constant $|B|$) as solid curves and the flux surfaces as dashed curves.
**B. Analysis of a TCT-Tokamak Engineering Test Reactor**
A preliminary study has been made on a smaller device, a reactor of special interest for use as a Tokamak Engineering Test Reactor (TETR) (4) based on the two energy component approach. (3) The major parameters of this conceptual device are listed in Table III (4) and a flux plot is shown in Fig. 8. The values of $D_I$, $D_R$ and $q$ are shown in Fig. 9 while the vacuum field is given by Fig. 10. The profile of $P$ and $j_\phi$ are shown in Fig. 11 while Fig. 12
shows the coil arrangement. The plasma parameters are $I_p = 2.4$ MA, $R_o = 3.05$ m, $a = 0.5$ m, $B_o = 4.0$ T and $\beta_0 = 3.5$. The pressure profile is nearly parabolic and the current profile is almost linear. The plasma height to width ratio is 2.5 and the shape factor, $S$, is 1.8. From Fig. 7 one can see that $q(\psi) > 1$ and that $D_R$ and $D_I$ are negative. Thus, the plasma should be stable against localized modes. On the other hand, the vacuum field has the wrong curvature and the decay index is negative. This means that the plasma would have to be stabilized against rigid vertical displacements by a feedback system.
One difficulty in the design of such a small reactor is that the external coils are placed outside the blanket region far from the plasma. They are therefore not highly effective in controlling the plasma shape. Further investigations are required to study the equilibrium and stability of such a plasma using other pressure and current profiles. It is also necessary to examine the stability of this smaller plasma to modes other than localized ones.
IV. Scaling and Engineering Problems
The possibility of scaling the specific designs developed in section III has been studied. It appears indeed possible with slight modification to find plasmas of similar cross section for larger size tokamaks. An example is one with $R_o = 9.2$ m, $I_p = 16.6$ MA, $a = 2.8$ m, $b = 5.6$ m, $B_o = 4.0$ T and $\beta_0 = 2.2$. It is also possible, though more difficult, to scale to smaller devices such as the TETR discussed in the previous section.
The findings presented in the last section clearly indicate that the ultimate plasma shape is strongly influenced by actual reactor engineering constraints such as the blanket and shield thickness. These constraints have been carefully included in the UWMK-III study and Fig. 1 shows the vertical field coil arrangement, the blanket region, and the toroidal field coil. Another well known constraint is that the maximum toroidal field, $B_{\text{max}}$, at the inner magnet
surface is limited when the coil is superconducting. In the UWMK-III design, $B_{\text{max}}$ is limited to 8.75 T at $R_{\text{in}} = 3.75 \text{m}$. The space left for the blanket and shield between $R_m$ and $R_1$ is about the minimum possible, 1.3 m.
**Acknowledgement**
We are indebted to R. C. Grimm of the Princeton Plasma Physics Laboratory for making the MHD code available. The code was initially converted for use on the UNIVAC-1110 computer at Wisconsin by Sam Dahled. We also acknowledge stimulating discussions with J. L. Johnson, R. C. Grimm and K. Weimer. This research was partially supported by the Electric Power Research Institute.
References
1. T. Ohkawa, T. H. Jensen, Plasma Physics 12, 789 (1971).
2. J. File, R. G. Mills, J. Sheffield, IEEE Transaction on Nuclear Science NS-18, 277 (1971).
3. J. M. Dawson, H. P. Furth, F. H. Tenney, Phys. Rev. Letts. 26, 1156 (1971).
4. R. W. Conn, D. L. Jassby, "A Tokamak Engineering Test Reactor" Princeton Plasma Physics Laboratory Report, MATT-1155 (Aug., 1975). To be published in Proc. International Conf. on Radiation Test Facilities for the CTR Surface and Materials Program (ERDA, 1975).
5. University of Wisconsin Fusion Feasibility Study Group, R. W. Conn, et al. "The UWMK-III Tokamak Reactor Design," Univ. of Wisconsin Report FDM-150 To be published.
6. Y. Suzuki, A. Kameayi, H. Ninomiya, M. Masuzaki, and H. Toyama, Proc. 5th IAEA Conf. on Plasma Phys. and Cont. Nucl. Fus. Research, 1974, (IAEA, Vienna, 1975) Vol. I, p. 411.
7. V. D. Shafranov, Review of Plasma Physics, (Consultants Bureau, New York) (1966), Vol. 2, p. 103.
8. John M. Greene, John L. Johnson, and Katherine Weimer, Phys. Fluids, Vol. 14, 671 (1971).
9. V. S. Mukhovatov, V. D. Shafranov, Nuclear Fusion 11, 605 (1971).
10. S. Yoshikawa, Phys. Fluids 7, 278 (1964).
11. M. S. Chance, R. L. Dewar, A. H. Glasser, J. M. Greene, R. C. Grimm, S. C. Jardin, J. L. Johnson, B. Rosen, G. W. Sheffield, and K. E. Weimer, Proc. 5th IAEA Conf. on Plasma Phys. and Cont. Nucl. Fus. Research, 1974, (IAEA, Vienna, 1975) Vol. I, p. 463.
13. L. E. Zakharov and V. D. Shafranov, Sov. Phys. Tech. Phys 18, 151 (1973).
14. E. Rebhan, Nuclear Fusion 15, 277 (1975).
15. M. D. Kruskal, J. L. Johnson, M. B. Gottlieb, and L. M. Goldman, Phys. Fluids, 1, 421 (1958).
16. V. D. Shafranov, Plasma Physics and the Problem of Controlled Thermonuclear Reactors (Pergamon, Oxford, 1969), Vol. 2, p. 197.
17. J. L. Johnson, J. M. Greene, Plasma Physics 9, 611 (1967).
18. A. H. Glasser, J. M. Greene, J. L. Johnson, submitted to Physics of Fluids.
19. J. P. Freidberg, W. Grossmann, Los Alamos Scientific Laboratory Report, LA-UR-75-416 (1973).
20. R. C. Grimm, J. M. Greene, and J. L. Johnson, to be published in Computational Physics, Vol. 16.
21. K. E. Weimer, E. A. Frieman, and J. L. Johnson, Plasma Phys. Vol. 17, 645 (1975).
22. J. E. Scharer, University of Wisconsin, private communication.
Table I
Plasma Parameters of UMAK-III (5)
\[
\begin{align*}
R_o &= 8.1 \text{ m} & I_p &= 15.8 \text{ MA} \\
B_o &= 4.05 \text{ T} & \beta_\theta &= 2.2 \\
R_{in} &= 3.75 \text{ m} & q_* &\approx 3.5 \\
B_{max} &= 8.75 \text{ T} & q_o &\approx 1.0 \\
R_m &= 9.0 \text{ m} & a &= 2.7 \text{ m} \\
R_j &= 10.0 \text{ m} & b &\approx 5.4 \text{ m} \\
\Delta_m &= 0.8 \text{ m} & S &\approx 1.6 \\
\Delta_j &= 1.2 \text{ m} & b/a &= 2.0
\end{align*}
\]
| $D_i$ | $Z(m)$ | $R(m)$ | $I(MA)$ |
|-------|--------|--------|---------|
| $D_0$ | 9.0 | 6.8 | 15.50 |
| $D_1$ | 0.0 | 3.9 | .40 |
| $D_2$ | 1.0 | 3.9 | .40 |
| $D_3$ | 4.5 | 4.0 | 2.00 |
| $D_4$ | 5.5 | 4.6 | -0.60 |
| $D_5$ | 9.0 | 3.9 | -1.2 |
| $D_6$ | 9.5 | 5.9 | +2.2 |
| $D_7$ | 10.0 | 8.8 | -1.53 |
| $D_8$ | 9.3 | 8.8 | -1.65 |
| $D_9$ | 9.9 | 8.8 | -1.10 |
| $D_{10}$ | 7.7 | 8.9 | -1.60 |
| $D_{11}$ | 7.5 | 9.3 | -1.62 |
| $D_{12}$ | 7.3 | 10.8 | -1.55 |
| $D_{13}$ | 6.8 | 11.8 | -1.60 |
| $D_{14}$ | 5.3 | 12.8 | -1.65 |
| $D_{15}$ | 4.3 | 13.0 | -1.65 |
| $D_{16}$ | 2.3 | 13.5 | -1.52 |
| $D_{17}$ | 0.0 | 13.5 | -1.52 |
Table III
Plasma Parameters of a Tokamak Engineering Test Reactor \(^4\)
| Parameter | Value |
|-----------|-------|
| \(R_o\) | 3.05 m |
| \(a\) | 0.50 m |
| \(A\) | 5.56 |
| \(b\) | 1.25 m |
| \(b/a\) | 2.5 |
| \(S\) | 1.8 |
| \(B_o\) | 4.0 T |
| \(I_p\) | 2.4 MA |
| \(\beta_\theta\) | 3.5 |
| \(q\) | 2.5 |
| Coil No. | R (m) | Z (m) | I (MA) |
|---------|-------|-------|--------|
| D₁ | 1.8 | 0.8 | 0.2 |
| D₂ | 2.4 | 2.7 | 3.9 |
| D₃ | 3.5 | 3.5 | -1.3 |
| D₄ | 3.0 | 4.0 | -8.4 |
| D₅ | 4.5 | 2.4 | -1.3 |
| D₆ | 5.0 | 1.7 | 1.9 |
| D₇ | 5.5 | 1.5 | -1.2 |
| D₈ | 6.0 | 0.0 | -4.1 |
Figure Captions
Fig. 1. Cross-sectional view of the conceptual Tokamak fusion reactor design, UWMK-III.
Fig. 2. Plot of surfaces of constant $\psi$ for UWMK-III.
Fig. 3. Vacuum vertical field for maintaining the equilibrium plasma column of UWMK-III.
Fig. 4. Plot of constant current density $j_\phi$ contour. The magnitude of $j_\phi$ increases from the plasma surface and then peaked at $R_j \approx 10$ meters.
Fig. 5. Plots of $p$ (solid curve) and $j_\phi$ (dashed curve) in the lower part of the graph. Plot of toroidal field $B_\phi$ in the vacuum and in the plasma in the upper part of the graph respectively.
Fig. 6. Plots of the stability criteria $D_I$, $D_R$ and safety factor $q$ as functions of $\psi$ for the equilibrium configuration of Fig. 1.
Fig. 7. Plots of constant $|B|$ contours and some constant $\psi$ surfaces for the equilibrium plasma of Fig. 1. The values of $|B|$ vary in units of 0.2T from the left-most contour, where the value is 6.0T. The last contour on the right has $|B|$ equals to 3.3T.
Fig. 8. Plot of surfaces on constant $\psi$ for the Tokamak Engineering Test Reactor TETR.
Fig. 9. Vacuum vertical field for maintaining the equilibrium plasma column of TETR.
Fig. 10. The stability criteria $D_I$, $D_R$ and safety factor $q$ as function of $\psi$ for the equilibrium configuration of Fig. 1.
Fig. 11. Plots of pressure profile and current profile for TETR.
Fig. 12. External coil arrangement for the equilibrium configuration of Fig. 8.
Fig. 1
Fig. 2
PSI CONTOUR PLOT
TOKAMAK DESIGN UMKR-III
Fig. 3
VACUUM FIELD
TOKAMAK DESIGN UMKAK-III
R [METER]
Z (METER)
CURRENT CONTOUR
TOKAMAK DESIGN UMKAK-III
R (METER)
Z (METER)
Fig. 5
\[ \frac{B_\phi}{B_0} \]
- \( B_\phi \) (VACUUM)
- \( B_\phi \) (PLASMA)
\[ \frac{P}{(B_0^2/\mu_0)} \]
\[ \frac{2\pi\mu_0 j_\phi}{17B_0} \]
R (METER)
Fig. 6
SAFETY FACTOR Q
INTERCHANGE STABILITY CRITERIA AND SAFETY FACTOR
SOLID LINE = IDEAL; SYMBOLS = RESISTIVE; DASHED LINE = ?
STABILITY
PSI
Fig. 7
TOTAL IBI CONTOUR PLOT
TOKAMAK DESIGN UWMK-III
Fig. 8
PSI CONTOUR PLOT
TOKAMAK DESIGN TETR
Z (METER)
R (METER)
Fig. 9
INTERCHANGE STABILITY CRITERIA AND SAFETY FACTOR
SOLID LINE = IDEAL; SYMBOLS = RESISTIVE; DASHED LINE = Q
STABILITY
SAFETY FACTOR Q
PSI
Fig. 10
$Z \text{ (METER)}$
$R \text{ (METER)}$
Fig. 11
\[ \frac{P}{B_0^2/\mu_0} \]
\[ j_\phi = \frac{2\pi\mu_0}{3B_0} j_\phi \]
R (METER)
Fig. 12
I₁ = +0.3 MA
I₂ = +3.9 MA
I₃ = -1.3 MA
I₄ = -0.84 MA
I₅ = -1.3 MA
I₆ = +1.9 MA
I₇ = -0.12 MA
I₈ = -4.2 MA
R (METER)
Z-AXIS (METER)
|
High Country Tek, Inc. (HCT) is the Fluid Power Industries premier Independent electro-hydraulic controls supplier with best in class products, service and training.
HCT provides the most ‘Ruggedized’ electronic control solutions for a wide variety of applications that are successfully applied across the globe in all areas of the fluid power industry.
To compliment our evc-2 controller, HCT has released a free software application that allows immediate operation of the controller with two separate channels, each offering the opportunity to control dual solenoid projects. For further system optimization, a free pre-written Graphical User Interface (GUI) for use with Windows based PC’s or the HCT TekBook, allows the user to fine tune the various parameters typically seen in an open loop controller of this type.
Standard HCT Product Features:
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- Comprehensive on-line literature, manuals, user guides and application information
www.hctcontrols.com
Application Overview:
The evc-2 controller allows the user to connect, calibrate and immediately use two separate input and output channels in one controller, making it ideal and very cost effective for controlling multiple open loop cartridge or industrial style valves to get directional control or multi-level pressure settings.
The controller operates from a wide supply range of +10 to +32VDC so one unit can interface with any OEM coils of either 12VDC or 24VDC with a current maximum requirement of up to 3amps per coil.
Industry standard 0-5VDC or 4-20mA command signals can be selected, making this a very flexible unit for mobile or industrial application usage.
The PC based user interface is designed around three easy to navigate pages that allow the user to quickly configure and set-up the module to cost effectively control multi-valve operation from one controller.
Installation Guidelines:
**ALWAYS do the following:**
- Take a few minutes to FULLY read THESE information / data sheets BEFORE starting.
- Keep High Voltage AC cables separate from Low Voltage DC signal and supply cables.
- Make sure the units supply voltage is the same or greater that the coils on the valve(s) being driven!
- Check the units supply voltage is CORRECT, ‘ELECTRICALLY CLEAN’ and STABLE.
- Ensure that you are aware of the adjustments and consequences on the electronics and hydraulics.
- Make sure you have the correct tools to do the intended job (i.e. Tekbook, P.C., software) etc.
- ‘Isolate’ this unit from all other equipment BEFORE any form of welding takes place.
- Check ALL wire connections to and from this unit to ensure NO short or OPEN circuits are present.
- Operate the units within specified operating temperature for best & reliable performance.
- Ensure that any unused wires / terminals are terminated safely and not shorted together.
- Isolate the controller if ANY form of battery charging or battery boosting takes place on the vehicle.
- Ensure that any HCT recommended fuses, circuit breakers or safety devices are fitted as required.
- Ensure ALL valve connectors are wired correctly, secure, locked and connected to correct coils.
- Observe the set-up procedures in this manual for best operational results.
- Follow and abide by local and country health & safety standards – protect yourself and others!
**NEVER do the following:**
- Operate this unit without the recommended fuse as required by HCT.
- Arc Weld or Charge Batteries with this driver unit connected as damage can occur.
- Attempt to use this unit if you are unsure of electrical OR hydraulic connections or expected operation.
- Attempt to use this unit in Areas where other AC or DC coils HAVE NOT been fully suppressed.
- Use a power supply that is not rated for the correct required O/P current under full load.
- Allow wires TO or FROM the unit to short circuit (to each other or chassis/cabinet etc.).
- Attempt to use this unit in areas of intense RF without adequate screening measures.
- Disconnect or connect wires to or from this unit unless it isolated from the power supply.
- Use this unit in temperatures that exceed those specified as operation may be effected.
- Start this unit without ensuring ALL work areas are clear of personnel!
If you are unsure about any part of the controller wiring or installation, contact local professionals or High Country Tek Inc. technical support for guidance BEFORE you apply power or damage the controller or application.
**Electronic Controller Solutions for the Global Fluid Power Industry**
**epc-2 & evc-2 Specification Overview ( General ):**
1. Module size/format: High Country Tek Inc. Mobile ‘easy-mount’ format
2. Design Standards: Full CE classification
3. Power Supply type and range: 10 to 32VDC (max)
4. **Recommended module protection:** 5A AGC fuse in power supply line
5. User stabilized voltage: +5VDC ±10%
6. Output current: 500mA (max)
7. Protection: Current limited, short circuit protected
8. Digital Input number: 3x ON/OFF inputs
9. Digital Input type: DCV - level shift
10. Digital input values: 0V to +VPower supply max
11. Universal input number: 2x inputs
12. Universal input type: DC voltage or DC Current
13. Universal input values: 0 to +5v or 4 to 20mA
14. Voltage Command I/P Impedance: 10 KOhm
15. Current command shunt resistor value: 100 Ohms
16. Proportional Output number: 2x PWM
17. Protection: Open and short circuit protection
18. Proportional output Current: 0 to 3 amps max
19. Digital Output number: 6x High Side
20. Digital output type: ON/OFF level shift
21. Proportional output Current: 0 to 3 amps max
22. Protection: Open and short circuit protection
23. Digital output values: 0V to +V module supply voltage ~0.5VDC
24. Operating Temperature range: -40C to +85C
25. Storage temperature range: -40C to +100C
26. Ingress protection rating: IP 68 / NEMA 6P
27. Connector type: Metri-Pack 30 way male
Contact HCT customer service or your nearest HCT Product distributor for other connection/Hardware configurations if required
**REMOTE ENABLE Important Note:**
- The Enable input is DIGI 1 ( connector pin S2 ) and is configured to be active HIGH
- The user MUST pull the input ‘S2’ to +V supply to allow normal operation.
- The enable input is failsafe, with the input pin ‘S2’ pulled LOW ( 0V ) internally.
1. Install user interface program onto Windows PC or laptop or HCT TekBook following the on-screen instructions
2. Connect evc-2 controller to suitable, stabilized power supply (10-32VDC)
3. Connect RS232 communications cable to evc-2 and Windows PC noted in 1
4. Locate the evc-2 program in the PC ‘START’ menu and click to open
5. Once started, the program will open with the screen shown to the left and attempt to make communications with the evc-2 module
**NOTE:**
As required, messages will be displayed to alert the user to issues or items that need attention. Typically GREEN message backgrounds are good while bright RED should be taken as a warning or notice of a setting or state that could need attention.
This screen gives the user a ‘Dashboard View’ of the controller settings and operation in one easy to read screen.
The module communications status RX and TX lights will alternate red/green when in communication, while the module supply voltage and internal temperature can also be seen in the middle box.
The boxes lower left and right display the ‘Command Input’ and ‘Output Current’ for channel one and channel two as well as which coil (A or B) is being driven at any time.
The single light bar at bottom middle, will be **RED = ‘Driver disabled’** or **GREEN = ‘Driver enabled’,** to show the status of the global enable input and all outputs (proportional AND digital) on the module.
Clicking the ‘Next >>’ button will move the user to the next screen or clicking ‘Exit’ will close the interface and return the user to Windows desktop.
The ‘Configuration Page’ allows the user to set the command signal type to either DC Voltage (0 to +5VDC) or Current (4 to 20mA) and also to single or dual coiled valve drive configuration.
Selecting a single coil gives the full command signal over the output current, while selecting a dual coil, immediately offsets the command to give mid value for zero drive to each coil.
The ‘Current P’ and ‘Current I’ settings allow the user to optimize the response of the controller to any type or make of valve being driven - see page 11 for guidelines.
Clicking the ‘Next >>’ button will move the user to the next screen or clicking ‘<< Back’ will take the user to the previous screen.
The ‘Fine Tune Page’ offers the user options to customize each channel and to ensure that the valve reacts as desired and is optimized - see page 6 for details.
As long as the user is connected to a evc-2 module, any changes made here are transmitted immediately to the module and will change the characteristic in the non-volatile memory updating the settings and making them the new levels even after power ON/OFF, so care should be taken to make small changes while also making sure that the correct parameter is being altered.
User editable value box’s have a blue background with yellow text. Each window has ‘min’ and ‘max’ limits pre-set so prevent the user from entering a value that may cause issues.
Clicking the ‘Dashboard’ button will move the user back to the observation screen or clicking ‘<< Back’ will take the user to the previous screen.
Click the following for these functions:
**Technical:**
This will open a PDF version of this manual that is installed with the Graphical User Interface software so it is available as a reference at all times.
**Contact:**
This opens the user’s E-mail program and enters the HCT address and subject ready for the user to communicate and send whatever information required to HCT.
**About:**
Opens the ‘Miscellaneous Information’ page displayed below, giving important information on the module and versions of software that may be needed during any conversations or E-mail with HCT technical or field support personnel.
**Help:**
This opens a PDF document on the evc-2 going into more details on the programming that the user can utilize to modify this original application software program if required (GUI will NOT reflect any user changes made)
The ‘Miscellaneous Information’ page shows the module serial number as well as all versions of the software and GUI being used. This information may be asked for by HCT support personnel during any contact you require for help and guidance etc.
The other information shown on this page is the HCT mailing address and also the direct E-mail to our customer support group.
There is also a live link (if PC is connected to the Internet) to the HCT website where extra information as well as the latest literature and product details can be found as required.
Clicking the ‘Back >>’ button will take the user to the previous screen.
**PC to epc/evc-2 connections:**
To use the set-up program described above, the user must connect a communication cable between the epc/evc-2 and the user PC. This is achieved by using an HCT supplied RS232 cable that will allow direct connection between a 15 way Serial Port ‘D’ connector on the PC and a polarized 4 way tower WeatherPack connector.
HCT Part Number:
999-10075
See page 8 for connection details
**USB to RS232 Adaptor:**
In the event that the PC does NOT have a 15 way Serial Port ‘D’ connector, a high quality, broad band USB to RS232 adaptor must be used. For best results, only use adaptors recommended, tested and approved by HCT. Please contact our customer service department to discuss your needs if required.
HCT Part Number:
108-00119
1. **Channel X coil 1A Imin Out Current (mA):**
- Minimum value allowed = 0mA
This is the minimum current value that will be sent to valve coil 1A when the command signal is approximately ±5% of 2.5V (~125mV)
2. **Channel X coil 1A Imax Out Current (mA):**
- Maximum value allowed = 3000mA
This is the maximum current value that will be sent to valve coil 1A when the command signal is at approximately ±100%. i.e. 0% command = Coil B at 100%, 50% command = Both coils OFF, 100% command = Coil A at 100%.
3. **Channel X coil 1B Imin Out Current (mA):**
Same function and action as noted in item 1. above
4. **Channel X coil 1B Imax Out Current (mA):**
Same function and action as noted in item 2. above
5. **Channel X coil 1A Ramp UP time (Seconds):**
- Minimum value allowed = 0 seconds - Maximum value allowed = 65 seconds
This is the total time taken for the output current to go between the Imin and Imax settings for a 0% to 100% command input. The time is scaled for 0 to 100% command meaning that if the command goes from 50% to 100% the time taken will be 50% of the seconds set.
6. **Channel X coil 1A Ramp DOWN time (Seconds):**
- Minimum value allowed = 0 seconds - Maximum value allowed = 65 seconds
This is the total time taken for the output current to go between the Imax and Imin settings for a 100% to 0% command input. The time is scaled for 0 to 100% command meaning that if the command goes from 100% to 50% the time taken will be 50% of the seconds set.
7. **Channel X coil 1B Ramp UP time (Seconds):**
- Minimum value allowed = 0 seconds - Maximum value allowed = 65 seconds
Same function and action as noted in item 5. above
8. **Channel X coil 1B Ramp DOWN time (Seconds):**
- Minimum value allowed = 0 seconds - Maximum value allowed = 65 seconds
Same function and action as noted in item 6. above
9. **Channel X Dither Amplitude:** Minimum value allowed = 0% - Maximum value allowed = 100% (in 10% increments)
This is the level of ‘Dither’ signal applied to the output current as a fixed percentage - i.e. if you set 50% here, the amplitude will be ratio metric over the entire PWM output range of 5 to 95 PWM. Valve OEM’s usually recommend a % level here if no information is available, set to 30% for initial trials and optimize at later stage if needed.
10. **Channel X Dither Frequency (Hz):** pre-set values - 33, 45, 50, 55, 76, 100, 125, 142, 200, 250, 333 & 500Hz
This is the ‘Dither’ frequency that will be on the PWM output. Valve OEM’s usually recommend a frequency here, if no information is available, initially set 140Hz - 250Hz for cartridge and smaller valves and 100Hz - 140Hz for larger industrial valves.
11. **Channel X Command Min:**
The value entered here, sets the Minimum command input allowed. Below this value, the respective evc-2 proportional output is disabled
12. **Channel X Command Mid:**
The value entered here, sets the Mid command for crossover in dual coil mode, ignored for single coil mode
13. **Channel X Command Max:**
The value entered here, sets the Maximum command input allowed. Above this value, the respective evc-2 proportional output is disabled
**Dual Path with Single coil connections:** (see Appendix A for output graphs)
Configuration shown using 2x potentiometers or joysticks with internal regulated +5V to control 1x valve coil per channel.
Configuration shown using 1x potentiometer or joystick with internal regulated +5V and 1x externally provided 4-20mA command input to control 1x valve coil per channel.
---
**Dual Path with Dual coil connections:** (see Appendix A for output graphs)
Configuration shown using 2x potentiometers or joysticks with internal regulated +5V to control 2x valve coil per channel.
Configuration shown using 1x potentiometers or joysticks with internal regulated +5V and 1x externally provided 4-20mA command input to control 2x valve coil per channel.
Additional ON/OFF control features:
To allow low level signals to drive high current loads (i.e. lamps/alarms), the application provides 2 extra ON/OFF drives for convenience:
Digi 2 (Connector pin S3) is internally connected to HS 5 (Connector pin W3)
Digi 3 (Connector pin T3) is internally connected to HS 6 (Connector pin X3)
evc-2 Module connection details:
| evc-2 Connector Designation Tables | 999-10075 Connector Details |
|-------------------------------------|-----------------------------|
| **30 Pin Metri-Pak Connector (Male, Plug)** | **RS232 (PC) to epc-2 Communication Cable** |
| PIN | Name | Function | PIN | Name | Function | PIN | Name | Function |
| L1 | TXD | Transmit RS232 Data - Pin 'C' | T3 | DIG-3 | Digital I/P #3 (Turns ON X3) | L1 | TXD | Transmit RS232 Data - Pin 'C' | C |
| L2 | RXD | Receive RS232 Data - Pin 'A' | W1 | PWM-1 | Channel #1 PWM O/P | L2 | RXD | Receive RS232 Data - Pin 'A' | A |
| L3 | RTS | Request To Send - RS232 Pin 'D' | R1 | UNI-2 | Channel #2 Command I/P | W2 | PWM-2 | Channel #2 PWM O/P | D |
| M1 | PWR COM | Channel #1 Command GND/0V | R3 | +5V USER | +5V regulated user output | W3 | HS-5 | Digital O/P #5 from Digi 2/I/P | B |
| M2 | PWR COM | RS232 GND/0V | S2 | DIG-1 | Global Enable I/P | X1 | HS-2 | Channel #1 Coil B | |
| M3 | PWR COM | Channel #2 Command GND/0V | S3 | DIG-2 | Digital I/P #2 (Turns ON W3) | X2 | HS-4 | Channel #2 Coil B | |
| N2 | PWR COM | Ground / 0V / Signal Common | T1 | HS-1 | Channel #1 Coil A | X3 | HS-6 | Digital O/P #6 (from Digi 3 I/P) | |
| N3 | PWR COM | Ground / 0V / Signal Common | T2 | HS-3 | Channel #2 Coil A | Y1 | +PWR IN-1 | +V Supply Power Input | |
| P1 | UNI-1 | Channel #1 Command I/P | | | | Y2 | +PWR IN-2 | +V Supply Power Input | |
LED operation and description:
**LED 1:**
- OFF = NOT Used in this application
**LED 2: Output 1 or Output 2 (Red / Green):**
- The LED will change from Red (0%) to Green (100%) through Yellow (50%), to indicate the duty cycle status of the corresponding output.
- OFF = NO PWM outputs are active
- Blinking Green = PWM Output ‘Open Circuit’ detected
- Blinking Red = PWM Output ‘Short Circuit’ detected
**LED 3: (MS) - Module Status (Red / Yellow / Green):**
- OFF = No power applied to module.
- ON Green = Module operating normally
- ON Red = Module has unrecoverable fault detected - contact factory
- Flashing Red = Low supply voltage (<8.5VDC)
**LED 4: Status Indicator (Red / Yellow / Green):**
- This indicator is programmable and can be used by the application code to show fault codes or display system operational conditions etc.
- Off = NO Errors / faults detected
- ON Red = PWM1 Open or Short circuit detected
- ON Green = PWM2 Open or Short circuit detected
- Blinking Yellow = High Side Open or Short circuit detected
- Blinking Red = User programmable / defined fault blink codes
evc-2 Module Mechanical Details:
IMPORTANT NOTE:
Recommended tightening torques for the securing bolts are as follows:
For a 1/4-20 bolt, SAE Grade 5
DRY Torque: 8 Ft-Lbs
Lubricated Torque: 6.3 Ft-Lbs
‘P’ and ‘I’ settings:
The P & I setting boxes (circled in orange, Left) for each channel are factory pre-set to $P = 10$ and $I = 10$ default values ($= \text{gain/time} \approx -0.16$).
**P & I max values allowed:** The window only allows the user to enter from 0 to 255 max values in whole numbers.
The P & I operation in the DVC is scaled such that 255 is equivalent to a gain of 4, with 64 equaling a gain of 1.
These default values allow the majority of proportional coils/valves/pumps to operate normally and meet expected product OFF to ON and ON to OFF times. Always return to these values if the system needs to be reset.
If it is found that the coil/valves/pumps is not responding as desired, the user may change the values in each box by selecting the window with the PC mouse and entering a new number.
The ‘P term’ affects the amount of output current change relative to the output current error value that is derived from the scaling of the command signal to the Imin & Imax settings. Increasing the value makes the change more aggressive for a smaller error. Too aggressive a change can cause the valve/pump to oscillate (Under-damped), too low a value setting will result in slow response (Over-damped).
The ‘I Term’, affects the output current error correction time. Increasing the value too much can result in the error being corrected too slowly to matter (Over-damped), too small a value can result in corrective current overshoot and multiple iterations until stable (Under-damped).
Settings for P & I are also effected by the system configuration, capacity and even viscosity changes, so the ideal setting is when the coil being driven responds as the manufacturers specification regarding slew rates for rise and fall times and delivers the system performance needed for a successful application.
**P & I Set-up Guide:**
1. Always start running the system using the default P & I settings as supplied to get a base line of operation.
2. Use a fast changing command signal with small demand changes to see reaction (use square wave if possible).
3. If better response is needed, start to increase the ‘P’ setting first, in SMALL increments (increase by count of 5).
4. Test system response by using method described in 2. above – readjust as needed to get required response.
5. Once the P is set, start to adjust the I setting to get current output stability and system response as required.
**NOTE:**
Because system characteristics change with oil temperature, viscosity, hose lengths and loading, it is important when setting P & I values different to the defaults provided, that the user tests the command signal to output stability over a wide range of settings to ensure the best possible stability and response has been achieved.
Appendix A: Dual Path with Single coil connections
This option allows each input to control one output channel and take full advantage of the 10 bit (1024 steps) resolution offered by the evc-2 controller.
The dead band is internally set to approx. ±5% of the chosen command, shown here at 250mV for a 5V input and is to allow for any mechanical wear, tolerance or movement in the command potentiometer or joystick. When using 4 to 20mA, the deadband is still ±5% which equates to approx. 0.8mA.
Appendix A: Dual Path with Dual coil connections
This option allows each input to control one output channel but two valve coils. The input command signal is configured such that at ~mid-value, both coils are OFF.
The command dead-band is internally set to ±5% as before and as soon as this level is seen, the output immediately jumps to the relative Imin setting and smoothly proceeds from there to Imax for max command.
Coil A command is from ~mid value to +max value (i.e. 2.5V to +5VDC) while Coil B command is from ~mid value to +0 value (i.e. 2.5V to 0V).
Input /Output Function Curve:
The evc-2 has the patented HCT I/O curve function integrated into the application software and is available to allow the user to change the relationship between input command and output current to something other than linear if required.
This unique feature gives precise optimization of machine control needs when options such as ‘creep’ and ‘full speeds’ are needed from a single manual joystick movement.
This adjustment has restricted access to avoid any issues with standard operation but can easily be changed by a qualified HCT Intella™ software programmer user using the free HCT Program Loader Monitor (PLM).
Please contact the HCT customer service or your local distributor for details on how to access this feature or to find your nearest qualified Intella™ software programmer.
Services and Resources:
- Mining & Exploration
- Agriculture
- Cranes & lifts
- Refuse & Recycling
- Construction
- Off-Road vehicles
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- Demolition Equipment
- Cooling Solutions
- Military Apparatus
- Specialty Use
- Remote Control
- Power Generation
- Emission Controls
- Integrated Drivers
- Valve & Pump Controls
HCT Product Sales and Support:
For a full list of authorized distributors worldwide, please visit: www.hctcontrols.com/distributors/index.htm
For more information:
Customer Service:
To discuss anything in this brochure, order product, get price and delivery or book a training course, please send an e-mail to us at: firstname.lastname@example.org
www.hctcontrols.com
High Country Tek, Inc.
208 Gold Flat Court
Nevada City, CA, 95959
Tel: (1) 530 265 3236
Fax:(1) 530 265 3275
|
Non-dairy plant based beverages: A comprehensive review
Manasa R, Harshita M, Prakruthi M, Shekahara Naik R and Mahesh Shivananjappa
Abstract
Plant based/Non-Dairy beverages are in demand due to increase in cow’s milk allergy, lactose intolerance, calorie concern and hypercholesterolemia. Many consumers demand plant-based milk alternatives for healthier diet, as a lifestyle or for vegan food, and it is inexpensive too, which can be afforded by the poor economic people and can be used in countries and in places, where cow’s milk supply is insufficient. In this review, we mainly focus on the different varieties of Plant-based/non-dairy beverages available in the market, their nutritional composition and their health benefits as compared to cow’s milk. Even though it contains added sugar, protein content, unsaturated fatty acids, antioxidant activity and bioactive compounds like phytosterols and isoflavones make plant-based substitutes as an excellent choice. In the recent years, these beverages have become a multi-billion-dollar business in the global market and it may reach a value of approximately 26 billion USD in next 5 years. But the problem is with the acceptability and the nutritional value of these plant-based beverages compared to cow’s milk. Several researches are undergoing to overcome these problems and make plant based beverages more tasty filled with more bioactive compounds.
Keywords: Plant based beverages, Non-Dairy beverages, lactose intolerance (LI), cow’s milk allergy (CMA), vegan milk
1. Introduction
The demand for Plant-based beverages is increasing in the recent years because of lactose intolerance (LI) and cow’s milk allergy (CMA) [1, 2], calorie concern and prevalence of hypercholesterolemia [3], concerns about phenylketonuria, cholesterol, growth hormone or antibiotic residues in cow’s milk [4-6], ethical disputes regarding the use of animals [7], environmental issues [8-10], changes in lifestyle towards vegetarian and vegan food, presumably healthier diet [11] and the marketed health-promoting properties of these products [12]. From the ecological perspective, plant-based sources are preferred as the dairy industry is responsible large share of greenhouse gas emission [13] and promoting awareness towards sustainable food systems due to climate change and global warming. On the other hand, bovine milk contains high saturated fat and high intake of this cause’s cardiovascular diseases (CVD). Cow’s milk restricts it recommendation as a complete food for infants older than a year due to the limited availability of iron, folate and some amino acids. Daily intake of cow’s milk (2 glasses / day) results in an intake of D-galactose > 100 mg/kg which could cause Parkinson’s disease [14].
Fig 1: Different Plant-based milks
Plant-based beverages does not contain lactose or cholesterol compared to cow’s milk, this led to the increase in demand.
Plant-based beverages are usually fortified with calcium and vitamins. The main plant-based beverages used are soy milk, oat milk, almond milk, peanut milk, coconut milk, sesame milk, hemp milk, rice milk, lupin milk, hazelnut milk, tiger nut, quinoa milk [15-22]. In the recent year’s cereals, oilseeds and legume-based plant sources are used as functional foods and nutraceuticals due to the presence of minerals, dietary fibers, antioxidants and vitamins [22-26]. Plant-based foods such as soybeans and nuts reduce the risk of neurodegenerative disorders such as Alzheimer’s disease [27]. They are also rich in fatty acids and antioxidant activity which reduce the risk of cardiovascular diseases, cancer, atherosclerosis, and diabetes [28]. The plant-based beverages market was valued at USD 11.16 billion 2017 and projected to reach USD 19.67 billion by 2023, growing at a CAGR (Compound Annual Growth Rate) of 12% during the forecast period 2018-2023 [29] (Figure 1). The veganism trend has jumped 360% in ten years, and it is estimated that there are now 500,000 vegans in the UK [30]. However, plant-based milk substitute products also have various negative health effects including lack of protein content, low bioavailability of minerals and vitamins, because of some anti-nutrients and polyphenols; can be overcome by fermentation [31-33]. But there is still a need to improve the stability, texture, nutritional aspects and sensory problems.
2. Need for non-dairy beverages
2.1 Prevalence of lactose intolerance
Lactose intolerance (LI) is the decreased ability to digest the lactose (sugar found in dairy products) [35]. Lactose intolerance is due to the lack of the enzyme “lactase” which breaks down lactose into glucose and galactose. The main symptoms are abdominal pain, bloating, diarrhoea and nausea [36-37]. About 33% of the global population is affected by lactose intolerance with highest percentage in Africa, South and East Asia. In India, 60-70% are lactose intolerant [38]. LI can also be caused by untreated celiac disease, gastroenteritis and cystic fibrosis [36, 39]. People with inflammatory bowel disease (10-20%) are sensitive for dairy products and are advised to avoid dairy products [40].
2.2 Cow’s Milk allergy (CMA)
Milk allergy is a type of food allergy, an adverse immune reaction to one or more of the constituents of milk, especially protein. This milk-induced allergic reaction can involve anaphylaxis, a potentially life-threatening condition. Approximately 2.5% of children younger than three years of age and 0.3% of adults are allergic to milk [41]. Nearly all infants who develop an allergy to milk do so in their first year of life. The allergic symptoms are asthma, cough, rhinitis and gastrointestinal problems. This CMA will be normalized in the first year of life, but 15% of children remain allergic [42]. The major whey proteins are α-lactalbumin and β-lactoglobulin which are responsible for the milk allergy [43]. The complete avoidance of milk and milk products is the only treatment to avoid milk protein allergy [42].
3. Plant-based / non-dairy milk alternatives:
Plant-based milk beverages are prepared by extracting them by water. In literature there is no any stated definition or any particular classification available [44]. Generally, it may be classified as follows:
(a) **Cereal based**: Oat milk, Rice milk [45], Barley milk, Corn milk.
(b) **Legume based**: Soy milk [46], Peanut milk, Lupin milk [47], Cowpea milk [48].
(c) **Nut based**: Almond milk [49], Coconut milk [50], Cashew milk, Tiger nuts, Hazelnut milk, Pistachio milk, Walnut milk.
(d) **Seed based**: Sesame milk [51], Flax milk, Hemp milk [52], Sunflower milk [53].
(e) **Pseudo-cereal based**: Buckwheat, Quinoa milk [54], Teff milk, Amaranth milk.
(f) **Fruits and vegetable juices**: Cranberry, Pineapple, Mango juice etc.
3.1 Overview of the process of plant based beverages
Plant-based milks are prepared by different processes depending on the manufacturers. Some common steps used in the wet processing methods are as follows (Figure 4). Soaking is done to soften the plant tissues and disrupt it by grinding the plant tissues. Then separate the large insoluble particles by filtration or centrifugation. Next step is to hydrolyse the starch, fiber, and other materials by enzymatic or chemical hydrolysis. Blanching is done to inactive the endogenous enzymes present in it by heating. Then thermal processing is done to inactivate the spoilage and pathogenic bacteria. Homogenization is done mechanically breakdown particulate insoluble matter. Last step is formulation to add functional ingredients, flavours, thickeners, colours, preservatives, stabilizers, proteins, vitamins, minerals, and lipids [55].
3.2 Cereal based: Cereals are one of the staple foods consumed throughout the world [25]. They are the important source of macro and micronutrients, bioactives, photochemicals, and antioxidants [56]. It also contains fiber which has prebiotic effects [57]. Commonly used cereals based milks are oat, rice, barley, and corn.
3.2.a Oat Milk
Oats are gaining prominence in the recent times. Various processed forms of oats are available which reduce cooking time and easy to consume. There are different types of oats depending on the thickness of the flakes like rolled oats, quick oats, and instant oats [58]. Oat milk is prepared using the oat groats, water, and addition of some grains like barley, soybean, triticale, etc. [20, 59]. Oats mainly contain sugars (60-70%), protein (15-17%), dietary fiber (~12%), fat (~5%), β-glucan (2-6%) [60]. Oats also contain phytic acid (an antinutrient) (Frolic and Nyman 1988; Lolas et al., 1976), phytochemicals, polyphenols (avenanthramides) [61] and a good amino acid balance. The intake of oats helps to reduce the cholesterol levels and blood glucose levels [44, 62-64]. The cholesterol lowering property is due to the presence of β-glucan (soluble fiber) [65-70]. The study reported that the intake of oat milk for 5 weeks reduces LDL cholesterol and serum cholesterol in men with moderate hypercholesterolemia [71]. Another study reported that compared to control, 5 g of β-glucans from oats significantly lowered total-cholesterol by 7.4% and postprandial concentrations of glucose and insulin [68]. The main drawback of oat milk is that it lacks calcium, which is essential for the growth and development; therefore it is to be fortified with calcium during processing. Oat milk is available under various brand names such as Alpro (UK), Pacific (USA), Oatly (Sweden) etc. It is also available in tetra packs which is UHT (Ultra High Temperature) treated.
3.2.b Rice Milk
Rice is the consumed by nearly one-half of the world population as it is less allergenic food compared to others. Rice is available in different varieties based on their physical and biochemical properties [72]. Rice mainly contains starch (90%) but less protein content (10%) which lacks threonine and lysine [73]. The most notable is the pigmented rice (red, black, brown, dark purple), the colour is imparted by the Anthocyanins. Red rice contains proanthocyanidins, whereas black rice contains both anthocyanidins and proanthocyanidins [74]. Red rice is known to have a pleasant nutty flavor [75]. Rice milk can be an alternative to people allergic to soybean and almonds [76-77]. This coloured rice has antioxidant and anti-carcinogenic activities which may help in preventing diabetes, cardiovascular diseases, and cancer. Rice is widely accepted because it has no cholesterol, phytoestrogens, and lactose [78]. It contains sterols, essential oils, amino acids, flavones, phenolic, tannin, and tocopherols [79]. Brown rice contains tocotrienol, starch, oryzanol, and GABA (Gamma Amino Butyric Acid). As it is too hard, brown rice cannot be consumed as such. To overcome this, beverages made from “Rice slurry” is used instead of rice flour, it is named as “Rice Milk”. Wet stone milling is used to prepare rice slurry using brown rice. But rice milk lacks minerals and vitamins like calcium and B-12 [80-81].
3.2.c Barley Milk
Barley is an ancient crop in Middle East, Europe, northern Africa, and Asia. Barley was primarily used as animal fodder and for malting purposes [82]. Barley mainly contains beta glucan (which has nutraceutical properties) and phenolic compounds which are effective against diabetes and
cardiovascular diseases [83-84]. Barley has lost its prominence during 19th and 20th century due to the introduction of other crops like wheat and rice. However, because of the health benefits of barley, especially the beta glucan, food processing techniques have been improving to incorporate barley in various foods [85]. In western countries pearled / flaked / ground barley is used in soups, stews, and whole, pearled or ground barley is used in breakfast cereals. In North African countries ground pearled barley is used in the preparation of soups, porridge and flat bread [86].
3.2.d Corn milk
Maize is also known as Indian corn, sweet corn, sugar corn, pole corn or even just corn. Maize is one of the major food crops in India. Corn grains are rich in carbohydrates (starch) and sugar (sucrose) [87]. It also contains pentosan, and fiber but low protein with poor amino acid profile. Therefore, it should be supplemented with high grade protein like soybean. Soy-corn milk is highly preferable than the soy milk alone [88] in the ratio of 3:1 (soy milk: corn milk). The corn milk contains saturated fatty acids (palmitate and stearate) and unsaturated fatty acids (oleate and linoleate) which impart aroma and sweet taste to it. Corn milk attracts the health-conscious consumers as it has low cholesterol and saturated fat compared to the cow’s milk [89]. Corn grains can be processed into corn milk, corn milk powder, corn-yoghurt, corn flakes, etc. The combination of 80 % sugar and 0.3 % CMC (Carboxy Methyl Cellulose) is the best accepted formulation of sweetened condensed corn milk.
**Fig 7:** Benefits of plant-based beverages
3.3 Legume based
Legumes are highly nutritious and economical too. After cereals, legumes are a source of energy and protein in human diet. Legumes are rich in carbohydrates, vitamins, protein, minerals phytochemicals and fiber which protects against cancer and CVD. Minimum water is sufficient for legume cultivation than the cereals and used in crop rotation with cereals to control diseases and pests. Soybean, peanut, lupin and cowpea are the legume-based beverages used.
3.3.a Soy Milk
Soy milk is the most widely accepted non-dairy beverage alternative for the cow’s milk. Soy milk contains fiber, omega-3 fatty acids, magnesium, manganese and same amount of protein as that in a cup of cow’ milk. It also contains, Trans fat, MUFA and PUFA. Dry soybeans contain protein (40%), carbohydrate (35%), oil (20%) and ash (5%) [90-91]. The isoflavones present in it is effective against cardiovascular disease, cancer osteoporosis and phytosterol has cholesterol-lowering properties [92]. The most abundant isoflavone is Genistein which is biologically more active and exhibit anti-cancer properties [93-94]. The high acceptancy of soybean milk is due to the absence of cholesterol and lactose as that of cow’s milk, and because of high protein content, high nutritive value and is easily digestible. In addition to this it also contains phytic acid (anti-nutrient), which binds with some minerals and makes them unavailable for absorption. Above all it is fortified with vitamin D, A, B12 and also calcium during processing. But the major drawback of soy milk is its beany flavour and soy protein allergy which may cause flatulence [44, 95]. FDA approved health claim of soybean for lowering the risk of coronary heart disease in 1999, after which 2700 new products were introduced in the market [96]. Commercially it is available under the brand name Vitasoy (Hong Kong), Silk (USA), Alpro (UK), Tesco (UK) etc.
3.3.b Peanut milk
Peanuts are widely used by the low-income people in the developing countries as it is available at low cost. It is mainly used by the undernourished children, vegetarians and people allergic to cow’s milk [55]. Peanut milk is prepared using yellow peas which are milled into flour and the protein content is separated from starch and fiber. Then the protein is purified and fortified with other ingredients like addition of calcium (150% more than cow’s milk). Peanut mainly contains fats (49.6%), carbohydrates (21.5%), protein (23.8%), and fiber (8%) [97]. In addition, peanuts also contain phytosterols, minerals, vitamins, antioxidants, etc which helps to maintain blood sugar level, blood lipid level and provides protection against stroke, CVD and various cancers [98]. Peanuts contain many volatile compounds which are similar to soybeans [99]. Peanut milk and butter are rich in protein, minerals and fatty acids like linoleic and oleic acids [100]. Peanuts are rich in campesterol (198.3 mg/g) and stigma sterol (163.3 mg/g). Peanuts contain almost all 20 amino acids with rich in arginine [101]. But the drawback is its beany flavour to overcome this, many flavouring agents are added. Peanut allergy also sets back its use. It contains 8 peanut allergens namely *Arachis hypogaea* (Ara) h 1 to h 8 [102], among which h2 and h6 are the potent allergens [103]. Peanut also contain phytic acid (anti-nutrient) and insoluble fiber [104]. To improve the stability of the emulsion, gelatin, or alginates (1% by weight) may be added. Peanuts are available under the brand name Signs and wonder (USA), Sweety, etc. [44].
3.3.c Lupin milk
Lupin is widely cultivated in temperate climate zones like Russia, Poland, Australia, chile etc. Lupin is cost-effective compared to soybeans, which helps the poor economic people. Australia is the leading producer of lupin with annual production of one million metric tonnes. Australian sweet lupin (ASL) is the most popular lupin produced in Western Australia which are of the other two types (white lupin and yellow lupin). This Australian lupin has high protein content (29-44%), dietary fiber (30%) and fat (6%). ASL contains low glycemic index, so it can be used in fermented food products (Tempe, Meso), bakery products, pasta, noodles etc. Lupin milk is prepared by fortifying with methionine (0.1%) to
increase the nutritional value [21] and it is spray-dried at 170 °C to improve the storage life. Lupin is rich in protein (35-40% w/w), oil (11% w/w), unsaturated fatty acids (78% w/w), soluble fiber but no starch [105]. Lupin is widely used as animal feed, however, due to its nutritional benefits it is gaining importance as a beverage and it will be a major plant-based beverage in the future. In Europe in the recent year’s lupin is being used as an ingredient in human foods [106].
3.3.d Cowpea milk
The largest producer of cowpea in the world is the Nigeria, with 2.1 million tonnes. India leads its production in Asia. Seeds are a major source of dietary protein in most developing countries [107]. It contains carbohydrate (50–65%), protein (20-30%) and fat (2.71-2.96%) [108]. It is a good source of lysine and tryptophan but deficient in cystiene and methionine. It also provides adequate amount of mineral and vitamin [109]. Due to the presence of low fat it can prevent CVD by lowering the LDL levels [110]. The cowpea seeds contain lignan, which helps to prevent osteoporosis and certain cancers. Furthermore, Consumption of cowpea seed was found to reduce the risk of hypertension because of the presence of β-sitosterol [111].
3.4 Nut based
The consumption of dried fruits and nuts has become an essential part of healthy living owing to their potential health benefits. Nuts are rich in dietary fibber, vitamins and phytochemicals and low caloric content due to which it is widely consumed in recent years [44,46,92]. Commonly used nuts are almonds, coconut, cashew, hazelnut, pistachio, walnut etc.
3.4.a Almond milk
Almonds contribute to the largest share in total nuts consumption. In the recent years almonds are the most popular plant-based alternative to milk in North America and Australian beverage markets [112]. Almonds are rich source of vitamin E (alpha-tocopherol), which is a powerful antioxidant which protects against free radical reactions [113] and high protein content (25%) majorly in the form of amandin [114]. Almonds also contain nutrients like manganese, magnesium, phosphorus calcium, potassium, selenium, zinc and copper [115-116]. It is also rich in MUFA which helps to lower the LDL levels [117]. Apart from these almonds contain arabinose (cell wall pectic substance) which reduces the serum cholesterol level. But during processing the protein content is strained out along with the pulp, which reduces the protein content to only 1 g per 8 oz. cup but in cow’s milk it is 8 g. The other limitation is its tree nut allergy and high cost limits its use as a beverage [92]. Almond milk is commercially available under brand names Alpro (UK), Pacific (USA), Silk (USA), Pure harvest (Australia), Hiland (USA), Almond breeze (USA) etc.
3.4.b Coconut milk
Coconut milk plays an important role in the south East Asian cuisine [118]. It is not only consumed as a beverage but used as an ingredient in number of sweet and savoury recipes. Coconut milk is rich in fat content which is used as a thickening agent in the curries [44]. It is also a good source of fiber, vitamins and minerals such as iron, calcium, potassium, magnesium and zinc. It is rich in antioxidants such as vitamin E which helps fighting against ageing. It is also rich in vitamin C and E [119]. The use of coconut milk is associated with health benefits such as anti-carcinogenic, anti-microbial, anti-bacterial, and anti-viral. The coconut milk contains Lauric acid (as that present in mother’s milk) which promotes the development of the brain, [120], boosts the immune system and also maintains the elasticity of the blood vessels. The consumption of coconut milk increases the HDL levels, which in turn helps to reduce the harmful LDL levels [121]. The various components present in it also affects the growth cells [122-123]. Coconut milk consumption is rarely associated with allergic reactions. Other benefits of coconut milk includes: helps in digestion, nourishes skin and has cooling properties. The main drawback of coconut milk is the presence of the saturated fat, which limits its consumption and the nutritional value is reduced if the storage time is exceeded [124]. It is available under brand names, Blue almond (USA), Alpro (UK), Silk (USA) etc.
3.4.c Cashew Milk
Cashews are preferred for their taste and rich creamy texture with no saturated fat or cholesterol (only 60 calories per cup). They are rich in protein content (23%), lipids (44%), MUFA and PUFA [125-126]. Cashew milk is prepared by water-soaked cashews which is blend with water. Like almond milk, cashew milk also losses its vitamins, minerals and protein content during straining which can be regained through fortification [127]. Fortified cashew milk are 50% rich in calcium than cow’s milk and also rich in vitamin D and E. It may boost immunity and improve heart, eye, and skin health [92].
3.4.d Tiger nut
Tiger nuts is an edible perennial grass like plant that belongs to the old world, it is also known as earth almond, ‘chufa’ (in Spanish), earth nut, yellow nut, sedge, groundnut, rush nut, edible galangale and nut grass [128-130]. The tiger nut plant produces sweet, nutlike tubers which are energy dense [131]. Tiger nuts are rich in sugar, protein, fatty oil, fiber and in minerals such as sodium, calcium, potassium, phosphorus, magnesium, zinc, traces of copper, vitamins E and C [130-133]. Their fatty acid profile is similar to olive and hazel nuts [131,134-135]. Tiger nuts have anti-inflammatory properties [133]. It is an underutilized tuber in many parts of the world but is used to prepare a cold beverage called Horchata in Spain [132]. Tiger nuts are suitable for people with diabetes, digestive disorders and cardiovascular diseases [131]. Tiger nuts are a popular snack in Ghana. They are either eaten raw, roasted or the milk from the nuts is boiled into porridge. They can also be ground to make beverages [136]. They can be processed into flour for baking [135]. Tiger nut milk is the aqueous extract obtained from the tiger nut tubers [137]. Tiger nut milk is made up of 0.91% protein, 0.25% ash, 3.09% fat and 1.03% dietary fibre [120]. It is available under the brand name, Chufi (Spain), Isola Bio (UK), Amandin (Canada).
3.4.e Hazelnut milk
Hazelnut has a unique flavour and highly nutritious [138]. It is consumed all over the world as bakery, dairy and chocolate products. Hazelnut milk is produced by hazelnut cake which is cold pressed and homogenized at 150 MPa pressure. Different 17 hazelnut varieties are compared with other nuts and showed that it progressively enhances the human health [139]. It is noted that if the hazelnut is consumed 5 times a week, it reduces the 50% risk for CVD [140]. Hazelnuts are rich source of minerals like manganese and copper and vitamin E (antioxidant) [141] and high content of omega-6, omega-9 fatty acids. The vitamin E helps to increase the antioxidant activity. They are known to reduce the blood sugar level, blood lipid level and high blood pressure. Hazelnut milk is usually fermented with kefir grains. However, the potential benefits of hazelnuts are to studied and proved yet. The drawback is, it
may be allergic to some people. Above all hazelnuts are an excellent source of nutrients and can be used in our diet.
3.4.f Pistachio milk
Pistachios are the most nutritious nuts in the world. It contains many nutrients like vitamin E, B6, and K, copper, phosphorous, omega-3 fatty acid, magnesium, calcium, lutein, phytosterol, dietary fiber [142-146]. It is also rich in protein, fat, carbohydrates, water, and minerals as that of almonds, peanuts and sesame seeds [147-150]. It is a good alternative for the people with lactose intolerance and milk protein allergy. It also has some health benefits like it reduces the serum lipid levels and bad cholesterol, CVD, diabetes and gall stone [142,146, 151-153]. Pistachio milk is prepared by soaking the pistachios, milling, centrifugation, homogenisation, clarification and pasteurisation process. The most accepted formulation is the combination of 5% sugar, 0.02% vanilla, 0.0% salt.
3.4.g Walnut milk
Walnut is one of the most widely cultivated nuts in the world. It is well known for its nutritional, health and sensory attributes. It is consumed as whole nuts or used in many confectioneries. Researchers are trying to ferment walnut with LAB (Lactic Acid Bacteria) to produce walnut-milk based beverages [154]. Usually Kefir grains are used to ferment walnut-milk [155-158]. Walnut is mainly used with soybeans to produce soy-walnut milk, which is very popular than the soy milk alone. Soy and walnut milk can be blend in various proportions (10:90, 30:70, 50:50) [159]. But the soy-walnut milk produced from 10% un-malted and 30% malted soymilk was most preferred by the consumers. Soy-walnut milk can solve the problem of protein malnutrition and micronutrient deficiency.
Table 1: Brand names of commercially available plant milks
| Plant milk | Brand name | Country |
|----------------|------------------|-----------|
| Oat Milk | Alpro | UK |
| | Pacific | USA |
| | Oatly | Sweden |
| | Pureharvest | Australia |
| | Bioavena drink | Italy |
| | Simpli | Finland |
| | Vitasoy | Hong Kong |
| Soy milk | Vitasoy | Hong Kong |
| | Silk | USA |
| | Alpro | UK |
| | Tesco | UK |
| Peanut milk | Signs and wonder | USA |
| | Sweety | |
| Almond milk | Alpro | UK |
| | Pacific | USA |
| | Silk | USA |
| | Pure harvest | Australia |
| | Hiland | USA |
| | Almond breeze | USA |
| | 365 | USA |
| Coconut milk | Blue almond | USA |
| | Alpro | UK |
| | Silk | USA |
| | Pacific | USA |
| Tiger nut | Chufi | Spain |
| | Isola Bio | UK |
| | Amandin | Canada |
| Sesame milk | Vegemil | South Korea|
| | Ecomil | Ecomil |
3.5 Seed based
Seed-based milks are gaining importance in recent years due to their nutrient composition and health benefits. Commonly used seeds are sesame, flax, hemp and sunflower.
3.5.a Sesame milk
Sesame is one of the important seed-based beverages used in the world. It is considered to be present since 1600 B.C. [160]. Popular as ‘queen of oilseed’ is also known with certain other names in different parts of world such as gingelly (India), benni seed (Africa), benne (Southern United States), gengelin (Brazil), and tila (Sanskrit). Sesame plant is majorly produced for its invaluable oil as it procures number of health and therapeutic properties [161]. The presence of natural antioxidants and certain bioactive compounds like sesamin, sesamolin, and tocopherols homologues makes it highly resistive to oxidation and rancidity, thus elevating keeping quality of the oil [160]. It is also been evidenced to procure anti-oxidative, anti-cancer, anti-hypersensitive, anti-immunoregulatory actions. Beside this it also acts to escalate taste and flavor of various food products [161]. On examining the chemical composition of the plant, it is observed to have oil content ranging from 50-60% followed by 18-25% protein, 13-14% carbohydrate and 5% of the ash content. This composition itself confirms that it is rich source of oils and fats. Not only rich in major nutrients it is also significant in trace materials like phosphorus, iron, magnesium, calcium, manganese, copper and zinc [160]. Sesame milk consumption can overcome the allergies and beany flavour of soybeans [162]. It also contains oxalates and phytates (anti-nutritional factors) [18]. But the oxalates are removed during decortication as it is present in the outer hull. As sesame proteins are salt soluble, they are susceptible to heat denaturation, which limits its use in the preparation of plant-based milk. Therefore, sesame protein must be modified before its use [163]. Sesame milk is sold under the brand name Vegemil (South Korea), Ecomil (Spain) etc.
3.5.b Flax milk
Flaxseed, popular as Linseed is also named as Alsi, Jawas, Aksebija, in several parts of India belongs to the family of Linaeaceae. The blue flowering Rabi crop is believed to be native of Eastern Mediterranean, extending itself to Western Asia, and the Middle East to India [164]. Flaxseed is majorly used for industrial purpose for extraction of its edible oil that is being utilized in production of natural health products [165]. Traditionally, flaxseed is being reported to be used in paints and coatings, printing inks, soaps, core oils, etc but the presence of significant bioactive compound like linolenic acid, linoleic acid, and lignans make it useful for medicinal and therapeutic purpose [165]. In recent researches it is being proved to procure anti-tumoral and anti-inflammatory properties and also effective in treatment of cardiovascular diseases, various cancers and diabetes [166]. On examining the chemical composition of flaxseed, it was observed to be very rich source of fat accounting up to 41% followed by total dietary fiber content constituting about 28%, with 20% protein content and 3.4% of the ash constituents. Utilization of the flaxseed is new to food prospect because of increasing awareness among consumer towards functional food. Because of presence of effective bioactive component, it is now being used for the preparation of certain salad dressings, food additive, and substitute for milk [166]. Flax milk is low in proteins and calories (25 kcal/cup unsweetened) compared to
that of almonds. It also contains omega-3 fatty acids (1200 mg) and phytoestrogens. Flax milk is prepared by cold-pressed flax oil with water, emulsifiers and thickeners. The pros and cons of this flax milk are yet to be proved. It is being researched extensively.
3.5.c Hemp milk
Hemp milk is highly suitable for the people with gluten allergy, or who are on starch-limited diet or must avoid oligosaccharides. Hullled seeds of hemp plant are used to prepare the hemp milk, which has an earthy taste that may be masked by the addition of vanilla and sweeteners. Other products like flour, oil and protein powders are prepared from hemp seeds [167]. Hemp seeds are richest source of PUFA such as α-linolenic acid and linoleic acid. Cannabidiolic acid (CBDA) is the most predominant bioactive constituent present in it [168]. It contains all essential amino acids, lipids (25-30%), proteins (20-25%), fibers (10-15%), carbohydrates (20-30%), vitamin E (90 mg-100 gm), minerals and fatty acids like omega-6 and omega-3 fatty acids (3:1 ratio) [169]. Hemp milk is highly unstable; hence emulsifiers or stabilizers are added to overcome this.
3.5.d Sunflower milk
Sunflower seed milk is more sustainable compared to almonds and cashews as it requires less amount of water to produce. Sunflower seeds are rich in magnesium, selenium and vitamin E. But the limitation is its earthy taste, to overcome this it is fortified with some sweeteners and vanilla extract. Sunflower seed milk is prepared by lactic acid fermentation [170]. It is superior in taste and stability. It is rich in linolic acid and α-tocopherol.
3.6 Pseudo-cereal based:
Pseudo-cereals are rich in high-quality protein, minerals, carbohydrates and fiber than the cereals Quinoa and amaranth have good health benefits but rarely used [171]. As they do not contain gluten as most other cereals, they are used to prepare gluten-free products [172]. Quinoa is the only pseudo-cereal which contains all the essential amino acids [173].
3.6.a Buckwheat:
It was originated from central and European countries; due to its high nutritive value it is now gaining prominence in other countries also [174]. Common (Fagopyrum esculentum Moench) and tartary (Fagopyrum tataricum Gaertn) buckwheat are mostly used as a source for bioactive compounds [175-176]. Buckwheat is very rich in starch (59-70%) in which amylose and amyllopectin are found in equal amounts, lipids (1.5-4%), dietary fiber (7%) of the dry mass [177]. Salt-soluble globulins are the main proteins present in the buckwheat seed. These proteins have same content of all amino acids as that present in wheat. Important amino acids present are glutamic acid, aspartic acid arginine and lysine (2.5 times higher than wheat flour). The fatty acids present are linoleic acid, oleic acid and palmitic acid accounts for 88% of total fatty acids [178]. Buckwheat is rich in all the important minerals than many cereals except for the calcium [179]. It has high concentration of tannins and flavonoids (rutin). Rutin is a flavanol glycoside which acts as an antioxidative, anti-inflammatory and anti-carcinogenic agent and can reduce the hypertension also helps in haemorrhagic disease by reducing the fragility of blood vessels. [180-181]. It also contains orientin, vitexin, quercetin, isovitexin and isoorientin [181]. Unhulled buckwheat is used than the hulled as it is more advantageous. Absence of gluten (gliadin and glutenin) in buckwheat is the reason for its use in gluten-free products [182-183].
3.6.b Quinoa milk
Quinoa is rich in protein content which may vary from 8% - 20% which is higher than that present in wheat, oats, rice etc [184]. It contains all the essential amino acids required by the body with highest content in lysine (which is not abundantly found in other vegetables) (4.5-7.0%) [185] and methionine [184]. Quinoa is also rich in fatty acids like oleic acid, palmitic acid and linoleic acid. The quinoa is referred to as a pseudooilseed and it has a well-balanced protein and fat content. The polyphenols present are mainly kaempferol and quercetin glycosides [186]. Quinoa (whole seeds) also contains between 0.03 and 2.05% of bitter tasting saponins [187] and 0.1-1.0% phytic acid [188]. It helps to lower CVD and type-2 diabetes [189]. Quinoa is a good source to people with gluten allergy or celiac disease [184] and it can be used as an alternative to other cereals [190].
3.6.c Teff milk
Teff milk is high nutritious and gluten free cereal [191] makes it an alternative for wheat and other gluten containing cereals. It contains high fiber and good amino acid profile equivalent to egg in its nutritional value [192-193]. It is very rich in calcium which helps to reduce osteoporosis, weakening of teeth and skeleton etc. The unique quality is its antioxidant activity which helps to control many diseases. The high carbohydrate content, malt quality, high germinative energy and lack of gluten makes it suitable raw material for brewing industries for preparation of gluten free beverages. The major drawback of gluten-free cereals is its inferior taste which fails its acceptance by many people [194]. However, use of teff grain with falling number higher than 250 seconds at the moment of grinding solves these problems [195]. Teff as a food is mainly used in some countries like Netherlands, Ethiopia, and North America etc. In the future days no doubt it will be introduced to other parts of the world due to its nutritious properties.
3.6.d Amaranth milk
Amaranth is a nutritious and gluten-free grain which is best suited for people with celiac disease (gluten allergy). Both grain ad leaves are used for human and animal food [196-197]. It is very rich in protein, fiber, calcium, iron, phosphorous, sodium, manganese, magnesium [198-202]. Amaranth also contains many antioxidants like vanillic acid, gallic acid, and p-hydroxy benzoic acid, which protects against many diseases. It helps to reduce the total and LDL cholesterol levels. The high protein and fiber content present in it help to reduce the appetite which in turn helps in the weight loss. Amaranth seeds contain polyphenols like rutin, nicotiflorin and isoquercetin and with some amides and phenolic acids. It contains amino acids like tryptophan, methionine and lysine [203]. Aqueous extracts of amaranth show anti-fungal, antimalarial and anti-diarrheic properties; whereas, methanolic extracts of amaranth shows anti-diabetic, anti-helminthic and anti-hyperlipidemia properties. In the recent years, amaranth has gained prominence due to its high grain yield, short production time and resistance to drought [204]. Some research says that nutritional value of amaranth grain improves during cooking [205-206].
3.7 Fruits and Vegetable Juices
Fruits and vegetables are widely accepted by the people of all ages as it is non-allergenic and healthy as it contains various antioxidants, phytochemicals, vitamins, minerals and dietary fibers [207]. Unlike dairy products the lack lactose, allergens and cholesterol. They are healthy, and have appealing flavour and taste which attracts more people [208]. Fruits and vegetable juices are fermented with microorganisms to make it an ideal functional beverage. They are rich in vitamins, minerals, dietary fibers, and antioxidants. To improve the desired flavour and to enrich with some metabolites, it is fermented with LAB (Lactic Acid Bacteria). Different strains of LAB are used for different fruits like: Lactobacillus casei, L. rhamnosus, L. paracasei for orange, cranberry and pineapple juices, L. plantarum for mango juice, L. acidophilus, L. casei, L. delbrueckii, for tomato juice etc. [209]. Among vegetables potato milk is gaining prominence in recent days.
4. Conclusion
Over the last decade, CM consumption per capita has progressively decreased along within creased availability and consumption of plant-based beverages. Non-dairy beverages continue to show an increasing sales trend in westernized counties because foods labelled as natural are perceived to be the healthiest and appropriate nutritional choice by most consumers. The nutritional profile of each type of “milk” depends not only on the plant source, but also the manufacturing process and the degree of fortification. These factors are especially important when considering the protein, vitamins, minerals, and sugar in each serving. The non-dairy beverages are usually fortified with calcium, vitamin D and other nutrients to cope up the loss during the manufacturing process. Therefore, it is the responsibility of the consumers to be aware of these plant-based beverages to replace it with the cow’s milk.
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188. Chauhan GS, Zillman RR, Eskin NM. Dough mixing and breadmaking properties of quinoa-wheat flour blends. International journal of food science & technology. 1992; 27(6):701-705.
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191. Hoppman E, Dekking L, Blokland ML, Wuisman M, Zuijderduin W, Koning F et al. Tef in the diet of celiac patients in The Netherlands. Scandinavian journal of gastroenterology. 2008; 43(3):277-282.
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208. Panghal A, Janghu S, Virkar K, Gat Y, Kumar V, Chhikara N. Potential non-dairy probiotic products—A healthy approach. Food bioscience. 2018; 21:80-89.
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A Construction Marathon
Field Crews Hustle to Finish Groundwater Cleanup Actions
By Lonnie Duke
Travis Environmental Project Manager
In the July 2015 Guardian, we described the preparation needed to allow environmental construction work to take place on Travis AFB. In summary, it takes a lot of coordination to ensure that a field team can start their field activities once they arrive on base. Without diligent preparation and careful planning, a drill rig will sit idly until the team receives permission to drill its first boring.
With the preparation behind us, we had a lot of work to do to implement the groundwater cleanup strategies that had been negotiated between the Air Force and environmental regulatory agencies. Basically, the field work can be divided into three categories.
**Tried and True Technology**
The U.S. Environmental Protection Agency considers engineered technologies, such as groundwater extraction and treatment (a.k.a., “pump and treat”), to be effective at stopping the flow of contaminated water into clean areas and reducing contaminant concentrations. Travis AFB has successfully used pump and treat for over 13 years, and a part of the field work involved the improvement of pump performance and the connection of new extraction wells to existing treatment systems.
**Innovation Application**
In 2014, the Air Force and regulatory agencies approved the use of Emulsified Vegetable Oil (EVO) injections, an innovative biolA RAB Rejuvenation
Back in April, I put out a call for new members for the Travis Restoration Advisory Board, a group of interested community members that has been supporting the base Environmental Restoration Program for over 20 years. Thanks to the support of local leaders, as well as a little encouragement from our public affairs officer, Merrie, the Travis RAB roster is now much larger. You can read more about the purpose and need for our RAB by clicking on the following link to the April 2015 Guardian (http://www.travis.af.mil/shared/media/document/AFD-150813-039.pdf) and reading my Viewpoint.
This addition of new RAB members comes at a great time. We still have cleanup decisions to make, so the feedback from an expanded group of professionals will be welcome. Also, a larger RAB membership will increase Travis’ exposure to the community and offer more opportunities for community members to learn about the progress we are making to clean up the environment. In fact, this exchange of information and ideas is the most important service that an individual RAB member can provide. Many of the new RAB members serve on other boards, which gives them a greater understanding of local concerns and more avenues to communicate with our neighbors. A knowledgeable, involved and vocal RAB is an effective RAB.
I have already met with most of the new members to describe the Travis restoration program and to give them an idea of what the future holds for them. As I write this Viewpoint, I look forward to taking the new members on a base tour so that they can see firsthand the cleanup technologies that we use and the challenges that we still face. It is easier and more fun to show the fruit of our labor on a tour than to describe cleanup progress in some conference room with slide presentations.
One comment I heard from several new members is the concern that they do not have an extensive technical background, so they were not sure what they could contribute to the Travis AFB restoration program. Ironically, I have always considered the diverse education and experience levels of our members to be a considerable strength of the RAB. If I need a technical expert or scientist that is not on the RAB, I can always acquire the needed services from the Air Force Civil Engineer Center or an environmental contractor. However, if I need to translate challenging technical concepts into easy-to-understand ideas that non-scientists can understand, I turn to a non-technical member. If I cannot communicate with a RAB member, I certainly will not have much success with other community members.
Next month, we officially meet with the “New – Larger Size” Travis RAB for the first time, during which we will present more background history to describe the amount of cleanup we have achieved to date and the current technical strategies that we are using to complete the cleanup tasks. It is likely this meeting will be educational to both the new members and my staff, because RAB members bring with them fresh and different perspectives and often ask questions that we have not even considered. When that happens, one can easily see the value that a RAB offers.
If you would like to read the types of questions that RAB members ask (and how we answer them), you can find them in previous RAB meeting minutes. Once the RAB approves the minutes of a previous meeting, we publish them on our library website (http://www.travis.af.mil/enviro/library/index.asp).
In the next couple of Guardians, we will introduce you to the new RAB members so that you know who to contact with questions and concerns. As always, if you have a question or concern that you want to have addressed sooner, you can send an email to our public account at the following address: email@example.com. We check our inbox routinely through the week and respond to incoming messages as promptly as possible.
Technology-based strategy that was proven to be effective at Travis AFB, to complete the cleanup of our most challenging groundwater sites. The Travis AFB Groundwater Proposed Plan (http://www.travis.af.mil/shared/media/document/AFD-121010-034.pdf) describes this strategy and where we are applying it. What it doesn’t describe is the amount of effort needed to get the EVO into the ground. The subsurface soil beneath the base has a high clay content, and the injection pressure has to be carefully monitored to prevent the EVO from “daylighting” (squirt through cracks to the surface). Daylighting wastes vegetable oil and creates a non-hazardous sticky mess that has to be cleaned up. Fortunately, our engineers injected almost all of the EVO into the subsurface where it could do the most good.
More Studies
EVO injections can achieve cleanup levels at a contaminated groundwater site in a green and sustainable manner, but this is still an innovative approach, and we have yet to learn how to get the most cleanup out of every gallon of EVO. So, we are conducting three demonstration projects to identify the best way to distribute EVO throughout a solvent plume without having to install a large number of injection wells. These demonstrations are taking place at sites with established extraction systems, and the idea is to encourage the recirculation of EVO between an extraction well and specialized EVO injection points, such as gravel chimneys and infiltration trenches. If successful, we will be able to create large solvent treatment zones without having to install large numbers of injection wells and supporting infrastructure.
One demonstration takes place in an industrial part of the base with buried utilities that limit where treatment infrastructure can be placed. A second demonstration is located in an open field that is covered with protected wetlands and the potential home of protected species, such as the California Tiger Salamander. The challenge is to use existing extraction wells to set up a groundwater treatment cell while avoiding adverse impacts to protected areas. To accomplish this, the field team uses a wildlife biologist to oversee the project. The third demonstration will determine the maximum length that an EVO treatment zone can be extended in an area with few industrial or environmental restrictions. By evaluating the results of these three demonstration projects, the field team hopes to use the lessons learned to optimize all EVO cleanups on the base.
Throughout the summer, the field team faced multiple challenges that could have impeded progress:
- Sample collection near one runway required an Airfield Waiver and the temporary shutdown of the runway over Labor Day to not interfere with the base mission.
- Triple digit temperatures and strong winds increased emphasis on worker safety and fire prevention.
- A fast-moving brushfire along the southern base boundary caused minor damage to extraction pump wiring that had to be quickly repaired.
In fact, the field work schedule resembled a challenging game of leapfrog. Each construction task required the services of multiple specialists, and each service was performed in a specific sequence. First, a biologist cleared the area for work, ensuring that no protected species were impacted. Then, an air knifing crew removed the surface soil down to five feet to ensure that no utilities blocked the drilling location. Next, the augur rig crew drilled and properly built the new well. Then, a well development team removed water from the well to ensure the well is working as designed. And finally, the sample collection team collected a groundwater sample from the new well to send to the laboratory for analysis. Each week, field crews bounced from one site to another, fulfilling their part of the construction process and moving on to the next assignment. While much of this scheduling quietly took place in the background, the timing had to be perfect to keep every team member busy.
All in all, it has been a busy construction season, and it is not over yet. Once the winter rains arrive, work in open fields will stop to avoid damage to wetlands as well as stuck heavy equipment, so it is a race against time to complete as much field work as possible. By the end of 2015, we will have a better description of this year’s accomplishments and the amount of work that is scheduled for the 2016 construction season.
Meeting Agenda
6:30 - 7:00 p.m. Open Forum:
The open forum allows RAB and community members to discuss ongoing Travis AFB restoration program activities with the Travis AFB environmental staff on a one-to-one basis.
7:00 - 9:00 p.m. RAB General Meeting
I. Welcome and Introductions
• Introduction of new Board Members
II. Approval of Minutes
III. Additional Agenda Items and Questions
IV. Discussion Topics
• Performance Based Contracts and Funding
Break
V. Cleanup Program Status
• 2015 Field Work Report
VI. Regulatory Agency Reports
VII. Focus Group Reports
VIII. RAB/Public Questions
IX. Set Time and Place for Next RAB Meeting
X. RAB Member Photo Session
Adjourn
Travis AFB Restoration Advisory Board Meeting
November 5, 2015
8 p.m.
Northern Solano County Association of Realtors
3690 Hilborn Road
Fairfield, CA
Location of Information Repositories
Vacaville Public Library
1020 Ulatis Drive
Vacaville, CA 95688
(707) 449-6290
Monday-Thursday: 10 a.m. - 9 p.m.
Friday-Saturday: 10 a.m. - 5 p.m.
Sunday: 1 p.m. - 5 p.m.
Fairfield-Suisun Com. Library
1150 Kentucky Street
Fairfield, CA 94533
(707) 421-6500
Monday-Thursday: 10 a.m. - 9 p.m.
Friday-Saturday: 10 a.m. - 5 p.m.
Sunday: 1 p.m. - 5 p.m.
Mitchell Memorial Library
510 Travis Boulevard
Travis AFB, CA 94535
(707) 424-3279
Monday-Thursday: 10 a.m. - 9 p.m.
Friday: Closed
Saturday: 12 p.m. - 6 p.m.
Sunday: 12 p.m. - 6 p.m.
For more information about Travis AFB’s restoration program, please contact:
Mark Smith
Restoration Program Manager
Travis AFB
(707) 424-3062
firstname.lastname@example.org
Nadia Burke
EPA Remedial Project Manager
(415) 972-3187
email@example.com
Ben Fries
DTSC Remedial Project Manager
(916) 255-3667
firstname.lastname@example.org
If you would like more information or need special accommodations for the RAB meeting, please contact Mark Smith, (707) 424-3062.
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NTSB Recommendations from Silver Spring, MD Incident
Pennsylvania Public Utility Commission
September 10, 2020
An explosion and fire occurred on August 10, 2016 at 11:51 pm EST at an apartment complex located in Silver Spring, Maryland.
Before
Incident
14 units in the apartment building partially collapsed due to a natural gas-fueled explosion and fire
Incident
7 residents died
65 residents were transported to the hospital
3 firefighters were transported and released from the hospital
The failure of an indoor mercury service regulator with an unconnected vent line that allowed natural gas into the meter room where it accumulated and ignited from an unknown ignition source.
What is a Mercury Regulator?
Mercury Regulators
- Top cover
- Vent
- Outlet
- Body
- Mercury reservoir
- Inlet
Mercury Regulator Cutaway
- VENT
- EXTENDS OUTDOORS
- SPRING
- DIAPHRAGM PLATE
- DIAPHRAGM
- OUTLET
- HOUSELINE
- ORIFICE
- MERCURY CUP
- LINKAGE
- VALVE SEAT
- INLET
- MERCURY
Incident Cause
The actual photo of the unthreaded union.
Enforcement Implications
- Subpart D – Design of Pipeline Components
- Subpart H – Customer Meters, Service Regulators, and Service Lines
- Subpart I – Requirements for Corrosion Control
- Subpart M – Maintenance
- Subpart P – Distribution Pipeline Integrity Management (DIMP)
49 CFR 192
192.199(d)(e)(f) Design of Relief
192.353(a)(b)(c) M&R Location
192.355(b)(1)(2) M&R Protection
192.357(d) M&R Installation
192.481 Atmospheric Corrosion
192.723 Leak Survey
192.199 Requirements for design of relief and limiting devices
(d) Have support made of noncombustible material;
(e) Have discharge stacks, vents, or outlet ports designed to prevent accumulation of water, ice, or snow, located where gas can be discharged into the atmosphere without undue hazard;
(f) Be designed and installed so that the size of the openings, pipe, and fittings located between the system to be protected and the pressure relieving device, and the size of the vent line, are adequate to prevent hammering of the valve and to prevent impairment of relief capacity;
192.353 (a)(b)(c) Customer meters and regulators: Location
Requires each service regulator to be located in a readily accessible location, protected from corrosion and other damage, and that if service regulators are installed in a building they must be located as near as practical to the service line entrance to the building.
Location 192.353 (a)
Gas service regulators must be installed in readily accessible location.
Location 192.353 (c)
Inside meter must be not less than 3 feet from any source of ignition.
Location 192.353 (c)
Each meter installed within a building must be located in a ventilated place.
192.355 Customer meters and regulators: Protection from damage.
(a) Protection from vacuum or back pressure. If the customer's equipment might create either a vacuum or a back pressure, a device must be installed to protect the system.
(b) Service regulator vents and relief vents. Service regulator vents and relief vents must terminate outdoors, and the outdoor terminal must -
Protection 192.355 (b)
Service regulator vents and relief vents.
MUST terminate outdoors
Protection 192.355 (b) (1)
MUST
Be rain and insect resistant
Protection 192.355 (b) (2)
MUST
Be located at a place where gas can escape freely into the atmosphere and away from any opening into the building.
Protection
192.355 (b) (3)
Vents either service regulators or reliefs, MUST
(3) Be protected from damage caused by submergence in areas where flooding may occur
192.357 Customer meters and regulators: Installation.
(a) Each meter and each regulator must be installed so as to minimize anticipated stresses upon the connecting piping and the meter.
(b) When close all-thread nipples are used, the wall thickness remaining after the threads are cut must meet the minimum wall thickness requirements of this part.
(c) Connections made of lead or other easily damaged material may not be used in the installation of meters or regulators.
(d) Each regulator that might release gas in its operation must be vented to the outside atmosphere.
Installation 192.357 (d)
Requires regulators that might release gas to be vented to the outside atmosphere
192.481 Atmospheric corrosion control: Monitoring.
(a) Each operator must inspect each pipeline or portion of pipeline that is exposed to the atmosphere for evidence of atmospheric corrosion, as follows:
Onshore - At least once every 3 calendar years, but with intervals not exceeding 39 months
(b) During inspections, the operator must give particular attention to pipe at soil-to-air interfaces, under thermal insulation, under disbonded coatings, at pipe supports, in splash zones, at deck penetrations, and in spans over water.
(c) If atmospheric corrosion is found during an inspection, the operator must provide protection against the corrosion as required by § 192.479.
192.481 Atmospheric corrosion control: Monitoring.
Perform Every 3 years, Not To Exceed 39 months for inside and outside piping up to the outlet of the meter.
192.723 Distribution systems: Leakage surveys.
a) Each operator of a distribution system shall conduct periodic leakage surveys in accordance with this section.
(b) The type and scope of the leakage control program must be determined by the nature of the operations and the local conditions, but it must meet the following minimum requirements:
(1) A leakage survey with leak detector equipment must be conducted in business districts, including tests of the atmosphere in gas, electric, telephone, sewer, and water system manholes, at cracks in pavement and sidewalks, and at other locations providing an opportunity for finding gas leaks, at intervals not exceeding 15 months, but at least once each calendar year.
(2) A leakage survey with leak detector equipment must be conducted outside business districts as frequently as necessary, but at least once every 5 calendar years at intervals not exceeding 63 months. However, for cathodically unprotected distribution lines subject to § 192.465(e) on which electrical surveys for corrosion are impractical, a leakage survey must be conducted at least once every 3 calendar years at intervals not exceeding 39 months.
192.723 Distribution systems: Leakage surveys.
- Detector mandatory
- Required for inside and outside piping up to the outlet of the gas meter.
- Business districts – **1 year, not to exceed 15 months**
- Outside business districts
- **5 years** not exceeding 63 months for plastic and cathodically protected lines;
- **unprotected distribution lines every 3 years** not exceeding 39 months.
While doing those surveys...
For Inside meter and regulators why not:
• perform required atmospheric corrosion inspections (192.481)
• perform visual inspections of the meter and regulator which includes the interior and exterior vent piping
Enforcement Implications - DIMP
• 192.1007(a) – Knowledge: Do you know the location, type, maintenance, and leak call history of ALL your system’s inside meter sets? Can you demonstrate this to an inspector?
• 192.1007(b) – Identify Threats: “An operator must consider reasonably available information to identify existing and potential threats. Sources of data may include, but are not limited to, incident and leak history, corrosion control records, continuing surveillance records, patrolling records, maintenance history…”
• NOTE: It’s not just YOUR system’s incident history! NRC 1155909 (Silver Spring) has put the entire gas distribution industry on notice with respect to indoor meter sets as a system integrity risk.
Enforcement Implications – DIMP (cont.)
• 192.1007(d) – Identify and Implement Measures to Address Risks:
• Address the possible need for specific measures to address sub-categories of inside meter set risks, e.g., meter types, multi-unit buildings, special venting issues, etc.
• Special/Accelerated AC & Continuing Surveillance Patrols
• Vent testing/Replacement/Move out Programs
• “Red tag” and shut-in as an explicitly considered option to remove risk
• Others?
• 192.1007(f) – Periodic Evaluation and Improvement: “An operator must re-evaluate threats and risks…”. If you haven’t re-evaluated your DIM program with respect to Silver Spring and other incidents – WHY NOT?
Considerations when installing and inspecting inside service regulators
- Service Pipe to Meter
- Insulated Fitting
- Service Regulator Vent
- 12" Min
- Shut-off Valve
- Service Regulator
- Shut-off Valve
And now Sunil Patel...
NTSB Recommendations
To PHMSA
• Require that all new service regulators be installed outside occupied structures.
• Require existing interior service regulators be relocated outside occupied structures whenever the gas service line, meter, or regulator is replaced. In addition, multifamily structures should be prioritized over single-family dwellings.
NTSB Recommendations
To MD, VA, DC
• Replace mercury service regulators
To Washington Gas
• Replace Mercury Regulators
• Revise procedures and field forms to require technicians to verify the integrity of vent lines
Make Sure All Piping Inside a Structure is Connected
§ 59.33. Safety.
(a) Responsibility. Each public utility shall at all times use every reasonable effort to properly warn and protect the public from danger, and shall exercise reasonable care to reduce the hazards to which employees, customers and others may be subjected to by reason of its equipment and facilities.
§ 59.18. Meter, regulator and service line location.
(a) General requirements for meter and regulator location.
(1) Unless otherwise allowed or required in this section, meters and regulators must be located outside and aboveground.
(8) Meters and service regulators may not be installed in the following locations:
(i) Beneath or in front of windows or other building openings that may directly obstruct emergency fire exits.
(ii) Under interior stairways.
(iii) Under exterior stairways, unless an alternate means of egress exists and the meter and service regulator are installed in a well-ventilated location under stairs constructed of noncombustible material.
(iv) A crawl space.
(v) Near building air intakes under local or State building codes.
(vi) In contact with soil or other potentially corrosive materials.
§ 59.18. Meter, regulator and service line location. (continued)
(8) Meters and service regulators may not be installed in the following locations:
(i) Beneath or in front of windows or other building openings that may directly obstruct emergency fire exits.
(ii) Under interior stairways.
(iii) Under exterior stairways, unless an alternate means of egress exists and the meter and service regulator are installed in a well-ventilated location under stairs constructed of noncombustible material.
(iv) A crawl space.
(v) Near building air intakes under local or State building codes.
(vi) In contact with soil or other potentially corrosive materials.
§ 59.18. Meter, regulator and service line location. (continued)
(g) Application of regulation.
(1) Beginning September 13, 2014, utilities shall comply with this section for new meter, regulator and service line installations in new locations.
(2) Beginning September 13, 2014, utilities shall comply with this section when replacing existing meters, regulators and service line facilities.
(3) By September 13, 2034, utilities shall complete replacement of existing facilities in compliance with this section or incorporate the requirements of this section in a distribution integrity management plan, whichever occurs first.
FL-3-20 Overview
Total Number of Operators Responded to FL-3-20 Request 36
Total Number of Inside Meters 843757
Total Number of Inside Mercury Regulators 13168
FL-3-20 Large Operators of PA
Total Number Of Mercury Service Regulators On Inside Meters
| Year | Number |
|------|--------|
| 2015 | 18718 |
| 2016 | 16686 |
| 2017 | 15422 |
| 2018 | 13831 |
| 2019 | 13168 |
Total Number of Inside Meters
| Year | Number |
|------|--------------|
| 2015 | 873536 |
| 2016 | 85208 |
| 2017 | 843625 |
| 2018 | 818169 |
| 2019 | 802674 |
The Pennsylvania Public Utility Commission
Thank you for your attention!
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The Mount Airy Main Street Association (MAMSA) is happy to share with the community the...
**Mount Airy Breeze Newsletter!**
MAMSA is a group of volunteers that are dedicated to revitalizing Mount Airy’s Historic Downtown.
Please join us by volunteering and becoming a member. MAMSA meets the third Monday of each month at 7:00 p.m. in Town Hall. We invite you to join us! We look forward to seeing you at our next meeting!
Please enjoy this edition of the Mount Airy Breeze Newsletter.
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**MAMSA Officers**
- **President**
Pam Reed
- **Vice President**
Wayne Evans
- **Treasurer**
Dick Swanson
- **Secretary**
Kelly Patrick
- **Historian**
Kelly Green
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**Mount Airy MainStreet Association (MAMSA) Holds Election**
Elections were held at the July 2018 MAMSA meeting. The MAMSA bylaws require elections be held every two years for Officers and the Board of Directors. All elected Officers are members of the Board of Directors plus six other people. The Election Committee—Judy Marks and Dave Reagle provided voting ballots for the 2019-2020 Officers and Board of Directors. Only members in attendance were allowed to vote.
The Elected Officers are:
- President—Pamela Reed
- Vice President—Wayne Evans
- Treasurer—Dick Swanson
- Secretary—Kelly Patrick
The Elected Board of Directors include Elected Officers plus:
- John Cherry
- Kelly Green
- Linda Koons
- Judy Marks
- Dave Reagle
- Alice Settle-Raskin
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**MAMSA Introduces an Updated Logo**
An updated logo was presented by Tina Swanson at the August 2018 meeting. Attending members unanimously voted to adopt the updated logo. It was agreed that any items with the old logo would be depleted; however, all new items would display the updated logo.
Thanks goes to Tina Swanson for her outstanding design update!
Congratulations to the winners of the 2019 MAMSA calendar. We had a lot of entries and this made it very difficult for making selections. I appreciate all who took the time to send in photos. It was fun to watch the selection process. Thank you to our judges: Wendy Rimbey, Judy Marks and Ashley Collier for making the selections!
And the Winners are:
- **Cover Photo**: Bill Dillon - Twin Arch Bridge
- **Inside Cover**: Still being worked on!
- **January**: Katie Giganti - Festival of the Creatives
- **February**: Stacy Simons - Snow at the Caboose
- **March**: Dick Swanson - Old Fire Truck
- **April**: Stacy Markel - Deer on Rising Ridge
- **May**: Tina Swanson - East West Garden
- **June**: Katie Giganti - Chalk Contest
- **July**: Matt Schroeder - Mt. Airy Fireworks AND Lena Palmer - Orange Flower
- **August**: Kelly Green - Yummy Produce
- **September**: Annette Vallon - Train Mural AND Bull Dogs
- **October**: Jeremy Terry - Mt Airy Spook Trail
- **November**: Virginia Titus - The Castle
- **December**: Bruce Walz - December Downtown
Congrats to the winners. Look forward to the next calendar 2020!
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**Mount Airy Welcome Club**
If you have moved into the Mount Airy area in the last 18 months, the Mount Airy Welcome Club invites you to their first meeting. They welcome you to join them for a wine and cheese party one October 11, 2018 from 5:30—7:00 pm at the Black Ankle Winery (14463 Black Ankle Road). Mayor Patrick Rockinberg will be on hand to welcome you to our community.
The Mount Airy Welcome Club is new and designed to introduce new comers to Mount Airy. The hope is you will make new friends and learn about our beautiful new community together! The goal is to build a monthly calendar with a wide range of social activities that you can choose from to participate. The Mount Airy Welcome Club will be held monthly on the second Thursday of each month.
If you have a social club in the Mount Airy area and would like to have a representative on hand to welcome the new comers, please contact Cherie Turlington.
Please email Cherie Turlington if you plan to attend on October 11, 2018. Her email is email@example.com.
2018 Mount Airy Main Street Farmers’ Market – Rain or Shine!
Neither Rain, Nor Sun, Nor Heat of Day stopped the momentum of the 2018 Mount Airy Main Street Farmers’ Market season! With a cache of 30 vendors this season, the Railyard was abuzz with as many as 18 farmers and producers selling their local products.
*We Were Here for You!* We think the video recently released on our Facebook page, “I love my farmers’ market because …” sums the market season up. In the video, nine patrons let us know what they loved about our market. They said, “it is community, it is vegan friendly, of Megan, has an excellent selection, it is delicious, it has fresh produce, it has local products, is healthy living, is local.”
*Our Market is Community.* It’s about to creating a sense of community, a friendly environment where all can come to buy local, eat fresh locally grown/produced food products, and be healthy. This season, our patrons came to enjoy healthy eating and active living, learning about nutrition and how to prepare their fresh fruits and veggies, and taste samples from University of Maryland Market-to-Mealtime FSNE Educator, Terry Serio. They received gardening tips from the Carroll County Master Gardeners. They learned how to get fit through mini-Bootcamp 21771 workout sessions, and other fun family activities, such as butter aerobics where patrons learned how to burn the fat to make the fat; butter that is using local cream. And, towards our seasons end, all could have fun while catching a bite of an apple bobbing from a string!
*Buy Local, Eat Healthy, and Stay a While.* Our Farmers and Producers are local, within 50 miles of the market. Their products ranged from locally grown fruits, vegetables, herbs to locally produced meats, cheeses, eggs, baked goods, local honey, locally made and sourced jams and jellies, krauts, pickles, ginger beer, coffee, tonics, sangria, distilled products, mouth-watering wood-fired pizzas, crab cakes, crafts and so much more. We even had live, local music with our musicians hailing from all four surrounding counties.
*We Believe in Feeding the Hungry.* One of our proudest successes this season was a partnership to feed the hungry within our four-county community. It was made possible through the receipt of a grant through our local Mount Airy Walmart. This grant allowed us to partner with the Mt. Airy Net to provide each of their 90 patrons with $10 in MAMSFM Nutrition Buck$ (vouchers) each month to purchase and experience the locally grown fruits and vegetables, meats and cheeses, and other prepared foods found at the market.
*What’s up for our next season?* We’ll continue to be here for you on Wednesdays, 3-7 PM, in the Railyard, Mid-May through September 2019, *Rain or Shine!* But, let us all hope for Mother Nature to be kind to our farmers and producers, and give us a beautiful and productive market season. To keep up with what’s happening next season, please visit [www.MountAiryMainStreetFarmersMarket.org](http://www.MountAiryMainStreetFarmersMarket.org) or follow us on Facebook [@MountAiryFarmersMarket](https://www.facebook.com/MountAiryFarmersMarket).
HISTORY 101
September 17-22, 2018
Mon Sept 17
7:00PM
Pine Grove Chapel
Ward Hill Lamont, Abraham Lincoln’s personal bodyguard, will not be buried in Springfield on April 14th, 1865, when the President needed him the most. Where was he that night? Presented by local author Bob O’Connor.
Tues Sept 18
7:00PM
Library
Raleigh Boaze is a living history interpreter of the 18th century colonial frontier. Mr. Boaze presents his first person account of life on the ‘American’ frontier in the years 1754 to 1775. Dressed in backwoodsman attire and with a rifle, he describes the settlers’ arrival at the hands of the Native Americans aligned with the French opposing encroachment of English colonists beyond the Appalachians and underscores the importance of this period in the eventual founding of our country.
Wed Sept 19
7:00PM
Library
This program juxtaposes two little known Civil War women’s stories; in the West, Mary Stuart Kelley, the Superintendent of Nurses, Fairfax Seminary Hospital, and in the South, Varinia Howell Davis, the wife of the much maligned Confederate president Jeff Davis. Through a combination of historical narrative and first person impressions, participants will learn from these impressive women how they survived in the most difficult years of their lives with compassion and through service to others. Presented by Marilyn Hatchett.
Thurs Sept 20
7:00PM
Library
Remembering John Hanson, the first President of the Original United States Congress. Presented by Peter Michael
Sat Sept 22
1:30PM
Museum
The true story of the Garrett Sanitarium, located on North Main Street, where the Elementary School stands today. Presented by Rodney Carr and Historical Society members.
History 101 programs are presented by the Mount Airy Main Street Association, in cooperation with the Pine Grove Chapel foundation, the Mount Airy Branch of Carroll County Public Library, and the Mount Airy Historical Society. All programs are free and are suited to all ages.
Hipsley COLLECTIVE
A Collection of Small Businesses
Hipsley Collective is located at 118 South Main Street in Mount Airy. Hipsley Collective is a collection of small businesses for a retail and farmers market businesses. This is a Pop-Up shop that will be at this location through January.
Small Businesses located at the Mt. Airy location:
- The Dough Whisperer-Bakery
- Giv Boutique- Clothing and accessories
- Whispering Farms- Cheeses, eggs and fresh farm meats
- Cultivated- Home accessories and clothing
- The Caramel Kettle- Gourmet popcorn and candies
- La Société Prive- Organic and Vegan Soaps and lotions
- Family Game Store- All the latest and greatest in fun
- Books with a Past-Tons of great reads, all the newest publications
- Pennys Treasures- Jewelry, accessories, frames and repurposed furniture
- Gails Doll Clothing and Accessories
- Dianes Cupcakery and cake in a jar creations
MAMSA Newsletter
Volunteers are Needed
- Promotion Committee
- Cornhole Competitions
- Farmers Market
- Mackenzie the Caboose
Please contact MAMSA if you are able to Volunteer. We hope to see you out and about the town!
Reach out to us via:
- MAMSA Facebook Page
- http://mountairymainstreet.org
- Email—firstname.lastname@example.org
The MAMSA Mission Statement
Mt. Airy Main Street Association (MAMSA) members are a dedicated group of volunteer residents and business owners interested in working with the Town and other stakeholders to revitalize Mt. Airy’s historic downtown business district.
MAMSA strives to establish Downtown as a gathering place and center of community life, promote commerce for local businesses, sponsor cultural events for residents and visitors, and create a small town destination that is easily accessible by car, bike, and foot.
Downtown Spotlight....
Grand Opening of the Mount Airy Historical Society's Museum
The Mount Airy Historical Society moves into the Mount Airy Train Station, converting the 19th Century structure into a museum. The Grand Reopening Ceremony was held August 25, 2018. Historical Society President Mike Eacho is pleased that the Mount Airy Train Station is being occupied by the Historical Society. They have wanted to occupy this historic building since 1997.
Volunteers are needed for the Museum. If you are interested, please contact the Mount Airy Historical Society.
MAMSA Business Members
- A Do Or Dye Day Spa
- Carroll Community Bank
- Cruise Planners - Two By Two Property
- Baylinson Kudysh, Greenberg & Helt
- Ben Gue Antiques
- Blossom and Basket Boutique
- Boot Camp 21771, LLC
- Déjà Vu, Inc.
- Diane’s Cupcakery
- Georges Girls
- Glamour N’Glitz—Nagen Sayeed
- Carroll Community Bank
- Jessica’s Snowballs—Jessica Rommal
- The McKenna Group, DonnaMarie Needle
- MISCellaneous Distillery
- Mount Airy Pharmacy
- Mount Airy Arts Alliance
- Moxley’s Wooden Bowels, LLC
- Single Barrel Soaps, LLC
- VFW Post 10079
- Wellness Point—Brittany Freet
Deja Vu Boutique is located on Main Street right here in Mount Airy! They have thousands of dresses in stock and ready to take home. They register every dress sold to ensure their promise of not selling the same dress to the same school! They boast of having dream dresses for every age and size. This shop caters to many different body sizes (000-32) and shapes.
Déjà Vu Boutique realized that shopping for that special dress can be stressful and their large well trained staff are there to make it an enjoyable experience! Please call and make an appointment that is best for you! Their telephone number is 301.829.1707 or Email them at email@example.com.
You are invited to join the Mount Airy Main Street Association (MAMSA)! We need your help to support our vital efforts to promote downtown Mount Airy, the heart of our community. Everyone is welcome... we meet the third Monday of each month at 7:00 p.m. in Town Hall. We look forward to welcoming you to our team!
YES! I WOULD LOVE TO BECOME A MEMBER OF MAMSA!
Please make your check payable to the Mount Airy Main Street Association (MAMSA). MAMSA is a non-profit organization.
- Individual $15.00
- Family $25.00
- Business $30.00
PLEASE PRINT
Name: ________________________________
Street Address: _________________________
City: _________________________________
State & Zip: ___________________________
Phone Number: _________________________
E-Mail: _______________________________
Please mail your completed form and check to:
Mount Airy Main Street Association (MAMSA)
Attention: Membership Chairperson
P.O. Box 788
Mount Airy, MD 21771
Thank You
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PERFECT TASTE
STRAIGHT FROM THE TAP
UNBOTTLED WATER BY GROHE BLUE HOME
WHERE WOULD YOU EXPECT TO FIND THE MOST DELICIOUS WATER ON EARTH?
FALLING FROM A RAINCLOUD?
EMERGING FROM A FRESH, BUBBLING SPRING?
PERHAPS IN A BOTTLE?
OR NONE OF THESE?
WE BELIEVE THE ANSWER LIES CLOSER TO HOME
WE CALL IT UNBOTTLED WATER
INTRODUCING GROHE BLUE HOME
WELCOME TO YOUR PRIVATE WATER SOURCE
When was the last time you truly tasted water? When you took a sip that left you thirsting for more? That’s what happens after your first encounter with GROHE Blue Home: a beautiful and intelligent system that transforms simple water into pure thirst-quenching pleasure, and your kitchen into a meeting place for thirsty friends.
First the sheer elegance of the tap catches the eye. But when you take a look behind the scenes, you’ll discover the secret of GROHE Blue Home: the cooler – and the reason why drinking water will never be the same again.
Still waters run deep. If you prefer your water cool and still, nothing could be simpler: just push the top button. The LED lights up blue and your glass fills with pure refreshment.
STILL, MEDIUM OR SPARKLING: THE CHOICE IS ALL YOURS
How sparkling do you like your water? It’s all a matter of taste. GROHE Blue Home has a simple and intuitive mechanism that lets you carbonate your drinking water at the touch of a button. Deliciously cool filtered water, just the way that you – and all your family – like it.
Sparkling – but not too much?
More of a medium sparkling?
Coming right up. Press both buttons in sequence – the LED lights up turquoise – to produce a finely pearled stream of water.
Sparkling water, alive with bubbles. If that’s your idea of thirst-quenching heaven, just press the lower button – the LED lights up green – for your perfect glass of water.
PERFECTLY CHILLED – JUST AS YOU LIKE IT
Imagine the refreshing sensation of chilled water – cool and thirst-quenching. Ready and waiting for you at the touch of a button – at exactly the right temperature. Think of the glass misting over with minute water droplets and of that first delicious cold gulp.
Chilled water on demand – how refreshing is that then?
Form and function come together in GROHE Blue Home, combining all the advantages of a high-end kitchen tap and a sophisticated water cooler. Add to that intuitive and timeless design and you are looking at the water source of the future.
SO COOL AND DELICIOUS
AND STRAIGHT FROM THE TAP
THE INTELLIGENT HEART OF GROHE BLUE HOME
First we came up with some state-of-the-art technology and then we hid it away. The GROHE Blue Home cooler is our undercover genius that takes the water, filters it, chills it and makes it sparkle, ready to fill your glass to the brim.
This is where it all happens: here you can adjust the temperature between 5° and 10° and insert the filter and the CO2 bottle.
For our GROHE Blue system we have worked with BWT, Europe’s leading filtered water professionals, to ensure that our system produces an unparalleled, refreshing drinking experience. Our standard high performance S-Size filter comes with every GROHE Blue Home starter set. It uses a five-step filtration process to remove even the smallest particles from tap water, while leaving behind all the important minerals that benefit your health.
**BYPASS SETTING**
A small amount of limescale in the water is important for a pleasant taste and mineral balance. The bypass setting allows a small amount of water to be filtered without removing limescale in the ion exchanger.
**INLET WATER**
**FILTRATION BYPASS WATER**
**BYPASS WATER FLOW**
In addition, two other filters available.
If you live in a soft-water area, the activated **carbon filter** is right for you. It improves the taste but leaves the carbonate levels in the water untouched.
For the best taste and health benefits, the **magnesium+** filter is the ideal choice. It adds up to 35 mg magnesium to each litre of water, helping you get enough of this essential mineral while delivering the best tasting tea and coffee possible.
For more information about our different filters, visit: www.grohe.co.uk
**OUTLET WATER**
**FIVE-STEP FILTRATION**
**FINE FILTRATION**
Captures even the finest remaining particles.
**ACTIVATED CARBON FILTRATION**
A second filtering process for a maximum taste experience. Bypass water is filtered and purified while keeping essential minerals.
**HIGH-PERFORMANCE ION EXCHANGER**
Removes limescale and metal substances.
**ACTIVATED CARBON PRE-FILTER (= TASTE IMPROVEMENT)**
Removes chlorine and certain organic compounds including insecticides and pesticides, for a cleaner, fresher taste.
**PRE-FILTRATION**
Filters out coarse particles of sand and dirt.
THE GUARANTEE FOR PURE TASTE
If you enjoy tea and coffee, you’ll love them even more with GROHE Blue Home. Whether in your coffee machine or for making tea, the still water brings out the best in your favourite hot drinks. Thanks to the ultimate purity of the filtered water, the aromas can develop to the full – for an unforgettable café au lait, at the same time protecting your high-end kitchen appliances.
THE SIMPLEST WAY TO PERFECT BUBBLES
Nothing could be easier – or faster – than inserting the CO2 bottle. In less than a minute, you have a whole new supply of sparkling water – up to 60 l.
And when the time comes to replace the CO2 bottle, the display on the tap starts to blink, giving you ample warning.
The GROHE Blue Online shop or the GROHE Ondus app makes ordering replacement bottles and returning the empty ones simple and effortless.
Visit our GROHE Blue shop: https://shop.grohe.co.uk
Watch the video and see how easy it is to replace the CO2 bottle. www.grohe.co.uk
NEW: WITH PULL-OUT FUNCTION
Our new GROHE Blue Home taps now come with a pull-out mousseur head for ultimate functionality and flexibility. Select from three contemporary tap shapes with a pull-out head, each with a hygienic mousseur and two separate waterways, delivering both filtered and unfiltered water effortlessly.
Lead and nickel free
Pull-out mousseur
Hygienic mousseur with 2 outlets
CONTROL VIA GROHE ONDUS APP
Control your GROHE Blue Home tap via smartphone app for total convenience. The GROHE Ondus App will not only let you know when the filter or CO2 need replacing, but can reorder for you automatically. Use it to pour water and monitor your consumption via personal fitness apps.
System requirements
iPhone with iOS 9.0 or higher / smartphone with Android 4.3 or higher
Mobile devices and GROHE Ondus App are not included in delivery and have to be ordered separately via an authorised Apple store/store/iTunes or Google Play store.
The Bluetooth® word mark and logos are registered trademarks owned by Bluetooth SIG, Inc. and use of such marks by Grohe AG is under license.
Other trademarks and trade names are those of their respective owners.
Apple, the Apple logo, iPod, iPod Touch, iPhone and iTunes are trademarks of Apple Inc., registered in the U.S. and other countries. Apple is not responsible for the operation of this device or its compliance with safety and regulatory standards.
ENJOY ALL THE BENEFITS OF GROHE BLUE HOME
HOME DELIVERY MEANS FROM TAP TO TABLE
What could be easier – and more convenient – than drawing your drinking water straight from the tap? Life just became a lot simpler.
Space: we’d all like to have more of it. And in the fridge it’s in especially short supply. Try squeezing enough water bottles in to keep the family going for a weekend or when friends come round, because nobody wants to drink lukewarm water on a summer’s day. Thank goodness GROHE Blue Home delivers chilled water on demand.
Just think for a moment about the effort it takes to ensure a constant supply of bottled water at home. Queueing up to buy it, lugging the heavy crates and bottles home (how’s your back, by the way?), carrying them up the stairs and storing them. And before you know it, it’s time to take the empties back, before starting the process all over again.
Time: something else that is precious. So why would anyone want to spend those precious minutes driving to supermarkets, looking for parking spaces and returning bottles. GROHE Blue Home means less frustration, more free time.
And here’s another thought: when every member of the family prefers a different water, that’s three kinds you have to buy. Not with GROHE Blue Home. You can have sparkling, medium and still – with just one tap.
SAVE IN THE LONG RUN AND IN THE SHORT
GROHE Blue Home is an investment in more ways than one. When you look at the costs of providing quality drinking water for your family and friends 365 days a year, you’ll see how quickly you start to save in comparison to bottled water.
It’s a simple piece of arithmetic. You’ll soon be saving money with every glass you drink. And that’s not counting the time and effort that you save as well.
When you register your GROHE Blue Home purchase online, we’ll extend your warranty to 3 years, adding further security to your investment.
Sample calculation
Annual costs for a family of four with an average consumption of 1.5 litres per person per day.
THE BEST PACKAGING FOR WATER: NO PACKAGING AT ALL
We are responsible for our small blue home, the earth. It demands of us that we care for its environment and save its precious water resources. At GROHE Blue Home we have a goal: to help save the planet one glass at a time.
It might seem obvious, but in a world that is slowly sinking in a sea of plastic, the issue of the practically indestructible plastic bottles is becoming more urgent than ever.
Not only that, it takes an astonishing 7 litres of water just to produce a single litre of bottled water, not to mention the energy used and the CO2 emissions created.
So do we really need bottled water? At GROHE we believe we have found the solution in GROHE Blue Home. We commissioned the University of Göttingen to carry out in-depth research that made comparisons of CO2 emissions. The result: a huge reduction of 61% compared to bottled water.
So you can have pure water enjoyment without compromising your green ideals.
BRING MORE HEALTH INTO YOUR LIFE
Everyone knows that the basis for good health is drinking enough water. It’s vital for your brain and good for your skin. So if it’s beauty and brains that you want, you need look no further than GROHE Blue Home.
Magnesium and vitality go together. With the optional magnesium+ filter, you can have more of this important mineral in your diet. 2 litres of GROHE Blue Home contain as much magnesium as 4 apples – up to 35mg per litre. Magnesium also enhances the flavour of the water, so it tastes good as well as does you good.
The recipe for taste and health: exclusive water recipes from GROHE Blue Home. Based on all natural ingredients and developed by GROHE and BWT, the Water Recipe Book is brim-full of mouth-watering drinks. Tested and approved by water-sommeliers.
How much is enough? Experts recommend that we drink at least 2 litres a day. Yet with GROHE Blue it’s so easy and pleasurable to fill a glass of refreshing water that many people find themselves returning for more.
YOUR WATER SOURCE FOR WHEN YOU’RE ON THE MOVE: GROHE TO GO
You don’t need to stay at home to enjoy GROHE Blue Home. Discover the stylish and practical bottles for when you’re out and about. In unbreakable plastic or elegant brushed aluminium, these bottles ensure you’ll always be able to enjoy delicious tasting water wherever you are. Whether on your way to work or a workout, these bottles are beautiful enough to never leave your side.
Visit our GROHE Blue shop: https://shop.grohe.co.uk
TAKING A CLOSER LOOK AT GROHE BLUE HOME
DESIGNED TO LOOK BEAUTIFUL IN EVERY KITCHEN
We designed the iconic GROHE Blue Home with a view to creating an aesthetic centrepiece for your kitchen. To ensure that your tap harmonises with your kitchen, whatever your chosen style, you can select from a number of different forms. There are three timeless and elegant options: the L, C and U-shaped spouts, available in two stylish finishes – Chrome and SuperSteel.
THE TAP THAT COMPLEMENTS ALL OTHERS
If you already have a high-end tap in your kitchen and don’t wish to replace it, then GROHE Blue Home Mono is the perfect choice for you. It fits perfectly alongside your existing tap, a source of deliciously fresh and sparkling filtered water.
THE ULTIMATE IN DESIGN AND FUNCTION
GROHE Blue Home is the symbiosis of elegant, timeless design and innovative features that make it a pleasure to use. Lovely as it is to look at, there’s much more to GROHE Blue Home than meets the eye.
When the time comes to replace the filter, the display on the tap will alert you with an orange, blinking light.
A white, blinking light alerts you when it’s time to replace the CO2 bottle.
Push button with illuminated LED ring for still, medium and sparkling water.
Separated inner water ways for unfiltered tap and filtered drinking water.
Hygienic mousseur with two outlets and optional pull-out
Spout, turnable by 150°
Forward rotating lever with knurled structure for better grip
Cartridge with GROHE SilkMove technology for normal tap water
The GROHE Blue Home cooler is slim and adaptable, making it simple to find the ideal space for it in your kitchen. It can be fitted directly below the sink or within a radius of 2.5 meters, e.g. in a 30cm wide towel cabinet.
EVERY SPACE CAN BE A HOME FOR GROHE BLUE HOME.
INSTALLING THE COOLER: THE LAST STEP TO PERFECT REFRESHMENT
1. Place tap and mount with fixation set below the cabinet.
2. Place ventilation template and drill ventilation hole accordingly.
3. Screw filter into filter head and place cooler below the cabinet into the drilled holes.
4. Connect hoses to the tap and cooler. Afterwards open the angle valves before connecting power supply.
5. Screw in CO2 bottle and close front with cover. Rest the cooler for about 20 minutes to cool down the water.
6. Adjust the software to the correct filter capacity setting.
THE GROHE BLUE HOME
PRODUCT PORTFOLIO AND RANGE OF ACCESSORIES
31 539 000 / 31 539 DCO
GROHE Blue Home
L-spout Starter kit with pull-out
31 541 000 / 31 541 DCO
GROHE Blue Home
C-spout Starter kit with pull-out
31 543 000 / 31 543 DCO
GROHE Blue Home
U-spout Starter kit with pull-out
Colour options:
- 000 | StarLight Chrome
- DCO | SuperSteel
GROHE SilkMove
GROHE StarLight
Enhanced Water
Swivel Stop
Comfort Height
Hygiene-Siegel
SUPER STEEL
MADE IN GERMANY
31 454 001 / 31 454 DC1 GROHE Blue Home L-spout Starter kit
31 539 000 / 31 539 DC0 GROHE Blue Home L-spout with pull-out
31 455 001 / 31 455 DC1 GROHE Blue Home C-spout Starter kit
31 541 000 / 31 541 DC0 GROHE Blue Home C-spout with pull-out
31 456 001 / 31 456 DC1 GROHE Blue Home U-spout Starter kit
31 543 000 / 31 543 DC0 GROHE Blue Home U-spout with pull-out
31 498 001 / 31 498 DC1 GROHE Blue Home Mono Starter kit
40 404 001 GROHE Blue Home S-Size Filter Capacity 600 l at 15° KH
40 547 001 GROHE Blue Home Activated Carbon filter For regions with water hardness < 9° KH Capacity 3000 l
40 691 001 GROHE Blue Magnesium+ filter with magnesium and premium taste capacity 400 l at 15° KH
40 434 001 GROHE Blue Home cleaning cartridge
40 694 000 adapter for GROHE Blue BWT filter head only to be used in combination with 40 434 001
EACH GROHE BLUE HOME CONTAINS:
CARBONATOR GROHE BLUE HOME + CO2 BOTTLE 425 g S-SIZE FILTER
40 422 000 GROHE Blue CO2 bottle 425 g 4 pieces
Available as:
40 687 000 GROHE Blue CO2 Refill bottle 425 g 4 pieces
40 437 000 GROHE Blue Glass 6 pieces
40 405 000 GROHE Blue Glass carafe
40 848 000 / 40 848 SD0 GROHE Blue drinking bottle plastic GROHE Blue drinking bottle stainless steel
Colour options:
000/001 | StarLight Chrome | DC0/DC1 | SuperSteel
Visit our GROHE Blue shop: https://shop.grohe.co.uk
HERE ARE THE ANSWERS TO ALL YOUR QUESTIONS
**How much space do I need to install GROHE Blue Home?**
The cooler is 20cm wide and 50cm deep. This means that the whole system can fit comfortably inside a standard 60cm or even in a 30cm kitchen cabinet.
**When do I need to change the filter?**
The filter has to be changed at least every 12 months, or when it has run out, whichever is sooner. An LED display in the tap’s left handle makes it easy to tell when filter capacity is running low. A flashing light indicates less than 10% capacity and a rapidly flashing orange light indicates 1% capacity, meaning the filter cartridge must be changed. If the device is integrated to the GROHE Ondus app it will remind you to change the filter by sending a push notification.
**When do I need to change the CO2 bottle?**
As soon as the water does not sparkle anymore. To give a heads-up indication the LED display in the tap’s left handle flashes white shortly before the CO2 bottle needs to be replaced. The system will also send a push notification via the GROHE Ondus app.
**Where can I buy filter and CO2 bottles?**
Visit our online GROHE Blue shop for all replacement filters, CO2 bottles and accessories or use the GROHE Ondus app to order refills with your smartphone.
**How do I change the filter?**
The filter can be easily changed simply by unscrewing it and screwing in the new filter in its place. You don’t even need to turn the water supply off.
**How do I change the CO2 bottle?**
The CO2 bottle can also be changed simply by unscrewing it and screwing in the new bottle in its place. Simple!
**How can I dispose of the filter?**
The filter can be easily disposed of as normal plastics.
**What is the capacity of the CO2 bottle?**
The 425g bottle produces 60 litres of full sparkling water.
**What happens if I do not use GROHE Blue Home for an extended period of time?**
GROHE recommends not leaving the filter system out of service for extended periods of time. If the GROHE Blue filter system is not used for a few days, the filter system must be rinsed with at least four liters of water. If you leave the system unused for more than four weeks then the system has to be cleaned with the GROHE Blue Bio-Clean cleaning liquid 40 434 001 and the filter must be replaced.
**Why should I drink GROHE Blue water? I keep hearing that tap water is top quality, so why should I purchase GROHE Blue Home?**
GROHE Blue purifies the already good quality tap water, and of course gives you the option of chilled, carbonated water too. Substances which are important for the body such as calcium and magnesium are retained, while the limescale content is reduced and elements which affect taste such as heavy metals (iron, copper), chlorine and organic substances (pesticides) are filtered out. Water supply companies just guarantee drinking water quality to the point where it enters your home. Impurities caused by the house piping are eliminated by the GROHE Blue filter.
**What do I need to consider when installing GROHE Blue Home?**
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Recommendation
That, on the recommendation of the Director, Planning and Development, the following actions be taken with respect to the application of Old Oak Properties Inc. (c/o Siv-ik Planning & Design) relating to the property located at 3392 Wonderland Road South:
(a) the proposed by-law attached hereto as Appendix "A" BE INTRODUCED at the Municipal Council meeting on July 23, 2024, to amend the Official Plan, The London Plan, by ADDING new policies to the Specific Area Policies for the Shopping Area Place Type and the Neighbourhoods Place Type and by ADDING the subject lands to Map 7 – Specific Policy Areas – of the Official Plan;
(b) the proposed by-law attached hereto as Appendix "A" BE INTRODUCED at the Municipal Council meeting on July 23, 2024, to amend the Southwest Area Secondary Plan (SWAP), forming part of the Official Plan, by ADDING a site-specific policy to the Wonderland Road Community Enterprise Corridor and Medium Density Residential policies in the Wonderland Boulevard Neighbourhood;
(c) the proposed by-law attached hereto as Appendix "B" BE INTRODUCED at the Municipal Council meeting on July 23, 2024 to amend Zoning By-law No. Z.-1, in conformity with the Official Plan, The London Plan, as amended in part (a) above, FROM a Light Industrial (L1/L17) Zone, an Environmental Review (ER) Zone, and an Open Space (OS4) Zone TO a Light Industrial Special Provision/Restrictive Service Commercial Special Provision (L1f(_)/L17(_)/RSC2(_)/RSC3(_)/RSC4/RSC5(_)) Zone and an Open Space (OS4) Zone;
(d) pursuant to Section 34(17) of the Planning Act, as determined by the Municipal Council, no further notice BE GIVEN in respect of the proposed by-law as the recommended amendment is reflective of the proposed development circulated in the Notice of Application and Notice of Public Meeting, existing permissions, and the existing development on site.
IT BEING NOTED, that the above noted amendments are being recommended for the following reasons:
i) The recommended amendments are consistent with the Provincial Policy Statement, 2020;
ii) The recommended amendments conform to the policies of The London Plan, including but not limited to the Key Directions and Wonderland Road Community Enterprise Corridor Designation in the Southwest Area Secondary Plan (SWAP).
iii) The recommended amendments would facilitate the continued use of the existing building stock with a range of uses that are appropriate for the context of the site and surrounding area.
Summary of Request
The applicant has requested an amendment to the Southwest Area Secondary Plan, to add a Specific Policy Area to the Wonderland Road Community Enterprise Corridor and Medium Density Residential designation to permit commercial uses on the subject lands in addition to a limited range of permitted light industrial uses.
The applicant has requested an amendment to the Zoning By-law Z-1 to rezone the subject lands to a Light Industrial Special Provision/Restrictive Service Commercial Special Provision (LI1_/LI7_/RSC2_/RSC3_/RSC4/RSC5_) Zone and an Open Space (OS4) Zone to permit a broader range of commercial and service trade uses on the lands, in addition to a limited range of light industrial uses within the existing and approved buildings.
Purpose and Effect of Recommended Action
The recommended action will permit additional commercial and trade-service uses on the subject lands within the existing buildings. Staff are recommending approval of the requested Official Plan and Zoning By-law amendments with special provisions that permit retail store and place of worship as additional permitted uses, while reducing the range of permitted light industrial uses that may be associated with noise, vibration and/or dust related impacts.
Linkage to the Corporate Strategic Plan
This recommendation will contribute to the advancement of Municipal Council’s 2023-2027 Strategic Plan in the following ways:
1. **Strategic Plan Area of Focus: Economic Growth, Culture, and Prosperity** by supporting small and growing businesses, entrepreneurs and non-profits to be successful.
Analysis
1.0 Background Information
1.1 Previous Reports Related to this Matter
A.166/13 – A minor variance application to permit 27.15m² (292.24 sq.ft.) (19.125% of leased space) retail sales ancillary to custom workshop where custom workshop is not specifically identified in the zone regulation. The application was granted by the Committee of Adjustment on October 8, 2013.
1.2 Planning History
1.3 Property Description and Location
3392 Wonderland Road South is located on the east side of Wonderland Road South, approximately 375 metres south of the intersection of Wonderland Road South and Bradley Avenue, in the Bostwick Planning District. The site functions as a multi-tenant industrial/business park with a range of light industrial uses currently existing on the property. The subject lands currently consist of eight (8) standalone buildings, with an additional nine (9) buildings approved and under construction (SPA21-021). The surrounding land uses include vacant industrial lands to the north, an industrial mall and vacant residential land to the south, a large retail store to the west and Pincombe Drain to the east.
Site Statistics:
- Current Land Use: Industrial and commercial
- Frontage: 145.5 metres (Wonderland Road South)
• Depth: 349 metres
• Area: 8.55 hectares
• Shape: Irregular
• Located within the Built Area Boundary: Yes
• Located within the Primary Transit Area: No
**Surrounding Land Uses:**
• North: Vacant Industrial Land
• East: Pincombe Drain/Morgan Park
• South: Warehousing/Industrial
• West: Large Retail Businesses (Lowe’s)
**Existing Planning Information:**
• The London Plan Place Type: Shopping Area & Neighbourhoods & Green Space
• Existing Special Policies: Wonderland Road Community Enterprise Corridor / Medium Density Residential - Southwest Area Secondary Plan
• Existing Zoning: Light Industrial (LI1/LI7) Zone, Environmental Review (ER) Zone, and Open Space (OS4) Zone
Figure 1 - Location Map of 3392 Wonderland Road South & Surrounding Uses
2.0 Discussion and Considerations
2.1 Proposal
The applicant is proposing to permit commercial uses on the subject lands, while maintaining the existing light industrial zones and limiting the range of permitted light industrial uses. It should be noted that no additional development is proposed through this Official Plan and Zoning By-law amendment application.
2.2 Requested Amendments
An Official Plan Amendment ("OPA") has been requested to amend the Southwest Area Secondary Plan ("SWAP") to add a specific policy to the "Medium Density Residential (MDR)" and "Wonderland Road Community Enterprise Corridor (WRCEO)" designations to permit commercial uses on the subject lands, while maintaining a range of permitted light industrial uses. An Official Plan Amendment to The London Plan has also been requested to add Specific Area Policies to the Shopping Area and Neighbourhoods Place Types to permit light industrial/employment uses within the existing buildings which do not result in significant noise, vibration and/or dust impacts.
Additionally, a Zoning By-law Amendment ("ZBA") has been requested to rezone the subject lands to a Light Industrial Special Provision/Restrictive Service Commercial Special Provision (LI1(_)/LI7(_)/RSC2(_)/RSC3(_)/RSC4/RSC5(_)) Zone and an Open Space (OS4) Zone. The purpose of the requested ZBA is to permit commercial uses, in addition to a limited range of light industrial uses within the existing buildings. Permitted light industrial uses would be limited to those which are not associated with noise, vibration and/or dust related impacts.
2.3 Internal and Agency Comments
The application and associated materials were circulated for internal comments and public agencies to review. Comments received were considered in the review of this application and are addressed in Section 4.0 of this report. There were no concerns with the addition of the commercial/office uses on the subject lands.
Detailed internal and agency comments are included in Appendix “D” of this report.
2.4 Public Engagement
On February 6, 2024, Notice of Application was sent to 26 property owners and residents in the surrounding area. Notice of Application was also published in the Public Notices and Bidding Opportunities section of The Londoner on May 9, 2024. A “Planning Application” sign was also placed on the site.
No responses were received during the public consultation period.
2.5 Policy Context
The Planning Act and the Provincial Policy Statement, 2020
Provincial planning policy framework is established through the Planning Act (Section 3) and the Provincial Policy Statement, 2020 (PPS). The Planning Act requires that all municipal land use decisions affecting planning matters shall be consistent with the PPS.
The mechanism for implementing Provincial policies is through the Official Plan, The London Plan. Through the preparation, adoption and subsequent Ontario Land Tribunal (OLT) approval of The London Plan, the City of London has established the local policy framework for the implementation of the Provincial planning policy framework. As such, matters of provincial interest are reviewed and discussed in The London Plan analysis below.
The London Plan, 2016
The London Plan includes conditions for evaluating the appropriateness of Specific Area Policies where the applicable place type policies would not accurately reflect the intent of City Council with respect to a specific site or area (TLP 1729-1734).
The following conditions apply when considering a new Specific Area Policy:
1. The proposal meets all other policies of the Plan beyond those that the specific policy identifies.
2. The proposed policy does not have an adverse impact on the integrity of the place type policies or other relevant parts of this Plan.
3. The proposed use is sufficiently unique and distinctive such that it does not establish an argument for a similar exception on other properties in the area.
4. The proposed use cannot be reasonably altered to conform to the policies of the place type.
5. The proposed policy is in the public interest and represents good planning.
Staff are of the opinion that the site context and existing development is sufficiently unique to not establish a precedent. The occupancy of the existing buildings with commercial uses represents good planning. All the above conditions have been met and establishing a Specific Area Policy on the subject lands is appropriate.
The London Plan also includes evaluation criteria for all planning and development applications with respect to use, intensity and form, as well as with consideration of the following (TLP 1577-1579):
1. Consistency with the Provincial Policy Statement and all applicable legislation.
2. Conformity with the Our City, Our Strategy, City Building, and Environmental
policies.
3. Conformity with the Place Type policies.
4. Consideration of applicable guideline documents.
5. The availability of municipal services.
6. Potential impacts on adjacent and nearby properties in the area and the degree to which such impacts can be managed and mitigated.
7. The degree to which the proposal fits within its existing and planned context.
Staff are of the opinion that all the above criteria have been satisfied.
**Southwest Area Secondary Plan**
The *Southwest Area Secondary Plan (SWAP)* has been reviewed in its entirety and it is staff’s opinion that the proposed Official Plan and Zoning Bylaw amendment is consistent with it. The subject lands are designated Medium Density Residential (“MDR”) and Wonderland Road Community Enterprise Corridor (“WRCEC”) pursuant to Schedule 5 (Wonderland Boulevard Land Use Designations) of the *SWAP*.
### 3.0 Financial Impact/Considerations
There are no direct municipal financial expenditures associated with this application.
### 4.0 Key Issues and Considerations
#### 4.1 Land Use
Section 1.3.1 of the PPS encourages planning authorities to promote economic development and competitiveness by providing for an appropriate mix and range of employment, institutional, and broader mixed uses to meet long-term needs, and by providing opportunities for a diversified economic base, including maintaining a range and choice of suitable sites for employment uses which support a wide range of economic activities and ancillary uses, and take into account the needs of existing and future businesses.
The proposed additional commercial uses on the subject site are supported by the policies of the *Provincial Policy Statement, 2020 (PPS)*. A portion of the subject lands to the east is located within the Neighbourhoods Place Type fronting a Civic Boulevard in The London Plan. Policies in The London Plan for the Neighbourhoods Place Type generally relate to residential development; however, outline that non-residential uses may be permitted only when it is demonstrated that the proposed built form can fit well within the context of the residential neighbourhood (The London Plan, Policy 936_3). The lands also have a Shopping Area Place Type designation on the easterly portion of the subject lands. The Shopping Area Place Type permits a broad range of retail, service, office, entertainment, recreational, institutional, and residential uses (877_1). Mixed-use buildings are encouraged and uses that are not compatible with residential and retail uses will not be permitted (877_2 and 822_3).
In this instance, the requested Zoning By-law Amendment seeks to remove uses from the Light Industrial (L11/L17) Zone variations and Restrictive Service Commercial (RSC2/RSC3/RSC5) Zones variations which are associated with noise, vibration and/or dust related impacts, such as Truck sales and service establishments, Tow Truck Business, Automobile sales and service establishments, Automotive uses, restricted and impounding yards. Staff are satisfied that by scoping the range of permitted uses to eliminate uses that may impact adjacent properties, and recognizing the existing light industrial uses within the existing and approved buildings, that the requested amendment satisfies the use provisions within the Shopping Area Place Type and Neighbourhoods Place Type in The London Plan.
The subject lands are designated MDR and WRCEC in the SWAP. The intent of the MDR designation is to encourage a mix of housing types and forms at an intensity that is higher than more recent suburban neighbourhoods. The WRCEC designation is intended to provide for a wide range of commercial, office, residential and institutional
land uses in low to mid-rise built forms with an emphasis on creating a diverse range of employment opportunities to support adjacent residential areas. The proposed industrial and commercial uses are not permitted in the MDR designation; therefore, an amendment to add a specific policy is required to permit the proposed additional uses. Staff are supportive of the requested amendment as the subject lands are already used and zoned for light industrial uses, and adding a limited range of light industrial and restricted service commercial uses within the existing and approved buildings will not detract from the future development of the lands to residential.
The subject lands consist of quality building stock and are located in an economically viable area of the City that can reasonably accommodate additional commercial uses, while maintaining the opportunity for future residential redevelopment. Through this amendment, restricting the permitted light industrial uses to the existing buildings while removing the industrial uses which may be associated with noise, vibration and/or dust related impacts will improve the vitality of the lands, and not detract from the future development of the lands to residential. Staff are satisfied the range of uses are compatible with the existing light industrial uses and future residential and commercial uses contemplated in the Medium Density Residential and Wonderland Road Community Enterprise Corridor designations in SWAP, and are more aligned with the range of permitted uses contemplated in the Shopping Area Place Type in The London Plan.
4.2 Intensity
The proposed additional uses can be considered less intense than the current range of light industrial uses permitted on the site and are intended to utilize existing and already approved buildings, with no new development proposed as part of this amendment. The proposed expanded range of uses will efficiently utilize land and municipal infrastructure within a settlement area to enhance the existing commercial business park. On this basis, staff are satisfied that the specific area policy to permit the additional uses within the existing building stock is appropriate.
4.3 Form
No additional development or site alterations are contemplated as part of this application. As such, staff have no concerns with the built form which has already been reviewed and approved through Site Plan.
4.4 Zoning
The applicant has requested to rezone the subject lands to a Light Industrial Special Provision/Restrictive Service Commercial Special Provision (LI1_/LI7_/RSC2(_)/RSC3(_)/RSC4/RSC5(_)) Zone and an Open Space (OS4) Zone.
The requested amendment will add RSC2(_)/RSC3(_)/RSC4/RSC5(_)) Zone variations to the site to allow for a broader range of commercial uses and service trade uses, which generally require larger interior building space and a location on major streets conducive to patrons arriving by automobile. Special provisions are proposed for the RSC2 and RSC3 Zone categories to include Retail Store and Place of Worship as additional permitted uses.
Additionally, the requested amendment seeks to maintain the existing LI1/LI7 Zone variations on the property to ensure that existing site users are not “zoned into non-conformity” while also adding special provisions to scope the range of permitted light industrial uses by removing those uses which may be associated with noise, vibration and/or dust related impacts. The special provisions would also limit the location of these uses to the existing and approved buildings.
Staff are satisfied the range of proposed commercial uses is compatible with existing uses. As the site is already fully developed under the current LI1/LI7 Zone, the recommended amendment does not add significant new development opportunity
however will not hinder the long-term vision for higher-density residential and or mixed use development.
4.5 Open Space
Portions of the property are currently zoned an Open Space (OS4) Zone and an Environmental Review (ER) Zone. These zone boundaries generally align with the extent of potential natural hazard features that are regulated by the Upper Thames River Conservation Authority (“UTRCA”). The proposed Zoning By-law amendment does not propose to reduce the extent of the OS4 Zone boundary and in fact will expand the OS4 delineation to include the lands currently zoned as Environmental Review (ER) Zone, as recommended by UTRCA and City Stormwater Management staff through the pre-application consultation process. This will further ensure that no development or site alteration will occur within portions of the site impacted by natural hazards and flooding.
Conclusion
The applicant has requested an amendment to the Southwest Area Secondary Plan, to add a Specific Policy Area to the Wonderland Road Community Enterprise Corridor and Medium Density Residential designation to permit commercial uses on the subject lands in addition to a limited range of permitted light industrial uses. The applicant has also requested an amendment to the Zoning By-law Z-1 to rezone the subject lands to a Light Industrial Special Provision/Restrictive Service Commercial Special Provision (LI1_/LI7_/RSC2_/RSC3_/RSC4/RSC5_) Zone and an Open Space (OS4) Zone to permit a broader range of commercial and service trade uses on the lands, in addition to a limited range of light industrial uses within the existing and approved buildings. Staff are recommending approval of the requested Official Plan and Zoning By-law amendment with special provisions.
The recommended action is consistent with the PPS 2020, conforms to The London Plan and the Southwest Area Secondary Plan, and will facilitate the continued use of the existing building stock with a range of uses that are appropriate for the context of the site and surrounding area.
Prepared by: Brent House, Planner
Planning Implementation
Reviewed by: Catherine Maton, MCIP, RPP
Manager, Planning Implementation
Recommended by: Heather McNeely, MCIP, RPP
Director, Planning and Development
Submitted by: Scott Mathers, MPA, P.Eng.
Deputy City Manager, Planning and Economic Development
Copy: Britt O'Hagan, Manager, Current Development
Mike Corby, Manager, Site Plans
Brent Lambert, Manager, Development Engineering
The Municipal Council of The Corporation of the City of London enacts as follows:
1. Amendment No. (to be inserted by Clerk's Office) to the Official Plan, The London Plan for the City of London Planning Area – 2016, being an amendment to the Southwest Area Secondary Plan, as contained in the text attached hereto and forming part of this by-law, is adopted.
2. This Amendment shall come into effect in accordance with subsection 17(27) or 17(27.1) of the *Planning Act*, R.S.O. 1990, c.P.13.
PASSED in Open Council on July 23, 2024 subject to the provisions of PART VI.1 of the *Municipal Act*, 2001.
Josh Morgan
Mayor
Michael Schulthess
City Clerk
First Reading – July 23, 2024
Second Reading – July 23, 2024
Third Reading – July 23, 2024
AMENDMENT NO.
to the
OFFICIAL PLAN, THE LONDON PLAN, FOR THE CITY OF LONDON
A. PURPOSE OF THIS AMENDMENT
The purpose of this Amendment is to add a policy to the Wonderland Road Community Enterprise Corridor designation and the Medium Density Residential designation of the Southwest Area Secondary Plan (SWAP) to permit a range of additional uses.
LOCATION OF THIS AMENDMENT
This Amendment applies to lands located at 3392 Wonderland Road South in the City of London.
B. BASIS OF THE AMENDMENT
The site-specific amendment would allow for the repurposing of the existing building stock, to permit limited commercial, which do not adversely impact existing light industrial uses and provide transition to future residential uses. The recommended amendment is consistent with the PPS 2020, which promotes economic development and competitiveness by providing for an appropriate mix and range of employment, institutional, and broader mixed uses to meet long-term needs, and by providing opportunities for a diversified economic base. The recommended amendment conforms to The London Plan, including, but not limited to the evaluation criteria for Specific Policy Areas, the Neighbourhoods Place Type, Shopping Area Place Type and the Wonderland Road Community Enterprise Corridor policies.
C. THE AMENDMENT
The Southwest Area Plan, forming part of The London Plan, the Official Plan for the City of London is hereby amended as follows:
1. Add a policy to the Medium Density Residential designation within the Wonderland Boulevard Neighbourhood as follows:
3392 Wonderland Road South
For the lands in the Medium Density Residential Designation located at 3392 Wonderland Road South, those "light industrial/employment" uses that do not result in significant noise, vibration and/or dust impacts shall be recognized as permitted uses within the existing building stock. To allow for the evolution and vitality of the existing business park, the eastern portion of the lands within the Neighbourhoods Place Type may evolve with a broader range of commercial uses in conformity with the permitted uses of the Shopping Area Place Type and Wonderland Road Community Enterprise Corridor.
2. Add a policy to the Wonderland Road Community Enterprise Corridor designation within the Wonderland Boulevard Neighbourhood as follows:
3392 Wonderland Road South
For the lands in the Wonderland Road Community Enterprise Corridor Designation located at 3392 Wonderland Road South, those "light industrial/employment" uses that do not result in significant noise, vibration and/or dust impacts shall be recognized as permitted uses within the existing building stock. To allow for the evolution and vitality of the existing business park, the eastern portion of the lands within the Neighbourhoods Place Type may
evolve with a broader range of commercial uses in conformity with the permitted uses of the Shopping Area Place Type and Wonderland Road Community Enterprise Corridor.
AMENDMENT NO.
to the
OFFICIAL PLAN, THE LONDON PLAN, FOR THE CITY OF LONDON
A. PURPOSE OF THIS AMENDMENT
B. The purpose of this Amendment is to add a policy to the Specific Policies for the Neighbourhoods Place Type and Shopping Area Place Type and add the subject lands to Map 7 – Specific Policy Areas – of the City of London to permit a range of additional uses.
LOCATION OF THIS AMENDMENT
This Amendment applies to lands located at 3392 Wonderland Road South in the City of London.
C. BASIS OF THE AMENDMENT
The site-specific amendment would allow for the repurposing of the existing building stock, to permit limited commercial, which do not adversely impact existing light industrial uses and provide transition to future residential uses. The recommended amendment is consistent with the PPS 2020, which promotes economic development and competitiveness by providing for an appropriate mix and range of employment, institutional, and broader mixed uses to meet long-term needs, and by providing opportunities for a diversified economic base. The recommended amendment conforms to The London Plan, including, but not limited to the evaluation criteria for Specific Policy Areas, the Neighbourhoods Place Type, Shopping Area Place Type and the Wonderland Road Community Enterprise Corridor policies.
D. THE AMENDMENT
The London Plan, the Official Plan for the City of London is hereby amended as follows:
1. Specific Policies for the Neighbourhoods Place Type of the Official Plan, The London Plan, for the City of London is amended by adding the following:
(__) 3392 Wonderland Road South
For the lands in the *Neighbourhoods Place Type* located at 3392 Wonderland Road South, those “light industrial/employment” uses that do not result in significant noise, vibration and/or dust impacts shall be recognized as permitted uses within the existing building stock. To allow for the evolution and vitality of the existing business park, the eastern portion of the lands within the Neighbourhoods Place Type may evolve with a broader range of commercial uses in conformity with the permitted uses of the Shopping Area Place Type and Wonderland Road Community Enterprise Corridor.
2. Specific Policies for the Shopping Area Place Type of the Official Plan, The London Plan, for the City of London is amended by adding the following:
(__) 3392 Wonderland Road South
For the lands in the *Shopping Area Place Type* located at 3392 Wonderland Road South, those “light industrial/employment” uses that do not result in significant noise, vibration and/or dust impacts shall be recognized as permitted uses within the existing building stock. To allow for the evolution and vitality of the existing business park, the eastern portion of the lands within the Neighbourhoods Place Type may evolve with a broader range of commercial uses in conformity with the permitted uses of the Shopping Area Place Type and Wonderland Road Community Enterprise Corridor.
3. Map 7 - Specific Policy Areas, to the Official Plan, The London Plan, for the City of London Planning Area is amended by adding a Specific Policy Area for the lands located at 3392 Wonderland Road South in the City of London, as indicated on “Schedule 1” attached hereto.
OFFICIAL PLAN AMENDMENT No.
LOCATION MAP
Prepared by: Hall, M., 2019 (by: City of Vaughan, Ontario, Canada)
Coordinates (in the City of Vaughan, Ontario, Canada)
SUBJECT SITE
50. SOUTHWEST AREA
SECONDARY PLAN
Add: Special Policy Area
LEGEND
- Specific Policies
- Rapid Transit and Urban Corridor Specific-Segment Policies
- Near Campus Neighbourhood
- Secondary Plans
BASE MAP FEATURES
- Streets (See Map 3)
- Railways
- Urban Growth Boundary
- Water Courses/Ponds
This is an excerpt from the Planning Division's working consolidation of Map 7 - Special Policy Areas of the London Plan, with added notations.
SCHEDULE #
TO
OFFICIAL AMENDMENT NO. __________
PREPARED BY: Planning & Development
FILE NUMBER: OZ-8730
PLANNER: BH
TECHNICIAN: JI
DATE: 6/12/2024
Document Path: \tclfile\lgswork\Planning\Projects\ip_officialplan\workconsol00\amendments_LondonPlan\OZ-8730\Projects\AMENDMENT_Map7_SpecialPolicyAreas_b&w_Br11.mxd
WHEREAS upon approval of Official Plan Amendment Number (number to be inserted by Clerk’s Office) this rezoning will conform to the Official Plan;
NOW THEREFORE the Municipal Council of The Corporation of the City of London enacts as follows:
1. Schedule “A” to By-law No. Z.-1 is amended by changing the zoning applicable to lands located at 3392 Wonderland Road South FROM a Light Industrial (LI1/LI7) Zone, an Environmental Review (ER) Zone, and an Open Space (OS4) Zone TO a Light Industrial Special Provision/Restrictive Service Commercial Special Provision (LI1(_)/LI7(_)/RSC2(_)/RSC3(_)/RSC4/RSC5(_)) Zone and an Open Space (OS4) Zone.
2. Section Number 40.4 of the Light Industrial (LI1/LI7) Zone is amended by adding the following Special Provisions:
LI1(_) 3392 Wonderland Road South
a. Permitted Uses
1. All uses within the LI1 Zone variation, within existing buildings.
b. Prohibited Uses
1. Automobile body shops
2. Truck sales and service establishments
3. Tow Truck Business
LI7(_) 3392 Wonderland Road South
a. Permitted Uses
1. All uses within the LI7 Zone variation, within existing buildings
b. Prohibited Uses
1. Automobile body shops
2. Truck sales and service establishments
3. Tow Truck Business
3. Section Number 28.4 of the Restrictive Service Commercial (RSC2/RSC3/RSC5) Zone is amended by adding the following Special Provisions:
RSC2(_) 3392 Wonderland Road South
a. Permitted Uses
1. All uses within the RSC2 Zone Variation
2. Retail Store
3. Place of worship
b. Prohibited Uses
1. Automobile sales and service establishments
2. Automotive uses, restricted
3. Impounding yard
4. Tow Truck Business
RSC3( ) 3392 Wonderland Road South
a. Permitted Uses
1. All uses within the RSC3 Zone Variation
2. Retail Store
3. Place of worship
b. Prohibited Uses
1. Automobile sales and service establishments
2. Automotive uses, restricted
3. Impounding yard
4. Tow Truck Business
RSC5( ) 3392 Wonderland Road South
a. Permitted Uses
1. All uses within the RSC5 Zone Variation
2. Retail Store
3. Place of worship
b. Prohibited Uses
1. Automobile sales and service establishments
2. Automotive uses, restricted
3. Impounding yard
4. Tow Truck Business
4. This Amendment shall come into effect in accordance with Section 34 of the Planning Act, R.S.O. 1990, c. P13, either upon the date of the passage of this by-law or as otherwise provided by the said section.
PASSED in Open Council on July 23, 2024 subject to the provisions of PART VI.1 of the Municipal Act, 2001.
Josh Morgan
Mayor
Michael Schulthess
City Clerk
First Reading – July 23, 2024
Second Reading – July 23, 2024
Third Reading – July 23, 2024
AMENDMENT TO SCHEDULE "A" (BY-LAW NO. Z.-1)
File Number: OZ-9730
Planner: BH
Date Prepared: 2024/6/21
Technician: JI
By-Law No: Z.-1-
SUBJECT SITE
Zoning as of April 30, 2024
1:3,000
Meters
Description:
## Appendix B - Site and Development Summary
### A. Site Information and Context
#### Site Statistics
| Current Land Use | Industrial/commercial uses |
|---------------------------|----------------------------|
| Frontage | 145.5 metres (Wonderland Road South) |
| Depth | 349 metres |
| Area | 8.55 Hectares |
| Shape | Irregular |
| Within Built Area Boundary| Yes |
| Within Primary Transit Area| No |
#### Surrounding Land Uses
| Direction | Description |
|-----------|--------------------------------------|
| North | Vacant Industrial Lands |
| East | Pincome Drain/Morgan Park |
| South | Warehousing/Industrial |
| West | Large retail businesses (Lowe’s) |
#### Proximity to Nearest Amenities
| Feature | Location |
|----------------------------------|-----------------------------------------------|
| Major Intersection | Wharncliffe Road South, Wonderland Road South (~465 metres) |
| Dedicated cycling infrastructure | Wonderland Road South (~465 metres) |
| London Transit stop | Wonderland Road at Bradley NS NB - #2752, 350 metres |
### B. Planning Information and Request
#### Current Planning Information
| Category | Details |
|---------------------------------|-------------------------------------------------------------------------|
| Current Place Type | Neighbourhoods Place Type and Shopping Area Place Type |
| Current Special Policies | Southwest Area Secondary Plan (SWAP) |
| Current Zoning | Light Industrial (LI1/LI7) Zone, Environmental Review (ER) Zone, and Open Space (OZ4) Zone |
#### Requested Designation and Zone
| Category | Details |
|---------------------------------|-------------------------------------------------------------------------|
| Requested Place Type | No change requested |
| Requested Special Policies | Amendment to SWAP |
| Requested Zoning | Light Industrial Special Provision/Restrictive Service Commercial Special Provision (LI1(_)/LI7(_)/RSC2(_)/RSC3(_)/RSC4/RSC5(_)) Zone and Open Space (OS4) Zone |
Appendix C – Additional Plans and Drawings
Legend
- Downtown
- Transit Village
- Shopping Area
- Rapid Transit Corridor
- Urban Corridor
- Main Street
- Neighbourhood
- Future Community Growth
- Heavy Industrial
- Light Industrial
- Future Industrial Growth
- Commercial Industrial
- Institutional
- Environmental Review
- Farmland
- Rural Neighbourhood
- Waste Management Resource Recovery Area
- Urban Growth Boundary
- Green Space
This is an excerpt from Planning & Development’s working consolidation of Map 1 - Place Types of the London Plan, with added notations.
CITY OF LONDON
Official Plan
LONDON PLAN MAP 1
- PLACE TYPES -
PREPARED BY: Planning & Development
Scale 1:30,000
File Number: OZ-9730
Planner: BH
Technician: JI
Date: 2024/6/12
Project Location: \datafile\igs\work\Planning\Projects\ip_official\plan\work\consol00\excerpts_LondonPlan\mxd\OZ-9730-EXCERPT_Map1_PlaceTypes.mxd
COUNCIL APPROVED ZONING FOR THE SUBJECT SITE: LH1/LI7, ER
1) LEGEND FOR ZONING BY-LAW Z-1
R1 - SINGLE DETACHED DWELLINGS
R2 - HIGH DENSITY TWINDETACHED DWELLINGS
R3 - SINGLE TO FOUR UNIT DWELLINGS
R4 - STREET TOWNHOUSE
R5 - LOWER TOWNHOUSE
R6 - CLUSTER HOUSING ALL FORMS
R7 - DETACHED HOUSE
R8 - MEDIUM DENSITY LOW RISE APTS.
R9 - MEDIUM TO HIGH DENSITY APTS.
R10 - HIGH DENSITY APARTMENTS
R11 - LODGING HOUSE
DA - DOWNTOWN AREA
RSA - REGIONAL SHOPPING AREA
CSA - COMMERCIAL SHOPPING AREA
NSA - NEIGHBOURHOOD SHOPPING AREA
BCO - BUSINESS CENTRE COMMERCIAL
AC - ARTERIAL COMMERCIAL
HS - HOSPITAL SERVICE COMMERCIAL
RC - RETAIL SERVICE COMMERCIAL
CC - CONVENIENCE COMMERCIAL
SS - JUNIOR SCHOOL LOCATION
ASA - ASSOCIATED SHOPPING AREA COMMERCIAL
OR - OFFICE RESIDENTIAL
OC - OFFICE CONVERSION
RO - RESTRICTED OFFICE
OF - OFFICE
RF - REGIONAL FACILITY
GF - GENERAL FACILITY
NF - NEIGHBOURHOOD FACILITY
HEP - HERITAGE
CO - COMMUNITY
OS - OPEN SPACE
CR - COMMERCIAL RECREATION
ER - ENVIRONMENTAL REVIEW
OB - OFFICE BUSINESS PARK
LI - LIGHT INDUSTRIAL
GI - GENERAL INDUSTRIAL
HI - HEAVY INDUSTRIAL
EO - ENERGY PROACTIVE
UR - URBAN RESERVE
AG - AGRICULTURAL
ACC - AGRICULTURE COMMERCIAL
RSC - RETAIL SUPPLEMENT COMMERCIAL
TGS - TEMPORARY GARDEN SUITE
RT - RAIL TRANSPORTATION
"H" - HOUSING SYMBOL
"D" - DENSITY SYMBOL
"Hh" - HEIGHT SYMBOL
"B" - BONUS SYMBOL
"T" - TEMPORARY USE SYMBOL
CITY OF LONDON
PLANNING SERVICES / DEVELOPMENT SERVICES
ZONING
BY-LAW NO. Z.-1
SCHEDULE A
FILE NO:
OZ-9730 BH
MAP PREPARED:
2024/6/12 JI
1,4500
0 20 40 80 120 160 Meters
THIS MAP IS AN UNOFFICIAL EXTRACT FROM THE ZONING BY-LAW WITH ADDED NOTATIONS
Schedule 5 to the Southwest Area Secondary Plan
Wonderland Boulevard Land Use Designations
- High Density Residential
- Medium Density Residential
- Low Density Residential
- Commercial
- Office
- Wonderland Road Community Enterprise Corridor
- Main Street Lambeth North
- Main Street Lambeth South
- Open Space and Environmental Review
- Institutional
- Industrial
- Commercial Industrial
- Transnational Industrial
- Future Community Growth
- Future Industrial Growth
- Rural Neighbourhood
- Neighbourhood Central Activity Node
- Parks (Existing and Proposed)
- Urban Growth Boundary
- Neighbourhood Boundary
Add: Special Policy Area
OPA 70S, OPA 64
Produced by:
E:\Projects\swp_areas\swp\SecondaryAreaStudy
C:\WINNT\TEMP\OpaPrints\Wonderland_Boulevard_Sw_11_color.mxd
Heritage – Received May 14, 2024
- There are no cultural heritage or archaeological concerns with this application.
Ecology – Received May 14, 2024
**Major issues identified:**
- No Natural Heritage Features on, or adjacent to the site have been identified on Map 5 of the London Plan or based on current aerial photo interpretation.
**Ecology – complete application requirements**
- None.
**Notes**
- None.
Engineering – Received June 5, 2024
- The proposed rezoning does not indicate any new construction. All servicing concerns have been previously addressed through SPA21-021 - Engineering has no further comment.
UTRCA – Received May 21, 2024
- As indicated, the subject lands **are** regulated by the UTRCA due to the presence of a riverine flooding and erosion hazard. We have been involved in numerous discussions with the applicant related to the development of these lands. The UTRCA has **no objections** to the proposed Zoning By-law Amendment. If a development concept is provided in future, the UTRCA will work with the applicant through the Site Plan process to implement specific development requirements to ensure development proceeds in a safe manner.
- The UTRCA reminds the applicant that a Section 28 permit application is required prior to undertaking any works within the regulated area, including but not limited to site alteration, grading or development.
Urban Design – Received May 10, 2024
- Urban Design has no comments regarding the above-noted Official Plan and Zoning By-law Amendment as there are no significant changes proposed to the building design or site layout.
Parks Planning – Received March 14, 2024
1. **Major Issues**
- None.
2. **Matters for OPA/ZBA**
- None.
3. **Matters for Site Plan**
- Additional use to existing building, no comment.
Landscape Architecture – Received June 6, 2024
- No Comments.
Site Plan – Received May 30, 2024
1. **Major Issues**
- None at this time.
2. **Matters for OPA/ZBA**
- None at this time.
3. **Matters for Site Plan**
- As no site alteration is proposed by way of this Zoning By-law Amendment, Site Plan staff have no further comments at this time.
4. **Complete Application Requirements**
- None at this time.
**London Hydro – Received May 9, 2024**
- London Hydro has no objection to this proposal or possible official plan and/or zoning amendment. Any new or relocation of the existing service will be at the expense of the owner.
|
GUIDE TO BENEFITS
Cash Rewards Visa
Effective 04/26/23
Your Guide to Benefits describes the benefits in effect as of 04/26/23. Benefit information in this guide replaces any prior benefit information you may have received. Please read and retain for your records. Your eligibility is determined by your financial institution. For questions or assistance about your credit card account, please call Cardholder Services at 800.790.7728.
View these benefits online anytime at myCCCU.com/CashRewardsBenefits
Auto Rental Collision Damage Waiver
What is the Auto Rental Collision Damage Waiver ("Auto Rental CDW") benefit?
The Auto Rental Collision Damage Waiver ("Auto Rental CDW") benefit offers insurance coverage for automobile rentals made with your Visa card. The benefit provides coverage for collision, theft or damage to the covered vehicle for damage due to collision or theft up to the actual cash value of most rental vehicles.
Who is eligible for this benefit?
You are eligible for this benefit if you are a valid cardholder whose name is embossed on an eligible Visa card issued in the United States. Only you as the primary renter of the vehicle and any additional drivers permitted by the auto rental agreement are covered.
What losses are covered?
This benefit provides reimbursement up to the actual cash value of the vehicle as it was originally manufactured. Most private passenger automobiles, minivans, and sport utility vehicles are eligible, but some restrictions may apply. Please contact the Benefit Administrator to inquire about a specific vehicle.
Covered losses include:
- Physical damage and/or theft of the covered rental vehicle
- Valid loss-of-use charges imposed and substantiated by the auto rental company
- Reasonable and customary towing charges, due to covered theft or damage, to the nearest qualified repair facility
Please Note: This benefit only covers vehicle rental periods that neither exceed nor are intended to exceed fifteen (15) consecutive days within your country of residence or thirty-one (31) consecutive days outside your country of residence.
How does this coverage work with other insurance?
Within your country of residence, this benefit supplements, and applies excess of, any valid and collectible insurance or reimbursement from any source. This means that, subject to the terms and conditions of this benefit, Auto Rental CDW applies to eligible theft or damage to the covered vehicle that would otherwise be covered by insurance.
If you do not have personal automobile insurance or any other insurance covering theft or damage, this benefit covers up to the cost of covered theft or damage as well as valid loss-of-use charges imposed by the auto rental company. If your claim is covered, the auto rental company will pay the claim directly to the company and reasonable towing charges that occur while you are responsible for the rental vehicle.
If you do have personal automobile insurance or other insurance covering this theft or damage, the Auto Rental CDW benefit covers you for the deductible portion of your claim, plus any applicable co-payments and any applicable out-of-pocket administrative and loss-of-use charges imposed by the auto rental company, as well as reasonable towing charges resulting from covered theft or damage of the rental vehicle while it is your responsibility.
What types of rental vehicles are not covered?
This benefit does not cover the following types of Auto Rental CDW; expensive, exotic, and antique automobiles; certain vehicles that have an open cargo bed; trucks; motorcycles, mopeds, and motorbikes; limousines; and recreational vehicles.
Examples of excluded expensive or exotic automobiles include: the Aston Martin, Bentley, Brinkler, Daimler, Delahaye, Excalibur, Ferrari, Jensen, Lamborghini, Mercedes-Benz, Rolls-Royce, and Rolls-Royce Phantom. Selected models of BMW, Mercedes-Benz, Cadillac, and Lincoln are covered.
An antique automobile is defined as any vehicle more than twenty (20) years old or any vehicle that has been owned for more than ten (10) years.
Vans are not covered, with the exception of those manufactured and designed specifically as small group transportation vehicles (for a maximum of eight (8) people including the driver).
What else is not covered?
- Any obligation you assume under any agreement (other than the deductible under your personal auto policy)
- Any violation of the auto rental agreement or this benefit
- Injury of anyone or damage to anything inside or outside the rental vehicle
- Loss or theft of personal belongings
- Personal liability
- Expenses assumed, waived, or paid by the auto rental company or its insurer
- Cost of any insurance or collision damage waiver offered by or purchased through the auto rental company
- Depreciation of the rental vehicle caused by the incident (including, but not limited to “diminished value”)
- Expenses reimbursable by your insurer, employer, or employee’s insurance
- Theft or damage due to intentional acts, or due to the driver(s) being under the influence of alcohol, intoxicants, or drugs, or due to vandalism or illegal activities
- Wear and tear, gradual deterioration, or mechanical breakdown
- Items not installed by the original manufacturer
- Damage due to off-road operation of the rental vehicle
- Theft or damage due to hostility of any kind (including, but not limited to, war, terrorism, rebellion, insurrection, or terrorist activities)
- Confiscated by authorities
- Vehicles that do not meet the definition of covered vehicles
- Rental periods that either exceed or are intended to exceed fifteen (15) consecutive days within your country of residence or thirty-one (31) consecutive days outside your country of residence
- Leases and sub-leases
- Theft or damage as a result of the authorized driver’s and/or cardholder’s lack of reasonable care in protecting the rental vehicle before and/or after their or damage occurs for example, leaving the rental vehicle running and unattended
- Theft or damage that occurred more than forty-five (45) days* from the date of the incident
- Theft or damage for which a claim form has not been received within ninety (90) days* from the date of the incident
- Theft or damage for which all required documentation has not been received within three hundred and sixty-five (365) days from the date of the incident
- Theft or damage from rental transactions that originated in Israel, Jamaica, the Republic of Ireland, or Northern Ireland
Where am I covered?
This benefit is available in the United States and most foreign countries. However, no benefit is provided for motor vehicles rented in Israel, Jamaica, the Republic of Ireland, or Northern Ireland. Additionally, this benefit is not available where precluded by law or violation of the auto rental agreement, or where prohibited by existing insurance requirements. Because regulations vary outside the United States, it is recommended you check with your auto rental company and the Benefit Administrator to determine whether this benefit applies to your situation. This benefit is in effect while the rental vehicle remains in your control or in the control of an authorized driver permitted to operate the rental vehicle in accordance with the terms of the rental agreement. You are under the auto rental company’s benefit terminals when the auto rental company re-assumes control of the rental vehicle.
How do I make sure my Auto Rental CDW benefit is in effect?
To be sure you are covered, take the following steps before you rent a vehicle:
1. Initiate and complete the entire rental transaction with your eligible Visa card.
2. Decline the auto rental company’s collision damage waiver (CDW), LDW option or similar provision.
Helpful tips:
- Be sure to check the rental vehicle for prior damage before leaving the rental lot.
- Inspect the auto rental agreement carefully to make sure you are declining CDW/LDW and are familiar with the terms and conditions of the auto rental agreement.
What if the auto rental company insists that I purchase the auto rental company’s auto insurance or collision damage waiver?
Call the Benefit Administrator for help at 1-800-397-9010. If you are outside the United States, call collect at 303-967-1093.
Filing an Auto Rental CDW Claim
What do I do if I have an accident or the rental vehicle is stolen?
Immediately call the Benefit Administrator at 1-800-397-9010 to report the theft or damage regardless of whether your liability has been established. If you are outside the United States, call collect at 303-967-1093. The Benefit Administrator will answer any questions you or the auto rental company may have and will send you a claim form.
What should I report an incident?
You should report theft or damage as soon as possible, but not later than forty-five (45) days* from the date of the incident. The Benefit Administrator reserves the right to deny claims for theft or damage if the claimant has failed to report and had the Benefit Administrator been notified before those expenses were incurred, so you are advised to notify the Benefit Administrator immediately after any incident.
Please Note: You must make every reasonable effort to protect the rental vehicle during the incident. As soon as possible after reporting your claim to the Benefit Administrator immediately Reporting an incident to someone other than the Benefit Administrator will not fulfill this obligation.
What do I need from the auto rental company in order to file a claim?
At the time of the theft or damage, or when you return the rental vehicle, immediately ask the auto rental company for:
- A copy of the accident report form and claim document, which should indicate the costs you are responsible for and any amounts that have been paid toward the claim
- A copy of the initial and final auto rental agreement(s)
- A copy of the repair estimate and itemized repair bill
- Two (2) photographs of the damaged vehicle, if available
- A police report, if obtainable
Auto Rental Collision Damage Waiver (continued)
Buyer Protection / Purchase Security
What is the Buyer Protection benefit?
We will reimburse you for any loss up to $1,000 for Covered Purchases that are damaged or stolen, except if stolen from vehicles. This coverage only applies if the Insured Person charged or debited the entire cost of the Covered Purchase to the Insured Person's Account during the Policy period.
When is this benefit in effect?
This insurance plan is provided to Christian Community Credit Union Visa Signature Cardholders automatically when the entire cost of the Covered Purchase is charged to the Christian Community Credit Union account while the insurance is effective. It is not necessary for you to notify the Credit Union, the administrator or the Company that you are purchased.
Is there a cost for this benefit?
This insurance plan is provided at no cost to eligible Christian Community Credit Union Cardholders. Christian Community Credit Union pays the full cost of the insurance.
When does coverage apply for this benefit?
Coverage applies for 90 days immediately following a Covered Purchase.
What is the Benefit Amount?
We will reimburse the Insured Person for the lesser of: 1) the cost of the Covered Purchase indicated on the Insured Person's Account statement; or 2) the Benefit Amount of $1,000.
In no event will We be liable beyond the amounts actually paid by the Insured Person. In no event will We pay more than the Annual Maximum Benefit Amount of $50,000 per 12 month policy period, regardless of the number of claims made in that 12 month policy period.
The Benefit Amount is payable on a excess basis over and above any amount due from an Insured Person, including any amounts or other form of reimbursement payable by those responsible for the loss.
Call the Benefit Administrator for help at 1-800-337-2632.
Definitions:
Account means Credit Card accounts or Debit Card accounts.
Cardholder means an individual who is authorized on the Credit Card account.
Covered Purchase means a purchase of merchandise, gift items, or otherwise excluded that is purchased in full by the Insured Person using the Credit Card or Debit Card issued to the Insured Person. Covered Purchase does not include checks, drafts, money orders, traveler's checks, or cash advances.
Due Diligence means the effort that would be made by a reasonable and prudent person to prevent the Covered Purchase from that act.
Fine Art means paintings, sculptures, prints, antiques, other bona fide works of art including but not limited to statues, rare books and manuscripts, porcelains, rare glass, and other items of material value or artistic merit.
Insured Person means the person qualified as a Class member: 1) who elects insurance; or 2) for whom insurance is elected; 3) and on whose behalf premium is paid.
Natural Disaster means an event, including but not limited to storm, rain, snow, flood, hurricane, earthquake, volcanic eruption, tornado, fire, lightning, volcanic eruption, wildfire or other similar event that: 1) is due to natural causes; and 2) results in severe damage such that the area in which loss occurs is declared a disaster area by a competent governmental authority having jurisdiction.
Proof of Loss means: a) a copy of the Account statement showing the purchase of the Covered Purchase; b) a copy of the receipt or invoice relating to the Covered Purchase; c) a copy of the police report; d) proof of submission to the loss; and e) receipt of any settlement by the vendor; e) proof of submission of the loss; and f) proof of any settlement or denial by the Insured Person's personal insurance carrier.
What are the exclusions?
Insurance under this Policy does not apply to Covered Purchases of: 1) professional advice; 2) boats; 3) motorized vehicles (including but not limited to airplanes, automobiles, motorcycles, bicycles, and other motorized vehicles); 4) firearms, equipment and accessories (including communication devices intended solely for the use in the vehicle); 4) land or buildings (including but not limited to homes and dwellings); 5) food, drink, beverages, tobacco products, alcoholic beverages, bullion, rare or precious coins, cash or in equivalent (including gift cards and cash advances); 6) jewelry, watches, silverware, gold, silver, precious metals, antiques or collectibles; 9) computer software or programs; 10) items purchased for resale; i) items purchased for professional or commercial use; ii) items purchased for investment; iii) items purchased for use in a craft, including but not limited to remodeled goods; 13) shipping, handling, or transportation charges for the cost of the Covered Purchase; 14) items that are stolen while in transit; and 15) where the value of any article may have had as part of a set or collection, 15) more than one part or parts of a pair or set of jewelry or fine art.
FORM #VARCDW - 2013 (Stand 04/14) ARCDWS-5
Buyer Protection / Purchase Security (continued)
This insurance does not apply to loss or damage of a Covered Purchase caused directly or indirectly by:
1) Theft of: i) personal property from vehicles; ii) personal property when the Insured Person fails to exercise Due Diligence and iii) personal property stolen from public places when the Insured Person fails to exercise Due Diligence. The theft must be reported to the police or an appropriate authority within 24 hours; 2) Loss of: i) personal property with no evidence of a wrongful act; ii) baggage and/or its contents unless carried by the Insured Person by hand or under the Insured Person’s personal responsibility in a traveling vehicle; iii) personal property of the Insured Person; iii) property by the United States Postal Service (USPS) or any other delivery service, including but not limited to, loss due to: 1) negligence; 2) theft and/or fraud or gradual deterioration; 5) Moths, vermin, invertebrates; 6) Product defects or items covered by a manufacturer’s recall; 7) Damage sustained due to any process or while subject to any condition or treatment required by law or regulation by any government, public authority or customs official; 9) Natural Disaster; 10) Failure of the insured property to comply with any applicable law, regulation or standard; 11) Power surge or power loss; 12) Any Hazardous, pathogenic or poisonous, biological, chemical, nuclear or radioactive material, gas, matter or contamination; 13) Replacement of any item or part thereof that has been damaged or lost, whether in time of peace or war; nuclear radiation or nuclear radiation or radioactive contamination; 14) Loss or damage to any item or part thereof such loss or damage is direct or indirect, proximate or remote, or be in whole or in part caused by, contributed to or aggravated by the perils insured against in this Policy.
Filing a Buyer Protection Claim
How do I file a claim?
The Insured Person Must send the Administrator written notice of a claim, including Insured Name and Policy Number within 45 days after a covered loss occurs.
The Insured Person must:
a) protect the Covered Purchase from further loss or damage;
b) report any loss to the appropriate official authorities such as the police and the Administrator within 24 hours of the date of the loss;
c) complete the claim form and return along with legible copies of the Account statement showing the purchase of the Covered Purchase and original purchase receipt;
d) provide a photograph of any damaged Covered Purchase. A copy of the repair bill or a statement from the vendor that the Covered Purchase has been replaced or evidence that the Covered Purchase has already been replaced or repaired, if applicable;
e) provide a fire or police report, if applicable;
f) provide a proof of title of the loss, and the results of any settlement by the vendor;
g) proof of submission of the loss, and the results of any settlement or denial by the vendor to the Administrator;
h) provide documentation of any other insurance or a statement that no other insurance exists;
i) provide a sworn statement regarding circumstances of the theft or damage;
j) submit Proof of Loss to the Administrator;
k) cooperate with the Administrator in the investigation, settlement or handling of any claim.
l) permit the Administrator to question the Insured Person under oath whenever our Investigation deems necessary. All statements taken will be signed by the Insured Person; and
m) authorize the Administrator to obtain records, reports or any other documentation requested necessary to Our Investigation or to verify the claim.
Lost Luggage Reimbursement
What is the Lost Luggage Reimbursement benefit?
As a Christian Community Credit Union member, you are eligible to receive reimbursement for amounts paid for direct physical loss or damage to Checked and/or Carry-On Baggage and personal property contained therein up to $3,000. Reimbursement will be on an Actual Cash Value basis at the time of loss. This benefit applies provided the loss or damage occurred during travel and luggage is charged or debited to your account.
Definitions
- **Insured** means Cardholders, Cardmembers and Accountholders of the credit union. Cardholder means an individual who has been issued an Account card by the Plan Administrator. Cardmember means any authorized party or additional card holder who has been issued an Account card by the Plan Administrator. Accountholder means an individual who has an open and active account with the credit union.
- **Checked Baggage** means suitcases or other containers specially designated for carrying personal property, for which the Insured has been charged or “haired” by a Common Carrier. Carry-On Baggage means suitcases or other containers specially designated for carrying personal property, which are carried on board a Common Carrier by the Insured.
- **Common Carrier** means any train, water, or air conveyance operated under a license or permit of the state or federal government.
- **Actual Cash Value** means the cost to replace the lost or damaged personal property at the time of loss, less depreciation.
Who is eligible for the benefit?
If the Common Carrier Baggage reimbursement is provided to you, as an Insured, automatically, the entire cost of the Common Carrier passage fare is charged or debited to your Christian Community Credit Union Savings Account. It is not necessary to file a claim. Please contact the Plan Administrator at the time the passage fee is charged or debited to your Account.
What is the cost?
This coverage is provided at no additional cost to eligible Insureds under the master policy 9008-85-14 issued to PCSU by Federal Insurance Company (the Company).
What is the coverage?
The Company’s liability will be for a maximum reimbursement of $3,000 per insured, of which no more than $250 will be for all jewelry and fur. Payment will be on an Actual Cash Value basis at the time of loss. Coverage under this plan will be excess over any amount due solely from the Common Carrier.
What is the effective date?
This plan is effective July 1, 2013 and will cease on the close date the master policy 9008-85-14 is cancelled. Coverage will end on the close date of the policy or the date you no longer qualify as an eligible Insured or on the expiration date of any applicable period of coverage of any insured, whichever occurs first.
When will the claim be paid?
Reimbursement for covered losses will be paid to the Insured Person within 60 days after the date of the Insured Person’s Proof of Loss.
What is the effective date?
Your insurance becomes effective on the latest of: the effective date of this policy, the date on which you first meet the eligibility criteria as an Insured Person or the beginning of the period for which you have paid for your Insured. Insurance for you automatically terminates on the earliest of: the termination date of this policy, the expiration of the period for which required premium has been paid for you, the date on which you no longer meet the eligibility criteria as the Insured Person.
Cards that Give to Missions & Ministries
Every time you use your Christian Community Credit Union credit card to make a purchase, you generate a donation to missions and ministries. Since the credit card program began in 1994, the Credit Union has donated over $4.5 million to international and local mission projects, Christian camps, disaster relief, scholarships and more. Visit myCCCU.com/converts for details.
Cash Back Mail
By using your Christian Community Credit Union Cash Rewards Visa, you’ve earned the right to great benefits from your CCU membership!
Earning cash back is easy!
Simply enjoy the rewards and convenience of your Christian Community Credit Union credit card. For every dollar you charge, you earn 1.5% cash back.
Redeeming your cash back
Redeem your cash back rewards as a credit to your OCUC savings, checking, or credit card statement. Cash Back Mail link is available in online and mobile banking or credit card only login.
Questions? Simply call toll-free at 1.866.820.2933.
Lost Luggage Reimbursement (continued)
What else is not covered?
MISREPRESENTATION AND FRAUD: Coverage of this Insured will be void if, at any time, the Insured has concealed or misrepresented any material fact or circumstance concerning this coverage or the subject thereof or the interest of the Insured herein, or in case of any fraud or false swearing by the Insured relating thereto.
Coverage for an Insured will be void if, without notice or after notice, the Insured or his/her Beneficiary or Agent(s) has concealed or misrepresented any material fact or circumstance concerning this coverage or the subject thereof or the interest of the Insured therein, or in case of any fraud or false swearing by the Policyholder or its subscribing organization(s) relating hereto.
Travel and Emergency Assistance Services
What is this benefit?
These benefit offers services designed to help you in case of an emergency while traveling. The Benefit Administrator can connect you with appropriate local emergency and assistance services available to you when you face an issue such as distance, location, or time, whether the Benefit Administrator nor its service providers can be responsible for the availability, use, cost, or results of any medical, legal, transportation, or other services.
Who is eligible for this benefit?
You are eligible if you are a valid cardholder of an eligible Visa Signature card issued in the name of yourself and children [provided children are dependents under twenty-two (22) years old] may all benefit from these special services.
How do I use these services when I need them?
- Simply call the toll-free, 24-hour Benefit Administrator line at 1-800-397-9010. If you are outside the United States, call collect at 303-967-1088.
Is there a charge for these services?
No. Travel and Emergency Assistance Services are available to eligible Visa Signature cardholders without additional charge.
Please Note: Travel and Emergency Assistance Services provide assistance and referral only. You are responsible for the cost of any actual medical, legal, transportation, cash advance, or other services or goods provided.
FOR INSUREDS WHO ARE NEW YORK STATE RESIDENTS:
To the extent that this plan provides insurance against the loss or damage to baggage and its contents, the following fees and conditions apply: (1) The loss or damage to baggage and its contents the Insured is liable for, the highest amount of insurance is $2,000 per trip, including contents, subject to a maximum annual aggregate amount of $10,000 for all Insureds per trip.
Roadside Dispatch
For Roadside Assistance, call 1.800.Visa.Tow (1.800.847.2869)
What is Visa Roadside Dispatch?
Visa Roadside Dispatch is a Pay-Per-Use Roadside Assistance Program provided exclusively for Visa Signature®. The program provides you with security and convenience when your travel plans change.
No Membership Required. No Pre-Enrollment is Required. No Annual Dues. No Limit on Usage.
What is the cost?
$99.95 per service call, the program provides:
- Towing (up to 5 miles included)
- Tire Changing (must have good, inflated spare)
- Jump Starting (battery boost)
- Lockout Service (no key replacement)
- Fuel Delivery up to 5 gallons (cost of fuel not included)
- Winching* (within 100 feet of paved or county maintained road only)
Roadside Dispatch will ask you where you are, what the problem is, and while we remain on the phone, they arrange a dispatch to a reliable tow operator or locksmith to provide assistance. If you feel safe doing so, you can also dial 911 to get your car up and dial 911. If you are not able to dial 911, we will call the non-emergency police number in your area, and will leave on the phone with you at your request until the police arrive. Not sure what you need to have search for the name of a local tow operator, we may not know you because our rates are pre-negotiated. All fees are conveniently billed to your Visa account.
Emergency Translation Service provides telephone assistance in all major languages and helps you find local interpreters. It is available when you need more assistance with your travels. Please Note: You are responsible for the cost of any replacement items shipped to you.
Prescription Assistance and Valuable Document Delivery Arrangements can help you with the delivery of prescriptions to your local pharmacies and the delivery of important documents to you at your local pharmacies. It can also help transport critical documents that you may have left at your home or elsewhere. Please Note: All costs are your responsibility.
Pre-Trip Assistance can give you information on your destination before you leave — such as weather forecasts, currency exchange rates, weather reports, health precautions, necessary immunizations, and required passport visas.
ADDITIONAL PROVISIONS FOR TRAVEL AND EMERGENCY ASSISTANCE SERVICES
The benefit described in this Guide to Benefits will not apply to Visa Signature cards purchased whose terms and conditions are not supplemented or endorsed. This summary and conditions described in this Guide to Benefits may be modified by subsequent endorsements. Modifications to the terms and conditions may be provided via additional Guide to Benefits mailing, statement inserts, or statement statements.
FORM #YTEAS – 2013 (Stand 04/14) TEAS-S
Trip Cancellation/Trip Interruption
Who is covered?
Cardholder, spouse/domestic partner and unmarried dependent children under age 25.
Definitions
- **Dependent child(ren)** means unmarried children, including adopted children, those children placed for adoption, and step-children, who are primarily dependent on the Insured Person for support; or whose parents are under the age of twenty-five (2) and reside with the insured; beyond the age of twenty-five (25) who are primarily dependent on the Insured Person for support; or whose parents are under the age of twenty-five (25) and reside with the insured person from whom they receive the majority of their support; or up to the age of twenty-five (25), if classified as a full-time student at an institution of higher learning.
- **Common carrier** means any licensed land, air, or water conveyance operated by those whose occupation or business is the transportation of persons or things without discrimination and for hire.
- **Covered trip** means any accidental injury, disease, or physical illness of the insured person or an immediate family member of the insured person, or default of the common carrier, which prevents the insured person from traveling, or causes delay, accidental injury, disease, or physical illness must be verified by a physician and must prevent the insured person from traveling on a covered trip.
- **Covered trip costs** means a trip, to which common carrier costs (other than tax) are charged to the insured person’s credit card account.
- **Financial insolvency** means the inability of the entity that provides travel services because of financial difficulties, whether or not the cause is a petition for bankruptcy, whether voluntary or involuntary, or because it has ceased operation as a result of a deficit of credit or the inability to meet financial obligations.
- **Immediate family member** means the Insured Person’s spouse; (2) children, including adopted children or stepchildren; (3) legal guardians or wards; (4) siblings to the insured; (5) parents; (6) grandchildren; (7) grandparents; (8) grandchildren; (9) aunts or uncles; (10) nieces and nephews. Immediate Family Member also means spouses’ children, including adopted children or stepchildren, and the children of the spouse’s parents, including adopted parents-in-law; grandparents or grandchildren; aunts and uncles; nieces and nephews.
- Whenever the term says “and” it includes the insured person with one or at least two other age and who have the past 12 months lived together in a committed relationship with the primary cardholder; (2) has been the cardholder’s sole source of support for at least six (6) months prior to the purchase of the policy; and (4) has jointly been responsible with the cardholder for each other’s financial obligations and who intends to continue to remain so indefinitely.
- **Non-recoverable expenses** means the money paid by or on behalf of the insured person for a covered trip which will be forfeited under terms of the agreement made with the common carrier for unused travel arrangements for which a travel agent has received a commission or other form of compensation.
- **Pre-existing condition** means accidental injury, disease, or illness of the insured person or immediate family member of the insured person which existed or manifested itself within the sixty (60) days preceding the date prior to the purchase of common carrier passenger fares. Disease or illness has manifested itself when (1) the insured person or immediate family member of the insured person would that cause a reasonably prudent person to seek medical diagnosis, care, or treatment. The taking of prescribed drugs or medication for a controlled condition through the sixty (60) days prior to the purchase of common carrier fares is a manifestation of illness or disease.
- **The common carrier** means cancellation of common carrier travel arrangements when the insured person is prevented from traveling on a covered trip on or before the covered trip departure.
- **Trip Interruption** means the covered person’s covered trip is interrupted either on the way to the point of departure or after the covered trip departure.
How to qualify for coverage?
You must charge the entire cost of the passenger fare(s) to the covered account, less redeemable certificates, vouchers, coupons, or free flights awarded from frequent flier cards.
What is covered?
If a covered cardholder must cancel or interrupt a trip due to a covered loss, the policy will pay up to a maximum benefit of $2,000 per trip to reimburse the cardholder for nonrefundable expenses incurred. The cardholder must relinquish any unused vouchers, tickets, coupons, or travel privileges for which he or she has been reimbursed.
Covered trip means a trip for which common carrier costs (other than taxi) are charged to the insured person’s credit card account.
What is not covered?
- This insurance does not apply to loss caused by or resulting from:
- A pre-existing condition;
- Accidental bodily injuries arising from participation in interscholastic or professional sports, racing or speed contests, or uncertified scuba diving;
- Cosmetic surgery, unless such cosmetic surgery is rendered necessary as a result of a loss covered under this policy.
- The insured or an immediate family member being under the influence of drugs (except those prescribed and used as directed by a physician) or alcohol.
Trip Cancellation/Trip Interruption (continued)
- The insured or an immediate family member: a) traveling against the advice of a physician, or receiving treatment on a list not specified medical treatment; or b) traveling for the purpose of obtaining medical treatment; or c) traveling in the third trimester (seventh month or after) of pregnancy.
- Loss caused by or resulting from an insured person’s emotional trauma, mental or physical illness, disease, pregnancy, childbirth or miscarriage; bacterial or viral infection; or other communicable diseases, except physical illness or injury caused by the insured person from traveling on a covered trip.
- This exclusion does not apply to loss resulting from an insured person’s bacterial infection caused by an accident or from accidental consumption of a substance contaminated by bacteria.
Filing a Claim
**CLAIM NOTICE:** Written claim notice must be given to the Company within 20 days following the occurrence of the loss, or as soon as reasonably possible. Failure to give notice within 20 days will not invalidate or reduce any otherwise valid claim if notice is given as soon as reasonably possible.
**CLAIM FORMS:** When the Company receives notice of a claim, the Company will send you forms for proving proof of loss to us within 15 days. If you do not receive these forms, you should file your claim with the Company as soon as possible.
**CLAIM PROOF OF LOSS:** Complete proof of loss must be given to us within 90 days after the date of loss, or as soon as reasonably possible. Failure to give proof of loss within 90 days of the date of loss will invalidate or reduce any otherwise valid claim if notice is given as soon as reasonably possible and in no event later than 1 year after the deadline to submit complete proof of loss.
**CLAIM PAYMENT:** For all benefits, the Company will pay you or your beneficiary the applicable benefit amount within 30 days after completion of proof of loss is received and if you, the Policyholder and/or the beneficiary have complied with all conditions of the policy.
What is the effective date?
This insurance is effective the date you become an eligible insured and will expire the date the last item purchased or reimbursed by you will be returned by the Policyholder and/or you or your beneficiary no longer qualify as an eligible insured, or on the expiration date of the applicable coverage period for the Insured, whichever occurs first.
The coverage period will not exceed thirty-one (31) consecutive days, or forty-five (45) consecutive days if the Insured is an employee of an organization which has provided an Account card to the Insured for business use.
Warranty Manager Service
What is this benefit?
Warranty Manager Service provides you with valuable features to help manage, use and even extend the warranties of eligible items purchased with your Visa Signature card. You can access these features with a simple toll-free call. Services include Warranty Registration and Extended Warranty Protection.
Who is eligible for this benefit?
You are eligible if you are a valid cardholder of an eligible Visa Signature card issued in the United States.
Why should I use Warranty Registration to register my purchases?
You’ll have the mind knowing that your purchases’ warranty information is registered on and off line. Although Warranty Registration is not required for Extended Warranty protection benefits, you are encouraged to take advantage of this valuable service. When registering for a warranty, if you need to provide a copy of critical documents, you can just pick up the phone and call the Benefit Administrator.
How do I register my purchases?
Call the Benefit Administrator at 1-800-397-9010, or call collect outside the U.S. at 303-967-1093. The Benefit Administrator will provide the address to which you can send the item’s sales receipt and warranty information so this key information can be registered for you.
How does Extended Warranty Protection work?
Extended Warranty Protection covers the entire period of the original manufacturer’s U.S. repair warranty or up to one (1) additional year on eligible warranties of three (3) years or less for items purchased entirely with your eligible Visa Signature card.
This benefit is limited to no more than the original price of the purchased item (as shown on your Visa Signature card receipt), less shipping and handling fees, up to a maximum of five thousand dollars ($10,000.00) per claim and fifty thousand dollars ($50,000.00) per calendar year.
What about purchases made outside of the U.S.?
Purchases made outside of the U.S. are covered as long as you purchased the item entirely with your eligible Visa Signature card and the eligible item has a valid original manufacturer’s written U.S. repair warranty of three (3) years or less, store-purchased dealer warranty, or assembler warranty.
Under normal circumstances, reimbursement will take place within five (5) business days of receipt and approval of all required documents.
How will I be reimbursed?
If you have substantiated your claim and met the terms and conditions of the benefit, the amount will be paid as agreed at the Benefit Administrator’s discretion, but for no more than the original purchase price of the covered item as recorded on your Visa Signature card receipt, less shipping and handling fees, up to a maximum of ten thousand dollars ($10,000.00) per claim, and a maximum of fifty thousand dollars ($50,000.00) per calendar year.
What types of purchases are not covered?
- Boats, automobiles, aircraft, and any other motorized vehicles and their motors, engines, transmissions, and accessories;
- Motorcycles, trailers and other items that can be towed by or attached to any motorized vehicle;
- Any costs other than those specifically covered under the terms of the original manufacturer’s written U.S. repair warranty, as supplied by the original manufacturer, or other eligible warranty;
- Items purchased for resale, professional, or commercial use;
- Real estate and items which are intended to become part of real estate including, but not limited to, items that are hard-wired or hard-plumbed, garage doors, garage door openers, and ceiling fans.
Warranty Manager Service (continued)
- Rented or leased items or items purchased on an installment plan and for which the entire purchase price was not paid in full at the time of the occurrence;
- Computer software;
- Medical equipment;
- Used or pre-owned items.
Should I keep copies of receipts or any other records?
Not if you’ve already registered your purchase. If you have not registered your purchase, however, you should keep copies of your Visa Signature card receipt, your store receipt, the original manufacturer’s written U.S. warranty, and any other applicable documents. You may find that you need to file a claim, as these documents will be required to verify your claim.
Visa Signature Benefits
As a Visa Signature cardholder, you are eligible for the following Visa Signature Benefits:
- **Travel** - Receive complimentary discounts and upgrades at top hotels, resorts, and cruise lines.
- **Entertainment** - Enjoy access to exclusive movie ticket offers at fandango.com/visasignature.
- **Fine Dining** - Indulge your passion for everything gourmet with special dining offers at participating restaurants.
- **Sports** - Get up close and personal at once-in-a-lifetime sporting events. Plus, treat yourself to premier golf outings and football game-day experiences.
**Note:** If you do not notify the Benefit Administrator within sixty (60) days after the product failure, your claim may be denied.
The Benefit Administrator will ask you for some preliminary claim information, direct you to the appropriate repair facility, and send you the appropriate claim form.
Gift recipients of eligible items are also covered by the claim process. However, a gift recipient must provide all the documents necessary to fully substantiate the claim.
For faster filing, or to learn more about the Warranty Manager Service benefit, visit www.visa.com/claims
Warranty Manager Service (continued)
- Rented or leased items or items purchased on an installment plan and for which the entire purchase price was not paid in full at the time of the occurrence;
- Computer software;
- Medical equipment;
- Used or pre-owned items.
Continued on next page
Warranty Manager Service (continued)
If you make any claim knowing it to be false or fraudulent in any respect including, but not limited to, the cost of repair or services, no benefit will exist for such claim and your benefits will be terminated. Each claim must be made within 180 days after the claim will be accurate and complete. Any and all relevant provisions shall be void in any case of fraud, intentional concealment, or misrepresentation of material fact.
Once you report an occurrence, a claims file will be opened and will remain open for six (6) months from the date of the occurrence or theft. No additional file will be made on a claim that is not completely submitted in the manner required by the Benefit Administrator within the six (6) month time limit of the date of occurrence.
After the Benefit Administrator has paid your claim, all your rights and remedies against any party in respect of this claim will be transferred to the Benefit Administrator to the extent permitted by law. You must give the Benefit Administrator all assistance as may reasonably be required to secure all rights and remedies.
No legal action for a claim may be brought against the Provider until sixty (60) days after the Provider receives Proof of Loss. No legal action against the Provider may be brought more than two years after the date of loss or damage. Further, no legal action may be brought against the Provider unless at the terms of this Guide to Benefits have been completed with fully.
This plan is available to eligible Visa Signature cardholders at no additional cost. The terms and conditions contained in this Guide to Benefits may be modified by subsequent endorsement(s). Modifications to the terms and conditions may be provided via email, mail, or Benefit Administrator website. Please review all changes. The benefits described in this Guide to Benefits will not apply to Visa Signature cardholders whose primary residence is outside the United States.
Termination dates may vary by financial institutions. Your financial institution can cancel or non-renew the benefits, and if they do, they will notify you at least thirty (30) days in advance. This information is a description of the benefits provided to you as a Visa Signature cardholder. The “Insured Person” of the “Benefit Administrator” is the underwriter of this benefit and is solely responsible for its administration and claims. The Benefit Administrator acts only on behalf of the Insured Person on behalf of the Provider.
FORM #WMCR-106-60K-2R – 2013 (04/14)
Worldwide Travel Accident & Baggage Delay Insurance
What is the Travel Accident insurance plan?
As a Christian Community Credit Cardholder, you, your spouse or domestic partner and covered dependent children are afforded protection against accidental loss of life, limb, sight, speech or hearing while riding as a passenger in, entering or exiting any licensed common carrier, provided the entire cost of the passenger fare, less any redeemable certificates, vouchers or coupons, has been charged to your Visa Signature account. If the entire cost of the passenger fare has been charged to your Visa Signature account prior to departure for the airport, terminal or station, you are insured for accidental loss of life, limb, sight, speech or hearing (tax, bus, train or airport-limousine); immediately, a) preceding your departure, directly to the airport, terminal or station b) while at the airport, terminal or station, and c) following your arrival at the airport, terminal or station, regardless of your destination. If the entire cost of the passenger fare has not been charged prior to your arrival at the airport, terminal or station, you are insured for accidental loss of the travel of the passenger fare is charged to your account. Common carrier means any land, water or air conveyance operated by those whose occupation or business is the transportation of persons or property for hire. This coverage does not include Commutation which is defined as travel between the Insured Person’s residence and regular place of employment.
Definitions
- **Accident or Accidental** means a sudden, unforeseen, and unexpected event happening at a chance.
- **Dependent Child(ren)** means those children, including adopted children and children of a person’s adoption, who are primarily dependent upon the Insured Person for maintenance. Dependent children include: a) the child of nineteen (19) and residing with the Insured Person; or b) beyond the age of nineteen (19), permanently mentally or physically challenged, and incapable of self-support; or 3) under the age of twenty-five (25) and classified as a full-time student at an institute of higher learning.
- **Domestic Partner** means a person designated in writing by the primary insured person, who: a) is at least eighteen (18) years of age; b) who during the past twelve (12) months has been in a committed relationship with the primary insured person; and 2) has been the primary insured person’s sole spousal equivalent, or the primary insured person’s only surviving spouse or insured person; and 4) has been jointly responsible with the primary insured person for each other’s financial obligations, and who intends to continue the relationship above indefinitely.
What are the Travel Accident benefits?
The full Benefit Amount is payable for accidental loss of life, two or more members, sight of one eye, speech and hearing or any combination thereof. One half of the Benefit Amount is payable for accidental loss of one member, sight of one eye, speech or hearing. “Member” means hand or foot. One quarter of the Benefit Amount is payable for the accidental loss of the thumb and index finger of the same hand. “Loss” means, with respect to a hand, complete severance through or above the knuckle joints of at least 1 fingers on the same hand; with respect to a foot, complete severance through or above the ankle joint. “Loss” also means a loss of a hand or foot even if they are later reattached. “Benefit Amount” means the Loss amount applicable at the time the entire cost of the passenger fare is charged to a Christian Community Credit Union account. The loss must occur within one year of the date of the passenger fare being charged to the Christian Community Credit Union. In no event will duplicate request for multiple charge cards obligate your Credit Union to pay more than the Benefit Amount. The Benefit Amount is divided by one individual insured as the result of any one accident. In the event of multiple accidental deaths per account arising from any one accident, the Company’s liability will be limited to the Benefit Amount. The Benefit Amount is equal to three times the Benefit Amount for loss of life. Benefits will be proportionately divided among the Insured Persons up to the maximum limit of insurance.
BENEFIT AMOUNTS
| Travel Accident Benefit | $1,000,000 |
|-------------------------|------------|
| Baggage Delay | $ 300 |
What is the Baggage Delay benefit?
We will reimburse the Insured Person up to the Daily Benefit Amount of $100 per day for loss of the first 7 days of a trip. The Daily Benefit Amount is limited expenses incurred for the emergency purchase of essential items needed by the Insured Person to maintain a reasonable standard of living, other than the Insured Person’s primary residence. Essential items not covered by Baggage Delay include, but are not limited to: contact lenses, eyeglasses or hearing aids; dental/orthodontic teeth, dental bridges or prosthetic devices; eyewear, hearing aids, hearing aids, hearing aids, traveler checks and valuable papers; business samples. The Baggage Delay Benefit Amount is equal to the Benefit Amount for loss of life. There is no indemnity (including any remuneration’s by the airline, cruise line, railroad, station authority, occupying provider) payable to the Insured Person. Baggage Delay benefits are payable only if the Insured Person is traveling on a common Carrier for more than four (4) hours from the time the Insured Person arrives at the airport, terminal or station to the time the Insured Person’s ticket.
Who is eligible?
This travel insurance plan is provided to Christian Community Credit Union cardholders who are traveling while the entire cost of the passenger fare is charged to a Visa Signature account while the insurance is effective. It is not necessary for you to notify Christian Community Credit Union, the administrator or the Company that the insurance is purchased.
What is the cost?
This travel insurance plan is provided at no additional cost to eligible cardholders.
What about beneficiaries?
The full Benefit Amount will be paid to the beneficiary designated by the insured. If no such designation has been made; that benefit will be paid to the first surviving beneficiary in the following order: a) the Insured’s spouse, b) the Insured’s children, c) the Insured’s parents, d) the Insured’s brothers and sisters, e) the Insured’s estate. All other indemnities will be paid to the Insured.
What are the exclusions?
This insurance does not cover loss resulting from:
1) an Insured’s emotional trauma, mental or physical illness, disease, pregnancy, infection or intoxication caused by bacteria or viral infection (except bacterial infection caused by an accident or from accidental consumption of a substance contaminated by bacteria), or bodily malfunction;
2) suicide, attempted suicide or intentionally self-inflicted injuries;
3) war, terrorism or under-insurance, but war does not include acts of terrorism;
4) travel between the Insured Person’s residence and regular place of employment. This insurance also does not apply to any accident occurring when the Insured is in, boarding, exiting, occupying, leasing, or operating a Christian Community Credit Union; or any aircraft while acting or training as a pilot or crew member; but this exclusion does not apply to passengers who temporarily perform pilot or crew functions in a life threatening emergency.
Zero Liability
What is the Zero Liability benefit?
If there is unauthorized use on your consumer VISA Credit Card, your liability will be zero dollars. This provision limiting your liability does not apply to either VISA Business Rewards cards, ATM cash disbursements, or non-VISA PIN-less debit transactions. Additionally, your liability will be limited to unauthorized transactions that may be greater than the amount of the credit limit approved by your bank, but if the Christian Community Credit Union reasonably determines, based on substantial evidence, that you were grossly negligent or fraudulent in the handling of your account or card.
What transactions does Zero Liability apply?
Visa’s Zero Liability will apply to all transactions made with a Visa branded card, including PIN-based ATMs and Point of Sale (POS) transactions.
Our mission is to partner with members and ministries to help them become better stewards and achieve their financial goals.
800.347.CCCU (2228)
email@example.com
myCCCU.com
Corporate Office
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San Dimas, CA 91773
Branch Office
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Covina, CA 91723
CO-OP Shared Branches
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AMERICAN SHARE INSURANCE Each account is insured up to $250,000. By members’ choice, this institution is not federally insured.
|
| S. No. | Course Code | Course Title | Hours Per Week | Scheme of Examination | Credits | Category Code |
|-------|-------------|------------------------------------|----------------|------------------------|---------|---------------|
| 1 | CM121 | Mathematics – II | 3 – 0 – 0 | INT: 30, EXT: 70 | 3 | BS |
| 2 | CM122 | Engineering Physics | 3 – 0 – 0 | INT: 30, EXT: 70 | 3 | BS |
| 3 | CM123 | Digital Electronics | 3 – 0 – 0 | INT: 30, EXT: 70 | 3 | ES |
| 4 | CM124 | Data Structures & Algorithms | 3 – 0 – 0 | INT: 30, EXT: 70 | 3 | PC |
| 5 | CM125 | Programming in Python | 2 – 0 – 0 | INT: 30, EXT: 70 | 2 | PC |
| 6 | CM161 | Engineering Physics Lab | 0 – 0 – 3 | INT: 30, EXT: 70 | 1.5 | BS |
| 7 | CM162 | Technical Communication & Value Science Lab | 0 – 0 – 3 | INT: 30, EXT: 70 | 1.5 | HS |
| 8 | CM163 | Data Structures & Algorithms Lab | 0 – 0 – 3 | INT: 30, EXT: 70 | 1.5 | PC |
| 9 | CM164 | Programming in Python Lab | 0 – 0 – 2 | INT: 30, EXT: 70 | 1 | PC |
| 10 | CMMC2 | Constitution of India | 2 – 0 – 0 | INT: 100 | - | MC |
Total: 16 – 0 – 11 | INT: 370, EXT: 630 | 19.5 |
Semester II (First year)
CM 121 | Mathematics-II | L | P | C |
---|---|---|---|---|
3 | - | 3
**Course Objectives:**
The objective of this course is to extend concepts developed in Calculus to functions of several variables of multivariable calculus and ordinary differential equations and to develop student understanding and skills in the topic necessary for its applications to science and engineering.
**Course Outcomes:**
The students will be able to:
1. Optimize functions of several variables essential in many engineering problems’.
2. Evaluate double and triple integrals and find areas and volumes.
3. Concepts like divergence, curl in integration of vector functions.
4. Solve differential equations which model physical processes.
**Course Content:**
**UNIT – I**
15 Periods
Multivariable Calculus: Limit, continuity and partial derivatives, total derivative
Maxima, minima and saddle points of two variables, Method of Lagrange multipliers
**UNIT – II**
15 Periods
Multiple Integrals: Double integrals (Cartesian and polar), change of order of integration, change of variables (Cartesian to polar), area by double integration, triple integrals, volume by triple integrals.
**UNIT – III**
15 Periods
Scalar and vector point functions, Gradient, directional derivative, divergence and curl, del applied twice to point and product of point functions (without proofs) Vector integration: line integral, surface and volume integrals, Green’s theorem (without proof), Stoke’s theorem (without proof), Gauss divergence theorem (without proof).
**UNIT – IV**
15 Periods
First order ordinary differential equations: Linear, Bernoulli and exact equations Second order ordinary linear equations: Solution by method of variation of parameters, Cauchy’s equation, Power series solutions; Legendre polynomials, Bessel functions of the first kind and their properties.
**Learning Resources:**
**Text Book:**
1. B.S. Grewal, Higher Engineering Mathematics, Khanna Publishers, 42nd edition.
**Reference Books:**
1. N.P. Bali and Manish Goyal, A text book of Engineering Mathematics, LaxmiPublications, Reprint, 2010.
2. E. Kreyszig, “Advanced Engineering Mathematics”, John Wiley & Sons, 2006.
Course Objectives:
1. Introducing the concept of electron motion in periodic potentials and classification of solids, band formation by learning the prerequisite quantum physics.
2. Explaining the diode equation and formation of P-N junction from the basics of semiconductors.
3. Understanding the interaction of radiation with bulk semiconductors and the relevant Optoelectronic devices with energy band diagrams.
4. Exploring the applications of devices in low dimensional materials by understanding the density of states and experimental techniques to be used for measurement of transport properties.
Course Outcomes:
After successful completion of the course, the student will be able to understand:
1. Demonstrate the necessity of periodical potentials and conditions for explaining the properties and band formation with the help of quantum physics.
2. Understand the theory of P-N junction diode from the basics of semiconductor concepts.
3. Know the theory and application of Optoelectronic devices.
4. Describe measuring techniques employed in transport phenomena and variation of properties in low dimensions.
Course Content:
| UNIT – I | 15 Periods |
|----------|------------|
| **Principles of Quantum Mechanics**: Wave nature of particles, de Broglie's hypothesis, Davisson and Germer's experiment, Time dependent and Time independent Schrodinger wave equations, Physical significance of wave function, Uncertainty principle, single slit experiment. Particle in a box and extension to 3D box (qualitative treatment only). |
| **Electron Theory of Metals**: Salient features of Free electron theory, Fermi - Dirac distribution function, Fermi level, Density of States, Bloch wave function, Kronig-Penney model, E-k curves, Brillouin zones, Effective mass, Degrees of freedom, Distinction of metals, semiconductors and insulators. Concept of hole, Energy band formation in solids. |
| UNIT – II | 15 Periods |
|-----------|------------|
| **Semiconductor Physics**: Intrinsic and extrinsic semiconductors, Dependence of Fermi level on carrier-concentration and temperature (equilibrium carrier statistics), Carrier generation and recombination, Carrier transport: diffusion and drift, drift and diffusion equations, Einstein's relation, P-N junction formation, diode equation, Hall effect and applications. |
| UNIT – III | 15 Periods |
|------------|------------|
| **Lasers and Optoelectronic Devices**: Direct and Indirect band gap semiconductors, Light-semiconductor interaction: Optical transitions in bulk semiconductors: absorption, spontaneous emission, and stimulated emission, Optical loss and gain; Density of states for... |
photons, Semiconducting laser, Homo and Hetero structure lasers with band diagrams, characteristics of laser and LED, PIN diode, Solar cell, working principle and characteristics.
| UNIT – IV | 15 Periods |
|-----------|------------|
| **Low Dimensional Structures and Measuring Techniques:** Density of states in 2D, 1D and 0D (qualitatively). Practical examples of low-dimensional systems such as quantum wells, wires, and dots. Four-point probe and Van der Pauw measurements for carrier density, resistivity and Hall mobility, Hot-point probe measurement, capacitance-voltage measurements, Parameter extraction from Diode I-V characteristics. |
**Learning Resources:**
**Text Book:**
1. M.N. Avadhanulu, P.G. Kshirasagar - A Text book of Engineering Physics, S. Chand & Company Ltd., 2018.
**Reference Book(s):**
1. Donald A. Neeman - Semiconductor Physics and Device: Basic Principle (Fourth edition), TMH, 2012.
2. J. Singh, Semiconductor Optoelectronics: Physics and Technology, McGraw-Hill Inc. (1995).
3. B.E.A. Saleh and M.C. Teich, Fundamentals of Photonics, John Wiley & Sons, Inc., (2007).
4. S.M. Sze, Semiconductor Devices: Physics and Technology, Wiley (2008).
5. A. Yariv and P. Yeh, Photonics: Optical Electronics in Modern Communications, Oxford University Press, New York (2007).
6. P. Bhattacharya, Semiconductor Optoelectronic Devices, Prentice Hall of India (1997).
**Web Resources:**
1. Online course: "Semiconductor Optoelectronics" by M R Shenoy on NPTEL.
2. Online course: "Optoelectronic Materials and Devices" by Monica Katiyar and Deepak Gupta on NPTEL.
Course Objectives:
The main objectives of this course are
1. Know the concepts of different number systems, conversions and functionality of logic gates.
2. To analyse and design combinational logic circuits.
3. To analyse and design sequential logic circuits.
4. Understand programmable logic devices.
Course Outcomes:
Upon successful completion of the course, the student will be able to:
1. Demonstrate the knowledge in number systems, Boolean algebra, Combinational, sequential circuits, Programmable logic devices and Logic families.
2. Analyse and Design various combinational Circuits.
3. Analyse and Design various sequential Circuits.
4. Implement combinational circuit functionality with Programmable logic devices.
Course Content:
UNIT – I CO1, CO2, CO3, CO4 12 Periods
Digital Systems: Digital Systems, Binary Numbers, Number-Base Conversions, Octal and Hexadecimal Numbers, complements, signed binary Numbers. Codes: BCD, excess – 3, Gray.
Boolean Algebra & Logic Gates: Basic Definitions, Axiomatic Definition of Boolean Algebra, Basic theorems and Properties of Boolean Algebra, Boolean functions, Canonical and Standard Forms, Digital Logic gates.
Gate-Level Minimization: The Map Method, Four-Variable K-Map, Five-Variable K-Map, Product of sums simplification, Don’t-Care conditions, NAND and NOR implementation.
UNIT – II CO1, CO2, CO3 12 Periods
Combinational Logic: Combinational Circuits, Analysis Procedure, Design procedure, Half adder, Full adder, Half subtractor, Full subtractor, Carry look ahead adder, Magnitude comparator, Encoders, Decoders, Multiplexers, Demultiplexers.
UNIT – III CO1, CO2, CO3 12 Periods
Synchronous and sequential Logic: Sequential circuits, Latches, Flip-Flops, Analysis of clocked Sequential circuits, State Reduction and Assignment, Design Procedure.
UNIT – IV CO1, CO4 12 Periods
Registers and Counters: Registers, Shift Registers, Ripple Counters, Synchronous Counters.
Programmable Logic Devices: Programmable Read-Only Memory, Programmable Logic Array, Programmable Array Logic.
Learning Resources:
Text Books:
1. M. Morris Mano, Digital Design, 3rd Edition, Pearson Education, 2009
**Reference Books:**
1. Z. Kohavi - Switching and Finite Automata Theory, 2nd Edition Tata McGraw Hill.
2. R.P. Jain - Modern digital electronics, 4th Edition, McGraw Hill.
**Web Resources:**
1. http://nptel.ac.in/courses/117105080/3
2. http://ocw.mit.edu/courses/electrical-engineering-and-computer-science/6-111-introductory
Course Pre Requisite(s): Basic understanding of C programming language Course
Course Objective:
1. To illustrate operations of linear and non-linear data structure
2. To demonstrate computational problems using suitable data structures
3. To familiarize searching and sorting techniques
Course Outcome(s):
Upon successful completion of the course, the student will be able to:
1. Analyze complexity of algorithms.
2. Implement various data structures and its operations.
3. Compare various sorting and searching methods.
4. Apply data structures in various applications.
Course Content:
UNIT – I
Text Books – 1 & 2
15 Periods
Basic Terminologies and Introduction to Algorithm & Data Organization: Algorithm specification, Recursion, Performance analysis, Asymptotic Notation - The Big-O, Omega and Theta notation, Programming Style, Refinement of Coding - Time-Space Trade Off, Testing, Data Abstraction
Linear Data Structure: Array, Stack, Queue, Linked-list and its types, Various Representations, Operations & Applications of Linear Data Structures
UNIT – II
Text Books – 1 & 2
13 Periods
Non-linear Data Structure: Trees (Binary Tree, Threaded Binary Tree, Binary Search Tree, B & B+Tree, AVL Tree, Splay Tree) and Graphs (Directed, Undirected), Various Representations, Operations & Applications of Non-Linear Data Structures
UNIT – III
Text Book – 2
12 Periods
Searching and Sorting on Various Data Structures: Sequential Search, Binary Search, Comparison Trees, Breadth First Search, Depth First Search Insertion Sort, Selection Sort, Shell Sort, Divide and Conquer Sort, Merge Sort, Quick Sort, Heap sort, Introduction to Hashing
UNIT – IV
Text Book – 2 & Reference Book-4
10 Periods
File: Organization (Sequential, Direct, Indexed Sequential, Hashed) and various types of accessing schemes.
Graph: Basic Terminologies and Representations, Graph search and traversal algorithms and complexity analysis.
Learning Resources:
Text Books:
1. Fundamentals of Data Structures, E. Horowitz, S. Sahni, S. A-Freed, Universities Press.
2. Data Structures and Algorithms, A. V.Aho, J. E.Hopcroft, J. D.Ullman, Pearson.
Reference Books:
1. The Art of Computer Programming: Volume 1: Fundamental Algorithms, Donald E.Knuth.
2. Introduction to Algorithms, Thomas, H. Cormen, Charles E. Leiserson, Ronald L. Rivest, Clifford Stein, The MITPress.
3. Open Data Structures: An Introduction (Open Paths to Enriched Learning), (Thirty First Edition), Pat Morin, UBCPress.
OBJECTIVES:
The objectives of the course are to:
1. Introduce the fundamentals of Python Programming language.
2. Teach students processing of files, mutable and immutable data types.
3. Impart knowledge of Object – Oriented Programming using Python.
OUTCOMES:
Upon completion of the course, students will be able to
CO 1. Explain the fundamentals of Python programming language.
CO 2. Create user defined functions to solve problems
CO 3. Manipulate the data structures lists, tuples, sets and dictionaries
CO 4. Use Exception handling and Object – Oriented programming features of Python in solving real world problems
UNIT – I
The way of the program: What is a program? Running Python, The first program, Arithmetic operators, Values and types
Variables, expressions and statements: Assignment statements, Variable names, Expressions and statements, Script mode, Order of operations, String operations. Functions: Function calls, Math functions, Composition, adding new functions, Definitions and uses, Flow of execution, Parameters and arguments, Variables and parameters are local, Stack diagrams, Fruitful functions and void functions, Why functions.
Conditionals and recursion: Floor division and modulus, Boolean expressions, Logical operators, Conditional execution, Alternative execution, Chained conditionals, Nested conditionals, Recursion, Stack diagrams for recursive functions, Infinite recursion, Keyboard input.
UNIT – II
Fruitful functions: Return values, Incremental development, Composition, Boolean functions, More recursion, Checking types.
Iteration: Reassignment, Updating variables, The while statement, break, Square roots.
Strings: A string is a sequence, len, Traversal with a for loop, String slices, Strings are immutable, Searching, Looping and counting, String methods, The in operator, String comparison.
Files: Persistence, Reading and writing, Format operator, Filenames and paths, Catching exceptions, Databases, Pickling, Pipes, Writing modules.
UNIT – III
Lists: A list is a sequence, Lists are mutable, traversing a list, List operations, List slices, List methods, Map, filter and reduce, deleting elements, Lists and strings, Objects and values, Aliasing, List arguments.
Dictionaries: A dictionary is a mapping, Dictionary as a collection of counters. Looping and dictionaries, Reverse lookup, Dictionaries and lists, Memos, Global variables.
Tuples: Tuples are immutable, Tuple assignment, Tuples as return values, Variable-length argument tuples, Lists and tuples, Dictionaries and tuples.
UNIT – IV
Classes and objects: Programmer-defined types, Attributes, Rectangles, Instances as return values, Objects are mutable, Copying.
Classes and methods: Object-Oriented features, Printing objects, The `__init__` method, The `__str__` method, Operator overloading, Type-based dispatch, Polymorphism, Interface and implementation.
Inheritance: Card objects, Class attributes, Comparing cards, Decks, Printing the deck, Add, remove, shuffle and sort, Inheritance, Data encapsulation.
Learning Resources:
TEXT BOOKS:
1. ThinkPython: How to Think Like a Computer Scientist, Allen Downey, Green Tea Press, Version2.0.17
REFERENCES:
1. Introduction to Computer Science Using Python: A Computational Problem-Solving Focus by Dierbach, Wiley
2. Fundamentals of Python Programming: Richard L. Halterman by Southern Adventist University
Course Objectives:
The aim and objective of the Lab course on Physics is to introduce the students of B.Tech. class to the formal structure of Physics so that they can use these in Engineering as per their requirement.
1. To familiarize the students with electronic measuring instruments.
2. To measure various parameters of the optical components.
3. Design/problem solving skills, practical experience is developed through laboratory assignments which provide opportunities for developing team in multidisciplinary environments.
4. To understand the general, scientific concepts and a wide idea on various components &instruments required for technology.
Course Outcomes:
At the end of the course, the student will be to draw:
CO 1. Use CRO, Function generator, Spectrometer for making measurements.
CO 2. Test the optical instruments using principles of interference and diffraction.
CO 3. Carrying out precise measurements and handling sensitive equipment.
CO 4. Draw conclusions from data and develop skills in experimental design.
List of Experiments:
1. Measurements using Vernier Calipers, Screw Gauge and Spherometer.
2. Newton’s rings - Measurement of radius of curvature of plano-convex lens.
3. Determination of Energy band gap of a Semiconductor.
4. Optical fibers – Determination of Numerical Aperture.
5. Diffraction grating - Measurement of wavelengths using Spectrometer.
6. Magnetic field in Helmholtz coil.
7. PhotoVoltaic Cell – Determination of fill factor.
8. Series LCR resonance circuit –Determination of Q – factor.
9. Four probe method apparatus for measurements of resistivity and conductivity
10. Determination of wavelengths using diffraction grating
11. Variation of magnetic field along the axis of a circular current carrying coil
12. Carey Foster’s bridge – Determination of Specific Resistance
Reference Book:
Physics Lab Manual: RVR & JCCE, Guntur
Note: A minimum of 10(Ten) experiments have to be performed and recorded by the candidate to attain eligibility for Semester End Practical Examination.
Nature of Course: Behavioural
Course Pre Requisites: Basic Knowledge of Intermediate English
Course Objectives:
The course aims at making learners:
- understand human values and their importance in leading a holistic life
- inspect own strengths and opportunities
- learn key concepts of technical communication
- develop communicative writing and speaking skills
Course Outcomes:
By the end of the course, learners will be able to:
CO1. imbibe life skills and values in day-to-day life
CO2. create a better version of self
CO3. demonstrate the basic tenets of technical communication
CO4. apply technical communication practices in real life
List of experiments/demonstrations:
UNIT-I: Understanding Human Values
Values to be learnt – leadership, teamwork, dealing with ambiguity, managing stress, motivating people, creativity, result orientation
Life skills - Community service, taking up social initiatives, branding a cause
Activity - Narrating a story on values, taking part in an outreach activity, immersion interviews
UNIT-II: Knowing Self
Introducing self: Activity on self-introduction, introducing others, SWOT analysis
Self-awareness: Identity, body awareness, stress management
Expressing self: Knowing self, visualizing and experiencing purpose
Activity: creating vision board, an avataar with describing words
UNIT-III: Overview of Technical Communication
Reflective Listening: Importance and practice
Vocabulary Enrichment: Academic word list (AWL), technical jargon and transitions
Communicative Writing: e mails, formal letters and micro blogs
Activity: Drafting micro blogs, emails and letters
UNIT-IV: Communicative Speaking
Communication Prerequisites: Content, tone and body language
Celebrity Interviews: Art of questioning and eliciting information
Picture Description: Procedure and perception
Group Discussions: Table topics and practice
Activity: Micro teams peer assessment with metric chart
Reference Books
1. English vocabulary in use – Alan Mc’carthy and O’dell
2. APAART: Speak Well 1 (English language and communication)
3. Abundance: The Future is Better Than You Think; Peter H. Diamandis and Steven Kotler; Published: 21 Feb, 2012; Publisher: Free Press
4. The Family and the Nation; Dr. A.P.J Abdul Kalam; Publishing year: 2015; Co-author: Acharya Mahapragya
5. Business Communication – Dr. Saroj Hiremath
Web References
1. Train your mind to perform under pressure- Simon sinek
https://curiosity.com/videos/simon-sinek-on-training-your-mind-to-perform-underpressure-capture-your-flag/
2. Will Smith's Top Ten rules for success
https://www.youtube.com/watch?v=bBsT9omTeh0
3. Examples of Technical Writing for Students: https://freelance-writing.lovetoknow.com/kinds-technical-writing
4. 11 Skills of a Good Technical Writer: https://clickhelp.com/clickhelp-technical-writing-blog/11-skills-of-a-good-technical-writer/
Course Description and Objectives:
The course is designed to develop skills to design and analyze simple linear and nonlinear data structures. It strengthens the ability to the students to identify and apply the suitable data structure for the given real world problem. It enables them to gain knowledge in practical applications of data structures.
Course Outcomes:
At the end of this lab session, the student will
CO1. Be able to design and analyze the time and space efficiency of the data structure.
CO2. Be capable to identity the appropriate data structure for given problem.
CO3. Have practical knowledge on the applications of data structures.
CO4. Have practical knowledge on handling data structures with files.
Laboratory
1. Towers of Hanoi using user defined stacks.
2. Reading, writing, and addition of polynomials.
3. Line editors with line count, word count showing on the screen.
4. Trees with all operations.
5. All graph algorithms.
6. Saving / retrieving non-linear data structure in/from a file
Course Objectives:
The objectives of the course are:
1. To introduce the fundamentals of Python Programming language.
2. To make the students process files, mutable and immutable data.
3. To impart knowledge of Object – Oriented Programming using Python
Course Outcomes:
After successful completion of the course, the students will be able to:
CO 1. Illustrate the fundamentals of Python programming language.
CO 2. Create user defined functions to solve problems
CO 3. Write programs to manipulate the data structures lists, tuples, sets and dictionaries
CO 4. Use Exception handling and Object – Oriented programming features of Python in solving real-world problems.
List of Exercises / Activities:
[The laboratory should be preceded or followed by a tutorial to explain the approach or algorithm to be implemented for the problem given.]
Lab1 Simple Programs to demonstrate Input - Output operations.
Lab2 Programs to demonstrate the behavior and use of various operators.
Lab3 Programs to emphasize the usage of Conditional Control Statements.
Lab4 Programs to emphasize the usage of Iterative control statements.
Lab5 Programs on the usage of Built-in functions.
Lab6 Programs to demonstrate the creation and usage of User Defined Functions.
Lab7 Programs to demonstrate Recursion.
Lab8 Programs on creation and importing of modules.
Lab9 Programs on Lists and its operations
Lab10 Programs on List Processing. (Sortings, Searchings, Permutations…)
Lab11 Programs to demonstrate Exception Handling.
Lab12 Programs to demonstrate OOP concepts.
Note: A minimum of 10(Ten) experiments have to be performed and recorded by the candidate to attain eligibility for Semester End Practical Examination.
Course Objective:
To provide basic information about Indian Constitution.
Course Outcomes:
After completion of the course, the students will be able to:
CO 1. Understand the significance of many provisions of the Constitution as well as to gain insight into their background. They will also understand number of fundamental rights subject to limitations in the light of leading cases.
CO 2. Study guidelines for the State as well as for the Citizens to be followed by the State in the matter of administration as well as in making the laws. It also includes fundamental duties of the Indian Citizens in Part IV A (Article 51A).
CO 3. Understand administration of a State, the doctrine of Separation of Powers.
CO 4. Know how the State is administered at the State level and also the powers and functions of High Court.
CO 5. Understand special provisions relating to Women empowerment and also children. For the stability and security of the Nation, Emergency Provision are Justified.
CO 6. Understand election commission as an independent body with enormous powers and functions to be followed both at the Union and State level. Amendments are necessary, only major few amendments have been included.
Course Content:
UNIT – I
Preamble to the Constitution of India Domicile and Citizenship. Fundamental rights under Part III, Leading Cases. Relevance of Directive Principles of State Policy under Part-IV, IV-A Fundamental duties.
UNIT – II
Union Executive - President, Vice-President, Prime Minister, Union Legislature - Parliament and Union Judiciary - Supreme Court of India. State Executive - Governors, Chief Minister, State Legislature and High Court.
UNIT – III
Special Constitutional Provisions for Scheduled Casters and Tribes, Women and Children and Backward Classes, Emergency Provisions.
UNIT – IV
Electoral process, Centre State Relations (Amendment Procedure, 42nd, 44th, 74th, 76th, 86th and 91st Constitutional amendments).
Learning Resources:
Text Book:
1. Durga Das Basu, *Introduction to the Constitution of India* (student edition) Prentice-Hall EEE, 19th/20th Edition, 2001.
Reference Books:
1. M.V. Pylee, "An Introduction to Constitution of India", Vikas Publishing, 2002.
2. Brij Kishore Sharma, "Introduction to the Constitution of India", PHI, Learning Pvt.Ltd., New Delhi, 2011.
|
Leveraging State Child Tax Credits (CTC) to Prevent Maltreatment Among Infants and Toddlers
Executive Summary
Research suggests several benefits of expanded child tax credit (CTC) payments for children and families.\(^1\) For example, CTC policies have emerged as a promising component of a holistic approach to preventing child maltreatment and child welfare system involvement among very young children. States have significant control over state CTC policies, schedules, and requirements. This guide highlights promising CTC policies suggested by nonpartisan research to contribute to lower rates of child maltreatment and child welfare system involvement.
Promising state-level CTC policy actions include:
- Establishing refundable CTCs that allow caregivers of children to receive a tax refund if the CTC benefit amount exceeds a family's taxes owed in a given year.
- Administering CTC refunds in monthly payments for eligible caregivers, rather than offering CTC payments once annually, providing cash for child-related expenses throughout the year.
- Providing additional CTCs (on top of the standard CTC) for caregivers of very young children (due to child care costs) and children with disabilities (due to increased medical and caregiving expenses).
- Removing income requirements so that low or nonexistent incomes do not prohibit parents and caregivers from accessing CTCs.
Take action! State policymakers and their partners can use this information to develop goals and plans aimed at strengthening CTC access and payment schedules with the explicit goal of impacting child welfare outcomes. These actions can benefit families of very young children and have the potential to reduce rates of child maltreatment in your state.
Need more information? See the rest of this Primer and Action Guide for more details on the research behind these ideas and visit the Measuring Up website for more resources (https://www.childtrends.org/project/measuring-up).
Research shows clear associations between economic challenges and risk for child maltreatment and child welfare system involvement among families with very young children. Emerging research also suggests that CTCs may be one key part of a holistic approach to preventing child maltreatment and child welfare system involvement. CTCs are benefits that allow families with children to reduce their tax liabilities, providing additional expendable cash for families to access when they file taxes.\textsuperscript{2,3}
This resource was created to support the work of:
- **Interagency collaborations** between state child welfare program administrators and state administrators responsible for implementing tax policy and income assistance programs to examine the intersection between families’ economic status and child maltreatment
- **State policymakers** interested in promoting child and family well-being and preventing maltreatment through finance and tax-related policymaking
- **Advocates and partners** working with legislative and agency policymakers and administrators
Through these connections, state leaders can explore how state policies related to CTCs might benefit child and family well-being in ways that ultimately help prevent maltreatment and child welfare system involvement among young children and their families.
This document contains:
1. An **overview** of research evidence on the intersection of child maltreatment, family poverty, and CTCs.
2. A summary of **state-level CTC policy options** and research on the effect these policies may have on maltreatment and child welfare system involvement.
3. **Discussion prompts** for use as part of intra- or inter-agency discussions with state-level policymakers, administrators, and advocates interested in child well-being.
Part I: Overview
This overview provides high-level information on child maltreatment, child welfare system involvement, and the CTC program’s influence on child and family well-being.
Maltreatment and child welfare system involvement among infants and toddlers
- In the United States, risk of maltreatment and child welfare system involvement is highest among infants and toddlers. In 2022, ~28 percent of child maltreatment victims were under 3 years old, and ~15 percent were under 1 year of age.\(^4\)
- Importantly, reports to the child welfare system do not equate to child maltreatment victimization. In 2021, about half of reports did not receive a formal investigation after initial screening. Of the ~three million children who received an investigation or “alternative response” (e.g., resource provision), nearly two and a half million children were determined not to be victims of maltreatment,\(^5\) but perhaps in need of other resources or erroneously reported.
- Experts increasingly advocate for a holistic public health approach to preventing child maltreatment\(^6\) and promoting family well-being.\(^7\) This approach acknowledges the complex needs and challenges of parents and families.\(^8\)
Poverty and child welfare
- In the U.S., 1 in 6 children under age 5 lives in poverty—this is a higher rate than older children.\(^9\),\(^10\)
- Family income has been linked to risks for child maltreatment, with income losses and material hardships emerging as some of the most consistent predictors of maltreatment risk.\(^11\)
- However, about 75 percent of reports allege neglect as a primary concern,\(^1\) and neglect is cited as a primary reason for over 60 percent of child removals.\(^12\) Among children deemed victims of maltreatment in 2022, ~74 percent were considered victims of neglect, not abuse.\(^13\)
- Neglect definitions vary between states,\(^14\) but generally refer to a failure to meet a child’s basic needs, including clothing, shelter, medical care, supervision, safety, and food.\(^15\)
- Neglect is widely considered as deeply intertwined with (and often conflated with) poverty.\(^16\) States’ legal definitions of child neglect vary with regard to differentiating between “financial inability to provide” and willful child neglect.\(^17\)
- As such, many families come into the child welfare system for reasons related to poverty, insufficient resources, or unmet needs of support or assistance. About 85 percent of families investigated by the child welfare system for child neglect have household incomes below 200 percent of the federal poverty line.\(^18\)
State CTCs as a tool for preventing child maltreatment and child welfare system involvement
- Some states have made CTCs refundable, meaning that any amount credited to a family that exceeds their state tax burden can be returned as a tax refund.\(^19\)
- Federal CTCs were temporarily expanded during the COVID-19 pandemic as part of the American Rescue Plan ACT (ARPA),\(^20\) with payments ending with the 2021 tax year.
- Expanded federal CTC payments in 2021 are estimated to have reduced child poverty that year by nearly 30 percent.\(^21\)
Researchers find that families primarily used expanded CTC funds for child care, food, housing, and other basic and immediate needs.\textsuperscript{22,23}
A recent study analyzing tax credit payments (from CTCs and Earned Income Tax Credits [EITC]) to families from 2015-2018 found a 5 percent decrease in maltreatment reports during the week payments were made, and for four weeks afterward.\textsuperscript{24} Other state-level policies that increase families’ household incomes and assets are also associated with lower rates of child welfare system involvement.\textsuperscript{25}
Analyses of national child maltreatment data merged with data on state CTC policy changes from 2006-2019 found that implementing a state CTC was associated with decreases in reports of both neglect and physical abuse. Black children experienced the greatest reduction in reports.\textsuperscript{26}
Taken together, evidence suggests that CTCs may reduce risks for child maltreatment\textsuperscript{27} and child welfare involvement,\textsuperscript{28} and promote child and family well-being.\textsuperscript{29}
**Key contexts and considerations**
The contextual information below may be helpful for state-level policymakers and administrators working collaboratively on CTC-related policy.
**Impacts of inflation**
In 2023, overall inflation increased by 3 percent in a year, with child care costs rising 6 percent.\textsuperscript{30,31,32} Many families with children reduced other regular expenses and dipped into their savings.\textsuperscript{33} In general, CTCs have not kept pace with inflation.\textsuperscript{34}
**Options in states without state income tax**
Nine states\textsuperscript{35} do not collect state income tax, creating unique challenges related to implementing CTCs. Policymakers in states without income tax collection should consider methods for implementing CTC-like options that work best for their state.\textsuperscript{36}
**Interactions between federal and state CTCs**
Federal CTCs have helped lift many families with children out of poverty since 2020.\textsuperscript{37} State CTCs have the potential to build upon federal CTC benefits. Caution is required in deciding how state and federal CTCs work together, whether eligibility should be related or independent, and whether federal CTCs would count as income in determinations of eligibility for state CTCs.
**CTC benefits for child and family well-being**
Extensive research indicates that CTCs support child and family well-being in several domains.\textsuperscript{38,39} A rigorous review of 21 economic studies outlines the many costs and benefits of CTCs, suggesting an overall positive return on investment.\textsuperscript{40} State policymakers may consider CTCs as a strategy for boosting child and family well-being more broadly.
Part II: State-Level CTC Policy Options and Effects on Child Maltreatment
This section summarizes nonpartisan research on associations between specific state-level CTC policy actions\(^{41}\) and state-level rates of child maltreatment and child welfare system involvement. This section can support state policymakers and administrators understanding how these policy variations intersect with child welfare outcomes.
**Establish refundable CTCs**
- If families eligible for CTCs owe less in taxes than their CTC amount, they can receive the balance as tax refund. For example, if a family is eligible for $3,600 in CTCs and they owe $2,500 in state taxes, they can be refunded $1,100.
- Although both refundable and non-refundable CTCs are beneficial to families, non-refundable CTCs only reduce income taxes owed. When made refundable, CTCs help offset other kinds of financial burdens, such as property taxes or child care related expenses.
- Eleven states have refundable CTCs as of January 2024.\(^{42}\)
**Remove income requirements for accessing CTC benefits**
- Federal CTCs require parents to demonstrate income and file taxes to receive CTCs.\(^{43,44}\) This does not alleviate poverty among families impacted most.\(^{45}\)
- Removing any minimum income requirements may make CTCs more effective in uplifting families facing more severe poverty.\(^{46}\)
- Currently, only the federal CTC has a minimum income requirement, while none of the 15 states with CTCs or DC impose such requirements.\(^{47}\)
**Administer CTCs in monthly payments**
- Annual CTC payments only offer funds once per year, after families file income taxes. This offsets financial burdens briefly. Alternatively, monthly CTC payments could help offset monthly costs throughout the year, thus reducing financial burden for parents in a more consistent way that may allow families to budget for ongoing expenses.\(^{48,49}\)
- Currently, no states pay out CTCs in monthly installments,\(^{50}\) although three states have taken legislative action related to distributing CTC payments more frequently than annually.\(^{51}\)
**Provide additional CTC benefits for certain populations**
**Children under age 6**
- Among the broader ARPA-related expansions,\(^{52}\) federal CTCs and some states’ CTCs amounts offered to families with children under age 6 were higher than for older children.\(^{53}\)
- Children who are too young to attend public school often require child care arrangements that are not universally available like public K-12 schools. Thus, larger CTC amounts for children younger than kindergarten-age can offset some of these additional costs.
- Some states (e.g., CA, CO, NJ, MD, and VT) have CTC policies focused on young children.\(^{54,55}\)
Children with disabilities
- Children with disabilities may require additional care or accommodations that can be expensive.\(^{56}\) Additional state CTCs may help to offset these costs for families.
- For example, while Maryland provides standard CTC benefits to families with children under six, the state also provides CTCs for families with children up to 17 years old who have certain disabilities (SB-0218).\(^{57,58}\)
Implementation example: expanding and adapting state CTCs
- As the federal pandemic-related CTC expansions ended in 2021, Colorado passed a fully refundable state CTC for families with children under age 6. Analysis of U.S. Census data indicate that Colorado’s child poverty rate declined slightly from 2021 (11.8%) to 2022 (11.1%).\(^{59}\)
- In 2023, Colorado expanded CTCs, simplified tax filings for families receiving CTCs, and added language about adjusting CTC filings for inflation (HB23-1112).\(^{60}\)
- Importantly, Colorado’s 2023 expansion allows families with little or no income to claim CTCs. Prior to this change, only families earning income and filing income taxes were eligible. This is estimated to expand the benefits to 12,000 additional Colorado children.\(^{61}\) States like New Jersey (A-5672/ S-3940)\(^{62}\) and Vermont (H-510)\(^{63}\) have adjusted CTCs to start phasing out after a certain limit. In combination, these two approaches specifically target families with less or no income.
- While Maryland provides CTC benefits to eligible families with children aged 6 or younger, the state also offers a CTC benefit for families of older children (i.e., 6-17) with certain disabilities (SB-0218).\(^{64}\) Adding a bonus amount to CTCs for children with disabilities could help offset additional costs for families.
- States like California (H.R.3936)\(^{65,66}\) and Colorado (HB23-1112)\(^{67}\) have introduced policies to adjust CTCs to inflation.
- Many state CTCs were expanded during the COVID-19 pandemic. However, some states’ CTCs are set to expire (e.g., NM’s CTC was set to expire in 2027, now extended to 2032). CTCs in 11 states (e.g., MA, OK, and UT) do not have expiration dates.\(^{68}\)
Part III: Discussion Guide
This section offers prompts to help state policymakers, administrators, and advocates partner around alleviating families’ financial burden through access to CTCs, which may in turn reduce child maltreatment and child welfare system involvement among very young children in your state. Questions are intended to spur inquiry, dialogue, and reflection to ensure that everyone has a common understanding of the scope and shape of problems, and to help inform action planning and next steps for increasing alignment between state-level policymakers and administrators across domains. This guide is designed to be flexible, so users can choose to focus on selected subtopics, depending on state needs and priorities. Child welfare leaders may also choose to work through the guide internally to support their own goal setting and planning. To access data and information that may help you answer the questions below, see our Annotated Resource Compilation.
Step 1: Gather information.
Infant and toddler maltreatment data
- What are the reasons that young children are being reported to our child welfare system?
- Who are the key players influencing policy and programming related to maltreatment of infants and toddlers in our state, and what are their perspectives and priorities?
- Are state legislators aware of child abuse and neglect trends and issues in our state?
- What are the trends in reported and confirmed abuse and neglect among infants and toddlers?
- Among young children being reported to Child Protective Services, what is the rate of “unsubstantiated” or unconfirmed allegations?
Poverty and economic hardship
- What can data tell us about the prevalence of poverty and economic hardship in our state?
- What communities in our state are disproportionately affected by poverty?
- What are the key drivers of poverty and economic hardships in our state?
- How effective has our state been at addressing child and family poverty in recent years?
- Who are the key players influencing policy and programming related to poverty and economic hardship in our state? What are their perspectives and priorities?
The intersection: Poverty and child maltreatment
- How many of the families reported to the child welfare system in our state are living in poverty?
- How many families in our state undergoing child welfare system interventions may be primarily struggling with poverty?
- What support does our state provide to families with young children experiencing poverty?
- Are these services administered by the child welfare agency in our state? If so, are there feasible ways to provide these services without requiring child welfare agency involvement?
Does our state have an established infrastructure for policymakers across multiple agencies to collaborate on efforts or initiatives related to promoting child well-being and/or preventing child maltreatment (e.g., "Children's Cabinets")?
**CTC-related policies**
- What challenges exist for CTC-eligible individuals across our state? For example:
- Are funding levels adequate for the identified need in our state?
- Are the agencies responsible for implementation of state and federal policies (and policy changes) responding effectively?
- How easy or difficult is it for clients to access CTCs in our state?
- Are there any equity issues? For example, are challenges universal, or do they vary across regions or communities within our state?
- What CTC-related policies are being considered by legislators or being implemented at this time?
- How are CTC benefit amounts calculated?
- Who are key players on this issue, and what are their positions on CTC access and use?
**Step 2: Reflect on nuances, challenges, and policy opportunities.**
This section lists specific aspects of CTC-related policies that might require more focused reflection, followed by topic-specific questions to help highlight the areas of opportunity in your community. Some questions below may offer opportunities to think about opportunities for improvement and potential barriers (e.g., *Is there room for improvement? If yes, what barriers and opportunities exist?*).
**Additional credits for young children and children with complex needs**
- What is the state of CTCs for young children in our state?
- What is the average family composition in our state? How many families in our state have young children who would benefit from an increased CTC amount?
- What are the age-related differences in child care costs in our state? How could we estimate additional credits that would help reduce financial burdens on parents of young children?
- What other factors (e.g. supporting children with disabilities) increase child care costs for families in our state?
- What is the average cost of child care and special accommodation for children with disabilities and special needs in our state?
- How could we estimate additional credits that would help reduce financial burdens on parents of children with disabilities and special needs?
**CTCs and inflation**
- How has inflation impacted child care and other related expenses for families with children/minors?
- How would the systems and offices responsible for distributing CTCs track inflation and assess the need for adjusting the state CTC accordingly?
Refundable and non-refundable CTCs
- Is our state’s CTC refundable?
- Do families receive CTC payments annually or more frequently in our state?
- Are our state CTCs refundable for all families with children, irrespective of immigration status, employment status, and income status?
States without state income tax
- What is required to establish CTCs in our state?
- Does our state have other tax credits, or tax credits at a state level? How are those distributed?
- How would we make families aware of the new procedures to receive this credit?
Federal and state CTCs
- Does our state’s CTC depend on whether a family receives federal CTCs?
- Does our state CTC eligibility process regard federal CTCs as income? If so, how does this impact the state CTC eligibility and amounts?
Addressing administrative needs
- Does the office administering CTCs in our state have sufficient resources? What evidence points to “Yes” or “No”?
- When making CTC-related policy in our state, how do we consider the resources required by the agencies responsible for administering these benefits? How can we do this better in the future?
Step 3: Take Action! Move from understanding to impact.
State policymakers can use this information to develop goals, action plans, and policies aimed at maintaining or strengthening CTC access, use, and operations. These actions will benefit families of very young children and have the potential to reduce rates of child maltreatment in your state. Users of this resource are encouraged to collect and monitor data on policy impacts over time to assess their success.
Action planning prompts
- How do we define “successful” CTC-related policymaking?
- What data could be used to evaluate impacts of CTC-related policy changes on maltreatment rates?
- Who should collect and analyze the necessary data? Do they have the appropriate authorizations and resources?
- How can we pivot if assessments indicate that changes are needed?
- What questions remain about the status of CTC access, use, and operations in our state?
Public awareness of CTCs
- What percentage of CTC-eligible individuals claim CTCs in our state?
- What public awareness campaigns or efforts does our state engage in? How effective are these campaigns?
• Do we have efficient ways of spreading awareness about the need to file taxes to receive CTCs, especially for families who do not usually need to file taxes?
**Engaging CTC clients in policymaking**
• Has our state engaged parents and families in CTC-related policymaking?
o If yes, how are CTC clients engaged? What is working well with this engagement, and could anything be improved?
o If no, how could we engage CTC clients in the policymaking in our state?
• How can CTC administrators work to co-design program changes with those who can benefit from CTCs? How can policymakers support these co-design efforts?
For more information on our work and original analyses of CTC policies and child welfare system data, see: [https://www.childtrends.org/project/measuring-up](https://www.childtrends.org/project/measuring-up)
**Suggested Citation:** Mihalec-Adkins, B. P., Mukopadhyay, S., & Darling, K. (2024). Leveraging economic and health policies to prevent infant and toddler maltreatment: a state policy toolkit. Child Trends. DOI: 10.56417/9036c3877i
References
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2 Congressional Research Service. (2020). The child tax credit. *Congressional Research Service*. https://crsreports.congress.gov/product/pdf/IF/IF11077
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20 American Family Act of 2021, HR 1319, 117th Congress (2021-2022). https://www.congress.gov/bill/117th-congress/house-bill/1319
21 parolin, Z., Collyer, S. & Curran, M.A. (2022). Sixth child tax credit payment kept 3.7 million children out of poverty in December. *Poverty & Social Policy Brief, 6*(1). https://www.povertycenter.columbia.edu/publication/monthly-poverty-december-2021
22 Karpman, M., Maag, E., Kenney, G. M. & Wissoker, D. (2021). Who has received advance child tax credit payments, and how were the payments used? *Urban Institute*. https://www.urban.org/research/publication/who-has-received-advance-child-tax-credit-payments-and-how-were-payments-used
23 Churan, M. A. (2021). Research roundup of the expanded child tax credit: The first 6 months. *Poverty & Social Policy Report*, 5(5). [https://www.povertycenter.columbia.edu/publication/child-tax-credit/research-roundup](https://www.povertycenter.columbia.edu/publication/child-tax-credit/research-roundup)
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26 Piña, G., Moore, K., Mihalec-Adkins, B., Darling, K., Abdi, F. & Liehr, A. (2024). Preventing child maltreatment in infants and toddlers: Gaps and evidence from state-level policies. *Child Maltreatment*, 10775595241267236. [https://doi.org/10.1177/10775595241267236](https://doi.org/10.1177/10775595241267236)
27 Bullinger, L. R. & Boy, A. (2023). Association of expanded child tax credit payments with child abuse and neglect emergency department visits. *JAMA Network Open*, 6(2), e2255639-e2255639. [https://doi.org/10.1001%2Fjamanetworkopen.2022.55639](https://doi.org/10.1001%2Fjamanetworkopen.2022.55639)
28 National Conference of State Legislatures. (2023). Policy levers for preventing child maltreatment. *National Conference of State Legislatures*. [https://www.ncsl.org/human-services/policy-levers-for-preventing-child-maltreatment](https://www.ncsl.org/human-services/policy-levers-for-preventing-child-maltreatment)
29 Hamilton, I., Roll, S., Despard, M., Maag, E. & Chun, Y. (2021). Employment, financial and well-being effects of the 2021 expanded child tax credit. *Washington University in St. Louis, Social Policy Institute*. [https://openscholarship.wustl.edu/cgi/viewcontent.cgi?article=105&context=spi_research](https://openscholarship.wustl.edu/cgi/viewcontent.cgi?article=105&context=spi_research)
30 Valle-Gutierrez, L. & Kashen, J. (2023). As federal funds expire, child care prices are soaring. *The Century Foundation, Commentary Care Economy*. [https://tcf.org/content/commentary/as-federal-funds-expire-child-care-prices-are-soaring/](https://tcf.org/content/commentary/as-federal-funds-expire-child-care-prices-are-soaring/)
31 U.S. Bureau of Labor Statistics. (n.d.). BLS data viewer. *U.S Department of Labor, U.S. Bureau of Labor Statistics*. [https://beta.bls.gov/dataViewer/view/timeseries/CUURO000DSEEBO3](https://beta.bls.gov/dataViewer/view/timeseries/CUURO000DSEEBO3)
32 U.S. Bureau of Labor Statistics. (2024.). Databases, tables & calculators by subject. *U.S Department of Labor, U.S. Bureau of Labor Statistics*. [https://data.bls.gov/timeseries/CUURO000SA0?years_option=all_years](https://data.bls.gov/timeseries/CUURO000SA0?years_option=all_years)
33 Child Care Aware of America. (2022). New report finds that increases in the price of child care continue to exceed the rate of inflation. *Child Care Aware of America*. [https://info.childcareaware.org/media/price-of-care](https://info.childcareaware.org/media/price-of-care)
34 Congressional Research Service. (2024). Child Tax Credit: What Lies Ahead? [https://crsreports.congress.gov/product/pdf/IN/IN12297#:~:text=Aside%20from%20the%20TCJA%20change,credit%20are%20adjusted%20for%20inflation.&text=Many%20policymakers%20remain%20interested%20in,most%20from%20the%20ARPA%20changes](https://crsreports.congress.gov/product/pdf/IN/IN12297#:~:text=Aside%20from%20the%20TCJA%20change,credit%20are%20adjusted%20for%20inflation.&text=Many%20policymakers%20remain%20interested%20in,most%20from%20the%20ARPA%20changes)
35 Probasco, J. (2023). 9 states with no income tax. *Investopedia*. [https://www.investopedia.com/financial-edge/0210/7-states-with-no-income-tax.aspx](https://www.investopedia.com/financial-edge/0210/7-states-with-no-income-tax.aspx)
36 Waxman, S. & Hinh, I. (2023). States can enact or expand child tax credits and earned income tax credits to build equitable, inclusive communities and economies. *Center on Budget and Policy Priorities*. [https://www.cbpp.org/sites/default/files/3-3-21sfp.pdf](https://www.cbpp.org/sites/default/files/3-3-21sfp.pdf)
37 Acu, G. & Werner, K. (2021). How a permanent expansion of the child tax credit could affect poverty. *Urban Institute*. [https://www.urban.org/sites/default/files/publication/104626/how-a-permanent-expansion-of-the-child-tax-credit-could-affect-poverty.pdf](https://www.urban.org/sites/default/files/publication/104626/how-a-permanent-expansion-of-the-child-tax-credit-could-affect-poverty.pdf)
38 Hamilton, L., Roll, S., Despard, M., Maag, E., Chun, Y., Brugger, L. & Grinstein-Weiss, M. (2022). The impacts of the 2021 expanded child tax credit on family employment, nutrition, and financial well-being. *Urban Institute & Brookings Institution, Tax Policy Center*. [https://www.taxpolicycenter.org/publications/impacts-2021-expanded-child-tax-credit-family-employment-nutrition-and-financial-well](https://www.taxpolicycenter.org/publications/impacts-2021-expanded-child-tax-credit-family-employment-nutrition-and-financial-well)
39 Center on Budget and Policy Priorities. (2016). Chart book: The earned income tax credit and child tax credit. *Center on Budget and Policy Priorities*. [https://www.cbpp.org/research/chart-book-the-earned-income-tax-credit-and-child-tax-credit#PartTwo](https://www.cbpp.org/research/chart-book-the-earned-income-tax-credit-and-child-tax-credit#PartTwo)
40 Garfinkel, I., Sariscsany, L., Ananat, E., Collyer, S. M., Hartley, R. P., Wang, B. & Wimer, C. (2022). The benefits and costs of U.S. child allowance. *National Bureau of Economic Research*. [http://www.nber.org/papers/w29854](http://www.nber.org/papers/w29854)
41 National Conference of State Legislatures. (2024). Child Tax Credit Overview. *National Conference of State Legislatures*. [https://www.ncsl.org/human-services/child-tax-credit-overview](https://www.ncsl.org/human-services/child-tax-credit-overview)
42 Davis, A. & Butkus, N. (2023). States are boosting economic security with child tax credits in 2023. *Institute on Taxation and Economic Policy*. [https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/](https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/)
43 Center on Budget and Policy Priorities. (2022). Policy basics: The child tax credit. *Center on Budget and Policy Priorities*. [https://www.cbpp.org/research/policy-basics-the-child-tax-credit](https://www.cbpp.org/research/policy-basics-the-child-tax-credit)
44 Lautz, A. & Snyderman, R. (2023). Breaking down the child tax credit: Refundability and earnings requirements. *Bipartisan Policy Center*. [https://bipartisanpolicy.org/blog/breaking-down-the-child-tax-credit-refundability-and-earnings-requirements/](https://bipartisanpolicy.org/blog/breaking-down-the-child-tax-credit-refundability-and-earnings-requirements/)
45 Lautz, A. & Snyderman, R. (2023). Breaking down the child tax credit: Refundability and earnings requirements. *Bipartisan Policy Center*. [https://bipartisanpolicy.org/blog/breaking-down-the-child-tax-credit-refundability-and-earnings-requirements/](https://bipartisanpolicy.org/blog/breaking-down-the-child-tax-credit-refundability-and-earnings-requirements/)
46 Davis, A. & Butkus, N. (2023). States are boosting economic security with child tax credits in 2023. *Institute on Taxation and Economic Policy*. [https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/](https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/)
47 Davis, A. & Butkus, N. (2023). States are boosting economic security with child tax credits in 2023. *Institute on Taxation and Economic Policy*. [https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/](https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/)
48 Ahmad, H. & Landry, J. (2023). Cash at the state level: Guaranteed income through the child tax credit. *Jain Family Institute*. [https://jainfamilyinstitute.org/state-guaranteed-income-ctcs/#payment-frequency](https://jainfamilyinstitute.org/state-guaranteed-income-ctcs/#payment-frequency)
49 Parolin, Z., Ananat, E., Collyer, S., Curran, M., & Wimer, C. (2023). The effects of the monthly and lump-sum child tax credit payments on food and housing hardship. *American Economic Association, Papers and Proceedings*, 113, 406-412. [https://www.aeaweb.org/articles?id=10.1257/pandp.20231088](https://www.aeaweb.org/articles?id=10.1257/pandp.20231088)
50 Ahmad, H. & Landry, J. (2023). Cash at the state level: Guaranteed income through the child tax credit. *Jain Family Institute*. [https://jainfamilyinstitute.org/state-guaranteed-income-ctcs/#payment-frequency](https://jainfamilyinstitute.org/state-guaranteed-income-ctcs/#payment-frequency)
51 Davis, A. & Butkus, N. (2023). States are boosting economic security with child tax credits in 2023. *Institute on Taxation and Economic Policy*. [https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/](https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/)
52 American Family Act of 2021, HR 1319, 117th Congress (2021-2022). [https://www.congress.gov/bill/117th-congress/house-bill/1319](https://www.congress.gov/bill/117th-congress/house-bill/1319)
53 U.S Department of the Treasury. (n.d.) Child tax credit. *U.S Department of the Treasury, Policy Issues*. [https://home.treasury.gov/policy-issues/coronavirus/assistance-for-american-families-and-workers/child-tax-credit](https://home.treasury.gov/policy-issues/coronavirus/assistance-for-american-families-and-workers/child-tax-credit)
54 Davis, A. & Butkus, N. (2023). States are boosting economic security with child tax credits in 2023. *Institute on Taxation and Economic Policy*. [https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/](https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/)
55 Ahmad, H. & Landry, J. (2023). Cash at the state level: Guaranteed income through the child tax credit. *Jain Family Institute*. [https://jainfamilyinstitute.org/state-guaranteed-income-ctcs/#payment-frequency](https://jainfamilyinstitute.org/state-guaranteed-income-ctcs/#payment-frequency)
56 Anderson, D., Dumont, S., Jacobs, P., & Azzaria, L. (2007). The personal costs of caring for a child with a disability: A review of the literature. *Public Health Reports*, 122(1), 3-16. [https://doi.org/10.1177/003335490712200102](https://doi.org/10.1177/003335490712200102)
57 Davis, A. & Butkus, N. (2023). States are boosting economic security with child tax credits in 2023. *Institute on Taxation and Economic Policy*. [https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/](https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/)
58 Maryland Income Tax – Child Tax Credit and Expansion of the Earned Income Credit of 2021, MD S 218 [https://custom.statenet.com/public/resources.cgi?id=ID:bill:MD2021000S218&ciq=ncsi&client_md=2449e59d936472d9568d134094c2fdec&mode=current_text](https://custom.statenet.com/public/resources.cgi?id=ID:bill:MD2021000S218&ciq=ncsi&client_md=2449e59d936472d9568d134094c2fdec&mode=current_text)
59 Colorado Children’s Campaign. (2023). The official poverty rate in Colorado dropped in 2022 but the end of the pandemic-era protections is affecting Colorado families’ financial stability. *Colorado Children’s Campaign* [https://www.coloradokids.org/the-official-poverty-rate-in-colorado-dropped-in-2022-but-the-end-of-pandemic-era-protections-is-affecting-colorado-families-financial-stability/](https://www.coloradokids.org/the-official-poverty-rate-in-colorado-dropped-in-2022-but-the-end-of-pandemic-era-protections-is-affecting-colorado-families-financial-stability/)
60 HB23-1112, 74th General Assembly, 2023 Reg. Sess. (Colorado, 2023). [https://leg.colorado.gov/bills/hb23-1112](https://leg.colorado.gov/bills/hb23-1112)
61 Jain Family Institute. (2023). Press release: Colorado expands child tax credit to parent with no or little income. *Jain Family Institute*. [https://jainfamilyinstitute.org/press-release-colorado-expands-child-tax-credit-to-parents-with-no-or-little-income/](https://jainfamilyinstitute.org/press-release-colorado-expands-child-tax-credit-to-parents-with-no-or-little-income/)
62 New Jersey Gross Income Tax Act of 2023, 12 N.J.S.54A:1-1 et seq. [https://pub.njleg.state.nj.us/Bills/2022/AL23/72_.PDF](https://pub.njleg.state.nj.us/Bills/2022/AL23/72_.PDF)
63 Vermont Child Tax Credit of 2022, VT H 510 Sec. 1. 32 V.S.A. § 5830f. [https://custom.statenet.com/public/resources.cgi?id=ID:bill:VT2021000H510&ciq=ncsi&client_md=01dd677d8ac88834101797d2fc38ace7&mode=current_text](https://custom.statenet.com/public/resources.cgi?id=ID:bill:VT2021000H510&ciq=ncsi&client_md=01dd677d8ac88834101797d2fc38ace7&mode=current_text)
64 Maryland Income Tax – Child Tax Credit and Expansion of the Earned Income Credit of 2021, MD S 218 [https://custom.statenet.com/public/resources.cgi?id=ID:bill:MD2021000S218&ciq=ncsi&client_md=2449e59d936472d9568d134094c2fdec&mode=current_text](https://custom.statenet.com/public/resources.cgi?id=ID:bill:MD2021000S218&ciq=ncsi&client_md=2449e59d936472d9568d134094c2fdec&mode=current_text)
65 Working Families Tax Cut Axt of 2023, H.R. 3936, 118th Congress (2023-2024). [https://www.congress.gov/bill/118th-congress/house-bill/3936?q=%7B](https://www.congress.gov/bill/118th-congress/house-bill/3936?q=%7B)
66 Tax cuts for working families act, H.R.3936 ,118th Congress, (2023). [https://www.congress.gov/bill/118th-congress/house-bill/3936](https://www.congress.gov/bill/118th-congress/house-bill/3936)
67 HB23-1112, 74th General Assembly, 2023 Reg. Sess. (Colorado, 2023). [https://leg.colorado.gov/bills/hb23-1112](https://leg.colorado.gov/bills/hb23-1112)
68 Davis, A. & Butkus, N. (2023). States are boosting economic security with child tax credits in 2023. *Institute on Taxation and Economic Policy*. [https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/](https://itep.org/states-are-boosting-economic-security-with-child-tax-credits-in-2023/)
|
Case Report
Impacted mandibular 3rd molar- An enigma in diagnosis
Humera Ayesha*1
1Dept. of Oral Medicine & Radiology, Rajiv Gandhi University of Health Sciences, Bengaluru, Karnataka, India
ARTICLE INFO
Article history:
Received 12-12-2023
Accepted 29-02-2024
Available online 17-06-2024
Keywords:
Third molar
Impaction
Pericoronitis
ABSTRACT
The clinical presentation of third molar impaction cases differs from patient to patient. The different clinical aspects of mandibular third molar impactions include pain at the site or radiating pain in the jaw, trismus, cheek bite, difficulty in mastication abscess formation requiring incision and drainage. A significant number of cases are asymptomatic and are detected only on routine radiographic examination. A few cases also show unusual symptoms and clinical presentation. Hence the present case is intended to publish the unusual or the incomplete presentation, creating a diagnostic enigma.
This is an Open Access (OA) journal, and articles are distributed under the terms of the Creative Commons Attribution-NonCommercial-ShareAlike 4.0 License, which allows others to remix, tweak, and build upon the work non-commercially, as long as appropriate credit is given and the new creations are licensed under the identical terms.
For reprints contact: email@example.com
1. Introduction
Third molar impactions may manifest or may remain asymptomatic or may be associated with various pathologies such as caries, pericoronitis, cysts, tumors, root resorption of the adjacent tooth. Various studies on impacted third molar are present in the literature which concluded significant correlation between the patients suffering from pain, trismus, and swelling associated with impacted third molar. Significant percentage of impacted third molars remain asymptomatic throughout life. Few cases of impacted third molars also manifest with infection with abscess which need incision and drainage and may even require hospitalization especially in older patients.
2. Case Report
A 25-year-old male patient reported to the department with a chief complain of swelling on the left side of the face since past 5 days. History of present illness revealed that the patient developed swelling on the left side of the face which was initially smaller in size and gradually increased to attain the present size. On further eliciting the history the patient developed on and off on the left side of face every 3 months, which was subsided on medication. Whenever the patient developed swelling, he visited the pharmacy and had a course of antibiotics and analgesic. But for the past 5 days swelling was progressive and did not subside even on taking medication. There was no pain associated with any tooth.
On general physical examination, there was no abnormality detected with respect to gait, patient was moderately built, moderately nourished. All the vital signs were within the normal range patient was afebrile.
On extraoral examination, there was marked asymmetry noted due to the presence of diffuse swelling on the left side of face, measuring around 6×5cm. The swelling was extending from 2cm below the lower eyelid to 6cm inferiorly up to the lower border of mandible. Mediolaterally the swelling was extending from the ala of the nose to tragus of the ear. (Figure 1)
A solitary spherical well defined nodular swelling was present on the lower left mental region, measuring around 2×2cm. The skin over the swelling appears to be erythematous. (Figure 1)
On palpation, the diffuse swelling was tender on palpation, soft in consistency, compressible and non-reducible. The nodular swelling was soft to firm in consistency and tender on palpation.
On intraoral examination, there was partially erupted 38 and vestibular obliteration extending from 34 to 38 which was soft to firm in consistency. (Figure 2)
Provisional diagnosis of Impacted 38 with consolidated abscess and cellulitis of left side of face was given. Differential diagnosis was chronic suppurative osteomyelitis, chronic tuberculous osteomyelitis.
On radiographic examination IOPA showed semilunar radiolucency distal to 38 extending cervically, mesial root dilaceration and distal root resorption with respect to 38. (Figure 3)
The OPG showed semilunar radiolucency with respect to 38. A soft tissue shadow was seen on the coronal aspect of 35, 36, 37, 38. (Figure 4)
CBCT scan performed with Kavo 3D pro scanner image processing was performed on demand software. The data was provided by 3D dental CT scan. Radiographic findings on CBCT showed there were no signs of bony pathology. 38 was vertically impacted arc shaped bone loss observed distal to 38 suggestive of pericoronitis. Two roots observed deeply situated in alveolar bone close to lingual cortex. Curvature observed with mesial root. The mandibular canal was in close approximation and is apical to roots of 38. There were no signs of cystic change nor resorption. over retained 63 labials to 23, 24. (Figure 5)
No signs of periapical pathology, periodontal health was at the normal limit. mucosal thickening with the left
3.3. Path of spread of the infection
The buccinator muscle is attached bucco-lingually to the mandible near the impacted third molar, it probably plays a role in the spread of infection.\textsuperscript{11} In the present case the path of drainage was buccal to the buccinator muscle hence the patient developed buccal space infection.
3.4. Evolutionary aspects
Due to the evolutionary process, the human jaw has shrunk, and in this process, there is insufficient. The overall impaction of right mandibular third molar was reported to be less than on the left side, and the ratio of left to right side impaction was 11:10.\textsuperscript{12}
3.5. Radiographic aspects
An intraoral image may be sufficient before surgical intervention of mandibular third molars, if the whole tooth and the mandibular canal are displayed in the image. If there is an over projection between the roots of the tooth and the canal, eccentric examinations can be performed and the tube shift technique in the vertical plane [same lingual opposite buccal (SLOB) rule]\textsuperscript{3} used to interpret, if the third molar is positioned buccally or lingually to the mandibular canal.\textsuperscript{13}
3.6. Microbiology associated with third molars
Predominant bacteria implicated in peri coronal abscess are Streptococcus viridans, fusobacteria spirochetes, and mixed oral flora.\textsuperscript{14} Pericoronitis may also be implicated with A. actinomycetemcomitans, Peptostreptococcus micros, Prevotella intermedia, F. nucleam, Capno-cytophaga spp and Veillonella.\textsuperscript{15} White et al. in his study concluded that the initiation of periodontitis begins first in the third molar region based on clinical and microbiological findings. The bacteria involved most often exist in complexes, particularly Treponema denticola, Porphyromonas gingivalis, and Bacteroides forsythus.\textsuperscript{15}
4. Treatment
The treatment for the present case would be surgical extraction of third molar, incision and drainage of abscess under antibiotic coverage. Antibiotics to be given by culture and sensitivity. Multidrug resistance bacteria are usually involved in such cases.
5. Conclusion
In the present case, there was no pain associated with the or trismus which usually happens with impacted molars, but there was on and off swelling, and hence there was an enigma in diagnosis. The patient took antibiotics whenever he developed swelling and hence it masked the actual cause and made it difficult to rule out the foci of infection.
6. Source of Funding
None.
7. Conflict of Interest
None.
References
1. Santosh P. Impacted Mandibular Third Molars: Review of Literature and a Proposal of a Combined Clinical and Radiological Classification. *Ann Med Health Sci Res*. 2015;5(4):229–34.
2. Azaz B, Shteyer A, Piamenta M. Radiographic and clinical manifestations of the impacted mandibular third molar. *Int J Oral Surg*. 1976;5(4):153–60.
3. Bataineh AB, Albashareh ZS, Hazza’a AM. The surgical removal of mandibular third molars: a study in decision making. *Quintessence Int*. 2002;33(8):613–7.
4. Kim JY, Jee HG, Song HC, Kim SJ, Kim MR. Clinical and pathologic features related to the impacted third molars in patients of different ages: A retrospective study in the Korean population. *J Dent Sci*. 2017;12(4):354–9.
5. Mettes TD, Ghaemnia H, Nienhuijs ME, Perry J, Sanden WJW, Plasschaert A, et al. Surgical removal versus retention for the management of asymptomatic impacted wisdom teeth. *Cochrane Database Syst Rev*. 2012;13(6):CD003879.
6. Chuang SK, Perrott DH, Susarla SM, Dodson SM. Age as a risk factor for third molar surgery complications. *J Oral Maxillofac Surg*. 2007;65(9):1685–92.
7. Mercier P, Precious D. Risks and benefits of removal of impacted third molars. A critical review of the literature. *Int J Oral Maxillofac Surg*. 1992;21(1):17–27.
8. Flick WG. The third molar controversy: framing the controversy as a public health policy issue. *J Oral Maxillofac Surg*. 1999;57(4):438–44.
9. White RP, Phillips C, Hull DJ, Offenbacher S, Blakey GH, Haug RM. Risk markers for periodontal pathology over time in the molar and non-third molar regions in young adults. *J Oral Maxillofac Surg*. 2008;66(4):749–54.
10. Indresano AT, Haug RH, Hoffman MJ. The third molar as a cause of deep space infections. *J Oral Maxillofac Surg*. 1992;50(1):33–5.
11. Ohshima A, Ariji Y, Goto M, Izumi M, Naitoh M, Kurita K, et al. Anatomical considerations for the spread of odontogenic infection originating from the pericoronitis of impacted mandibular third molar: Computed tomographic analyses. *Oral Surg Oral Med Oral Pathol Oral Radiol Endod*. 2004;98(5):589–97.
12. Goyal S, Verma P, Raj S. Radiographic Evaluation of the Status of Third Molars in Srirangamagar Population - A Digital Panoramic Study. *Malays J Med Sci*. 2016;23(6):103–12.
13. Clark C. A method of ascertaining the relative position of unerupted teeth by means of film radiographs. *Proc Royal Soc Med*. 1910;3:87–90.
14. Richards AG. A technic for the roentgenographic examination of impacted mandibular third molars. *J Oral Surg (Chic)*. 1952;10(2):138–41.
15. Trummel C, Behnia A. Periodontal and pulpal infections. In: Topazian RG, Goldberg MH, Hupp JR, editors. *Oral and Maxillofacial Infections*. Philadelphia, PA: WB Saunders; 2002. p. 142–6.
Author biography
Humera Ayesha, Reader @ https://orcid.org/0000-0002-1637-4926
Cite this article: Ayesha H. Impacted mandibular $3^{rd}$ molar- An enigma in diagnosis. *J Oral Med, Oral Surg, Oral Pathol, Oral Radiol* 2024;10(2):130-133.
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Final report, A-TEAM phase 2a
Writers: Niklas Lundin, Christian Berger, Magdalena Lindman, Per Gustafsson, Anna Wrigge Berling, Mats Petersson, Håkan Andersson, Henrik Gillgren
Date: 170413
Sub program: Vehicle Safety
# Contents
1 Executive Summary ................................................................. 4
2 Background ............................................................................. 5
3 Purpose .................................................................................. 5
4 Project realization ................................................................... 5
4.1 WP1, project management .................................................. 6
4.2 WP2, State-of-the-art in testing of active safety systems and requirements specification for the infrastructure ................................................................. 6
4.3 WP3, accident scenarios ...................................................... 8
4.4 WP4, method development for light vehicles ....................... 8
4.5 WP5, method development for heavy vehicles ..................... 9
4.6 WP6, test equipment demonstrator .................................... 9
4.7 WP7, quality assessment and repeatability analysis ............ 10
4.8 WP8, mid-speed target carrier and artificial road edge .......... 10
5 Results and deliverables ......................................................... 10
5.1 Results per work package .................................................. 10
5.1.1 WP2 ........................................................................... 10
5.1.2 WP3 ........................................................................... 11
Light vehicle accident scenarios ........................................ 11
Literature review .............................................................. 11
Analysis of crash data ....................................................... 13
Heavy vehicle accident scenarios ...................................... 13
Same direction - heavy truck turning across VRU path ......... 14
Straight crossing path – VRU from left or right: .................. 15
5.1.3 WP4 ........................................................................... 16
5.1.4 WP5 ........................................................................... 17
5.1.5 WP6 ........................................................................... 18
5.1.6 WP7 ........................................................................... 22
5.1.7 WP8 ........................................................................... 22
5.2 Delivery to the FFI goals .................................................. 23
6 Dissemination and publications ............................................... 24
7 Conclusions and future research .............................................. 24
8 Participating parties and contact persons .................................. 25
9 References ........................................................................................................................................ 26
9.1.1 Appendix 1. List of published reports on Run-off road real-world crash characteristics..27
FFI in short
FFI is a partnership between the Swedish government and automotive industry for joint funding of research, innovation and development concentrating on Climate & Environment and Safety. FFI has R&D activities worth approx. €100 million per year, of which half is governmental funding. The background to the investment is that development within road transportation and Swedish automotive industry has big impact for growth. FFI will contribute to the following main goals: Reducing the environmental impact of transport, reducing the number killed and injured in traffic and Strengthening international competitiveness. Currently there are five collaboration programs: Vehicle Development, Transport Efficiency, Vehicle and Traffic Safety, Energy & Environment and Sustainable Production Technology.
For more information: www.vinnova.se/ffi
1 Executive Summary
To reach Vision Zero and maintain the competitive edge of the Swedish automotive cluster, research into active safety is crucial. The Swedish automotive cluster also has an ambition to be better than the level that laws and rating, such as EuroNCAP, require. To realize research and development of novel active safety functions to address situations far more reaching than what is required by these organizations, dedicated research activities are needed into new test methods to support the development of the new systems and functions to preserve leading market positions for the Swedish automotive industry.
A-TEAM phase 2a targeted, through research, the development of four method packages for important scenarios where research and development is needed for active safety systems. Further three work packages focused on the test system. The research about methods took place in work packages WP3, WP4, 5 and 7. WP3 performed research into scenario definition for light and heavy vehicles. WP4 focused research on light vehicles and developed methods for vulnerable road users (VRUs), intersection scenarios and run-off-road. WP5 focused on heavy vehicles through research on methods for vulnerable road users and multiple vehicle situations. The third method related package, WP7, focused on quality and reliability analysis of the developed methods.
Concerning the test system WP2, 6 and 8 have focused on future test system requirements, state-of-the-art assessments, and development vital test system components.
To summarize the following has been delivered by A-TEAM 2a:
**Light vehicles**
- Method for cyclist, Rating level TRL6
- Method for cyclist, beyond Rating level TRL4
- Method for left turn with traffic head-on TRL5
**Heavy vehicles**
- Heavy truck turning across VRU path TRL4
- Straight crossing path – VRU left/right TRL4
**Test system components**
- Test system requirements TRL2
- New target carrier TRL6
- Mid-speed target carrier TRL6
- Artificial road edge TRL4
2 Background
Because of the rapid technical development, the number of potential active safety functions has increased at brisk pace. To be able to develop and verify these functions all the way to production-ready solutions, a host of new test methods and test systems is needed. The functions of today mainly address accidents between vehicles in the most common rear-impact situations, but accident types with a high number of injuries such as accidents with cyclists, heavy vehicles, and at intersections are not sufficiently addressed yet. Thus, methods to test these types of situations does not yet exist and thus, a test system is also missing that would fully support the complete variety of velocities, angles, and precision needed to conduct the testing contained in A-TEAM phase 1. Existing equipment is in many cases technically immature and not integrated with other subsystems, something that has been confirmed in AstaZero’s and the project team’s initial benchmark analysis. Because of the lacking integration, only low efficiency regarding time and resource is possible, something that is already hampering the development rate for active safety systems for the Swedish automotive industry. In A-TEAM phase 1, a pre-study mapping the overall need regarding methods, equipment, and the like was included.
The state-of-the-art for active safety testing is in many ways similar to that of passive safety testing in the seventies and it is clear that the group that first researches the test methods and test systems needed to develop and validate the next generation of active safety systems gets a great competitive advantage. A clear example is EuroNCAP where the rating for intersections and cyclists is aimed to be introduced in the 2018-2020 time frame.
3 Purpose
A-TEAM phase 2a aimed at continuing the work started in A-team phase 1 within three various scenario types with the research associated to these steps: the methods themselves, the test system, and field data research. The method research also aims to allow the Swedish automotive cluster to develop systems and functions far ahead of the current state-of-the-art, making it possible to maintain and strengthen the world-leading position of the cluster.
4 Project realization
The project was divided into eight work packages, WP1 to WP8. This section is an introduction to the realization of each work package.
4.1 WP1, project management
WP1 was the project management work package. In this work package, the various other work packages were followed up on a weekly basis with respect to results, reporting, coordination, economy, and others. Reporting, planning of demonstrations, and project prioritizing were also part of the tasks of WP1.
4.2 WP2, State-of-the-art in testing of active safety systems and requirements specification for the infrastructure
The goal of phase 2 in WP2 is to identify requirements for the infrastructure to test active safety systems. To reach this goal, in A-TEAM phase 2a the state-of-the-art and future trends regarding testing processes (e.g., features of test-targets) were systematically investigated to support the realization of a flexible and extensible infrastructure.
Scoping Workshop to Determine Scope of WP2
To meet the stakeholders’ needs, we systematically planned and conducted a scoping workshop with representatives from all WPs and discussed the planned methodologies in-use in WP2.
Literature Review on Testing of Active Safety Systems
Based on the outcome from the scoping workshop, we have planned and conducted a preliminary literature review, which only revealed a very limited amount of studies on testing of active safety systems, mostly related to EuroNCAP testing. From these numbers, we concluded that a systematic mapping study with a broader scope is necessary to meet scientific excellence. We are currently conducting such a systematic mapping study, using well-established guidelines of Petersen et al. [4], focusing on the entire area of autonomous vehicles. Up-to-date we have defined the research methodology for this study in a structured way (e.g., search string, data bases, research questions, filtering of papers) that has been already critically reviewed involving several researchers and project partners.
Automation of topic extraction to Support Literature Review
Furthermore, we are conducting a study on how to use machine learning techniques to support the analysis of the topics covered by the papers on autonomous vehicles. This will allow us to analyze a huge amount of papers on autonomous vehicles and to extract relevant information.
State-of-the-art and Future Trends of Active Safety Testing (internal project partners)
To explore the industrial state-of-the-art and future trends on testing processes of active safety testing, we followed the guidelines from Shull et al. [3] and conducted a qualitative study involving relevant representatives from the Swedish industry. We conducted four workshops including eleven project-internal partners from VCC, AB Volvo, Autoliv, AstaZero, and SP.
We designed our on-site workshops in a structured way so that it would include the OEMs as well as suppliers to get the different angles on the domain. Furthermore, we based our design of the workshops on the existing results from the pre-study planned and conducted in A-TEAM phase 1.
Our on-site workshops consisted of four different parts (structured in part i and part ii):
i. State-of-the-practice in testing of active safety systems
1. State-of-the-practice in EuroNCAP testing
2. Passive vs. active safety testing
3. Designated questions derived from pre-study on challenges of active safety testing (content of A-TEAM phase 1)
ii. Future trends (concerning automation) affecting testing of active safety systems
Each workshop was conducted by two researchers: one researcher moderating the workshop and the other researcher taking notes of the workshop content by transcribing the discussed topics.
This transcript is used for the analysis of workshops. Due to the exploratory nature of the workshops, we applied coding on the transcripts, which then were further analyzed and an understanding of the studied topic developed [1][2]. This coding helps in clustering the content into topics. Furthermore, we applied word analysis to find most common words in the transcripts. This helped us as well in the analysis and summary of the most important concepts discussed during the workshops.
**State-of-the-art and Future Trends of Active Safety Testing (international focus)**
We made a plan for the extension of our state-of-the-art and future trends study with an international focus. We have designed a questionnaire that will be used to collect data from international collaborators to include a holistic view on the testing processes of active safety testing.
**Design of Infrastructure**
Based on our understanding of the testing processes that we gained from the state-of-the-art study, we will present a requirement specification for the testing infrastructure. We have started with two additional studies on the synchronization/collaboration of test targets to execute a test scenario involving several automated actors:
1. Integration of drive files from different vehicles to the new platform developed in A-TEAM. The goal is the development of a tool that would allow you to choose drive files from VCC, Autoliv, or Anthony Best Dynamics and transfer the information to the format of the new platform.
2. Synchronization of test platforms to the VUT. The execution of test scenarios requires all test platforms and the VUT to follow certain drive patterns, which are usually described in position and time format. Due to uncertainties (e.g., delays) for example of the VUT, the conditions described by a scenario will not be
fulfilled and the test will have to be run again. We have started with a study that would synchronize the test platforms involved in different scenarios to the VUT. Hence, for example in case the VUT accelerates, then the platforms should accelerate as well.
4.3 WP3, accident scenarios
The goal for WP3 was to, based on traffic accident data, identify relevant accident scenarios and also specify these for the development of test scenarios, see Figure 1.
Figure 1. Illustration of substeps in WP3.
Accident scenarios for the conflict situations:
- Run-off road,
- Truck-VRU (Vulnerable Road User – pedestrians and bicyclists)
were identified and handled in A-TEAM phase 2a. Each accident scenario formed the foundation for a test scenario. Then, data analysis supplemented the specification of each test scenario that was defined later in WP 4-5.
4.4 WP4, method development for light vehicles
Research of a test platform for testing has been performed without the driver in the loop, for cyclist, intersection scenarios, and for run of road scenarios. This included test scenarios, test methods, test objects with propulsion system, driving robots, measurement equipment etc. The work is based on input from WP3, where a number of test scenarios were identified for the relevant scenarios.
In parallel a test platform has been developed for system testing with the driver in the loop in Run off Road scenarios in a ViP (Virtual prototyping and assessment by simulation) financed project. These tests have been conducted at AstaZero in parallel with the tests without the driver in the loop in A-Team.
4.5 WP5, method development for heavy vehicles
WP5 is parallel to WP4, but with the difference that it targets method development for heavy vehicle scenarios.
Research of a test platform for testing without the driver in the loop has been performed, for cyclist and pedestrian scenarios (“Same direction – heavy truck turning across VRU path” and “Straight crossing path – VRU from left or right”). This included test scenarios, test methods, test objects with propulsion system, driving robots, measurement equipment etc. The work is based on input from WP3, where a number of test scenarios were identified for the relevant scenarios.
4.6 WP6, test equipment demonstrator
WP6 included a benchmark activity to establish the capabilities of state-of-the art, as well as development of a new target carrier.
The goal of the benchmark task has been to assess the capabilities of existing equipment for testing active safety functions. Such equipment includes driving robots, propulsion systems for target dummies, and the dummies themselves. The result is a gap analysis, i.e. an identification of a possible mismatch between current equipment and present as well as upcoming test methods and procedures. Among the parameters that have been assessed are:
- Positioning performance, i.e. the capability to be at the correct position at the correct time
- Dynamic performance, e.g. acceleration and deceleration capability, turning performance and top speed
- Handling performance, e.g. set-up time and turnaround time
- Environmental performance, e.g. coping with adverse weather conditions and low temperatures
So far the following equipment has been fully or partly assessed:
- Pedestrian rig ABD SPT
- Pedestrian rig 4a
- EuroNCAP target, EVT including propulsion with ABD robot-controlled tow vehicle
- Vehicle platform, ABD GST
- ABD driving robot (steering, throttle, and brake)
The main goals of the target carrier are: 90mm tall, top speed of 80km/h, withstand rain and moist, safe to run over with passenger car or truck and high efficiency testing by offering low downtime between consecutive tests and easy transportation between test locations. The thorough work in the early phase of the project, i.e. the designing phase of the target carrier, should result in only minor alterations and/or additions to the design of
both the mechanical as well as the electrical aspect of the target carrier. This in turn should result in an efficiently constructed target carrier.
The maximum height criterion of 90mm of the target carrier greatly affected the availability of components capable of handling the rest of the criteria. Finding components suitable for the target carrier required many new personal connections to be made. Several small companies were involved in delivering the components required and almost every mechanical component was produced in-house. Close collaboration between mechanical engineer, workshop technicians and external suppliers has been performed. The collaboration should result in equipment which has great chance of driving at top speed of 80km/h in rainy weather conditions while withstanding a run-over scenario by a heavy truck.
4.7 WP7, quality assessment and repeatability analysis
Developed test methods have to be precise in their formulation to allow for repeatable execution. Further there are many components, which are independent of the specific test method, which have to be in place to allow for repeatable tests. WP7 has focused mainly on test method generic components which are vital, such as an efficient and precise positioning process.
4.8 WP8, mid-speed target carrier and artificial road edge
WP8 covered iterative development and assessment of necessary test system components required by WP4, and 5. Specifically a mid-speed target carrier, primarily designed to pull targets in longitudinal trajectories in front of a vehicle’s path at speeds up to 60 km/h. Necessary target carrier platforms were also included. Further, road edge targets, with the goal to simulate a road edge on e.g. high speed area where developed and evaluated.
5 Results and deliverables
5.1 Results per work package
5.1.1 WP2
Deliverable 1: Talk at AstaZero Researchers’ Day
We have presented our design of the state-of-the-art and future trends at the AstaZero Researchers’ Day 2015-10-14.
Deliverable 2: Preliminary Report on Testing Processes
In November 2015, we have delivered a preliminary report on the testing processes, explored in the state-of-the-art and future trends study. This report included results from 2 of the 4 interviews.
Deliverable 3: First publication on State-of-the-Art and Future Trends [5]
We have published a first paper on our study of the state-of-the-art and future trends including the analysis of all four workshops conducted with the project-internal partners. It is published at the International Workshop on Software Engineering for Smart Cyber Physical Systems, which is co-located with the International Conference on Software Engineering (ICSE) and will be presented in May 2016 in Austin, Texas.
5.1.2 WP3
In WP3, the accident scenarios for selected conflict situations were identified in traffic accident data. Also, statistical analysis specified the scenarios for test development in WP4-5.
Light vehicle accident scenarios
Literature review
Published reports that studied Run-off Road accidents or Run-off Road situations in driving data in real traffic were reviewed, and their results were compiled per groups of Pre-crash-factors relating to the driver, velocity-related measures, traffic environment and to the vehicle. Examples of relevant information for the project was the relevance of the variety in carriageway width, curve radius, road surface etc from crash data and details such as departure angle and speed at departure from driving data. A list of the reports can be found in Appendix 1. In a Swedish study [6], more than 3000 crashes on median-separated roads, were combined with road geometry and -surface data. It was stated that road characteristics affect crash rate, large radii right-turn curves are more dangerous than left curves and that motorway carriageways with no or limited shoulders have the highest crash rate. Run-off road crashes in US was analysed using the National Motor Vehicle Crash Causation Survey [7]. The most influential factors in the occurrence of single-vehicle ROR crashes were the factors “driver inattention,” “driver was fatigued,” and “driver was in a hurry” – hence motivating driver-in-the-loop testing. In [8] special focus was given to run-off road crashes on ramps, that frequently occurred when vehicles were exiting highways at night, in bad weather, or on curved portions of ramps. In a number of studies, Accident- and Test Scenarios based on different crash databases were defined. In [9], police reported crashes were used. Five scenarios for light- and heavy vehicles, respectively, were recommended, see Figure 2.
Table 21. Recommended Run-Off-Road Crash Imminent Base Test Scenarios for Light Vehicles and Heavy Trucks
| No. | Light Vehicle (Host Vehicle) | Heavy Truck (Host Vehicle) | Schematic |
|-----|--------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------|-----------|
| 1 | Light vehicle is going straight at 25-55 mph and departs road edge to the right in daylight or darkness, clear weather, on straight and level road. | Heavy truck is going straight at 25-55 mph and departs road edge to the right in daylight, clear weather, on straight and level road. | |
| 2 | Light vehicle is going straight at 30-60 mph and departs road edge to the left in daylight or darkness, clear weather, on straight and level road. | Heavy truck is going straight at 25-55 mph and departs road edge to the left in daylight/ darkness, clear weather, on straight and level road. | |
| 3 | Light vehicle is negotiating a curve at 30-55 mph and departs road edge to the right in daylight or darkness, clear weather, on sloping road. | Heavy truck is negotiating a curve at 30-55 mph and departs road edge to the right in daylight, clear weather, on sloping road. | |
| 4 | Light vehicle is negotiating a curve at 40-60 mph and loses control in daylight, clear or adverse (i.e., slippery surface) weather, on sloping road. | Heavy truck is negotiating a curve at 35-55 mph and loses control in daylight, clear weather, on sloping road. | |
| 5 | Light vehicle is turning left at 25-45 mph and departs road edge to the right in daylight, clear weather, on straight and level road. | Heavy truck is turning left at 20-40 mph and departs road edge to the right in daylight, clear weather, on straight and level road. | |
Figure 2. Test Scenarios based on US police reported crashes, ref Najm and Smith, 2006 [9].
German insurance data was used to identify 5 lane departure Accident Scenarios [10], see Figure 3a and 3b.
| Relevance and brief description | Scenario 1 | Scenario 2 | Scenario 3 | Scenario 4 | Scenario 5 |
|--------------------------------|------------|------------|------------|------------|------------|
| Road surface | Dry | Dry | Damp/wet | Damp/wet | Damp/wet |
| Course of the road | Bend | Straight | Straight | Straight | Bend |
| Radius of the bend | ≥ 200 m | - | - | - | ≥ 200 m |
| Light conditions | Daylight | Daylight | Daylight | Dawn/darkness | Daylight |
| Severe weather conditions | None | None | None | Heavy rain | None |
Filter criteria for assignment to a scenario
| Additional information |
|------------------------|
| Relevance in relation to all accidents (n=100) | n | 27 | 23 | 7 | 6 | 5 |
| % | 27 | 23 | 7 | 6 | 5 |
| Relevance in relation to all fatalities (n=32) | n | 12 | ? | 3 | 3 | 1 |
| % | 38 | 6 | 9 | 9 | 3 |
| Average speed of the case car | 85 km/h | 90 km/h | 75 km/h | Unknown | 70 km/h |
Figure 3a. Lane Departure Accident Scenarios based on German insurance data, ref Kühn et al, 2015 [10].
| Scenario | Percentage (n=100) | Location | Typical lane width | Typical speeds | Lowest speed | Highest speed | Type and location of the road markings | Typical collision opponent and direction of the lane change before the collision | Average age of the drivers (only cases with a known cause) | Typical driver-related causes for inadvertent lane departure | Average age of drivers with health problems |
|----------|-------------------|-------------------|--------------------|---------------|--------------|--------------|----------------------------------------|-------------------------------------------------|-------------------------------------------------|-------------------------------------------------|-------------------------------------------------|
| S1 | 27 | Rural roads | 2-3 m | 80 km/h | 45 km/h | 160 km/h | Left Broken | 50 | Health problems (45%), distraction/inattention (28%), overfatigue (9%), drugs (9%) | 72 |
| S2 | 23 | Rural roads | 2-3 m | 91 km/h | 50 km/h | 140 km/h | Left Broken | 51 | Health problems (38%), overfatigue (23%), distraction/inattention (20%) | 61 |
| S3 | 7 | Rural roads | 3-4 m | 68 km/h | 40 km/h | 90 km/h | Left Both | 55 | Health problems (50%), overfatigue (25%), alcohol/drugs (25%) | 52 |
| S4 | 6 | Both urban and rural roads | 2-3 m | 100 km/h (one case) | | | Left Broken | 22 | Overfatigue (75%), alcohol/drugs (25%) | - |
| S5 | 5 | Rural roads | 2-3 m | 67 km/h | 50 km/h | 90 km/h | Left Broken | 46 | Health problems (25%), overfatigue (25%), distraction/inattention (25%), severe weather conditions (25%) | 25 |
Figure 3b. Specification of Lane Departure Accident Scenarios based on German insurance data, ref Kühn et al, 2015 [10].
Analysis of crash data
Volvo Cars Traffic Accident Data (VCTAD) was analyzed to provide input based on Swedish run-off road crash characteristics to the Test scenario development. Non-loss-of-control run-off road crashes in straight roads with recent Volvo car models, model years later than 1999, that occurred during accident years 2007 to 2013 was selected. Descriptive statistics showed that for run-off road crashes, the most common...
- posted speed limit was 70-90 km/h
- lane markings are dashed (not solid) when departure to the right
- driver’s estimated speed was 60-100 km/h
- light condition was daylight, although darkness held a significant portion of the crashes
Further, a cluster analysis defining Accident Scenarios was performed and the Run-off Road Accident Scenario recommended based on this, is a crash on a straight road where the passenger car initially travels in 70 km/h in the rightmost lane (width ~3.5 m) in the travel direction. The car departs to the right with departure angle (vs the road) 4° or 8°.
Heavy vehicle accident scenarios
Studies presenting accident data analysis of heavy truck accidents involving pedestrians or bicyclists were compiled.
Same direction - heavy truck turning across VRU path:
**Figure 4.** Accident type distribution and impact point on truck in turning accidents with bicycles based on German accident data, ref Schrek et al, 2014 [11].
Summary of accident conditions [11]:
- Urban area
- Daylight
- Dry weather
- Both with and without traffic light signaling
- Initial speed of heavy truck is below 30 km/h (in 90% of cases)
- Initial speed of bike is below 20 km/h (in 85% of cases)
- In 40% of cases, initial speed of bike is larger than speed of the heavy truck, partly caused through truck starting from stationary and cyclist catching up from behind.
- Bike does not brake in 65% of cases
- Heavy truck does not brake in 70% of cases
- Driver did not see cyclist in 90% of cases
Based on this, the following preliminary test scenario characteristics were defined for WP5:
- Assume truck movement to be first straight, then turning with constant radius
- Daylight and dry weather
Parameters:
- Speed heavy truck: 10, 20, 30, 40 km/h
- Speed bicycle: 10-25 km/h
- Lateral separation of truck and bicycle before turning: 1.5 to 4.5 m
- Curve radius: 5m, 10m and 25m (radius of inner front wheel of heavy truck)
- Point of impact at truck, distance behind truck front: 0 – 6 m
For “Same direction – host vehicle turning” scenarios involving pedestrians, the only parameter that will be changed is the speed of the VRU.
- Speed pedestrian: 1-10 km/h
**Straight crossing path – VRU from left or right:**
![Diagram showing straight crossing path with VRU from left or right]
*Figure 5. Accident type and impact point on truck based on German accident data, ref Desfontaines et al, 2008 [12].*
Summary of accident conditions [12]:
- Urban area
- Daylight
- Dry weather
- Both with pedestrian crossings and without
- Speed of heavy truck is below 50 km/h (in >90 % of cases)
Based on this, the following preliminary test scenario characteristics were defined for WP5:
- Truck movement straight
- Daylight and dry weather
- Parameters:
- Speed heavy truck: 10, 20, 30, 40, 50 km/h
- Speed pedestrian: 1-10 km/h
- Speed bicycle: 10-25 km/h
5.1.3 WP4
VRU: Cyclist:
Test Method for rating:
The test method has reached TRL 6 with tests of a verified test target and propulsion system. Verification tests was performed at ASTA 2015Q4.
The A-TEAM project has worked in parallel with research activity conducted in Europe; the CATS [13] project, led by TNO. Work performed in A-Team has been able to influence the EuroNCAP rating method for cyclist tests.
The EUNCAP test target, developed by The Austrian company 4A, is in the final verification loop 2016Q2.
Test Method beyond rating:
The test method beyond rating has been put on hold in A-Team phase 2a due to limitations in the test target robustness in LTAP/OD and on-coming scenarios.
The test method has reached TRL 4.
Intersection:
LTAP/OD (Left Turn Across Path / Opposite Direction):
The test method has reached TRL 5. To reach TRL 6 it is needed a platform which is robust in interaction with the test vehicle in turning scenarios. Verification test in turning scenarios is planned for the HSP platform developed in A-Team 2b 2016Q2 and for the ABD platform 2016Q3.
A draft test method description has been delivered 2016Q1 and further test method development will be conducted when the platform is verified for the turning scenarios. The test platform has been integrated into the internal processes used for test scenario development in use by the partners, both for CAE-based test-scenario development and direct programming of steering robots.
The prognosis is to reach TRL 6 2016Q4, as part of A-team 2b.
LSS:
Run off Road:
The test method developed in A-team without the driver in the loop has reached TRL 5 with a test vehicle equipped with an ABD robot. To reach TRL 6 will need to be developed and verified an artificially road edge to be used in tests on a test track.
The Run off Road test method development in A-Team Phase 2b will be conducted in parallel with the EUNCAP rating development which will start during 2016Q2. The prognosis is to reach TRL6 2017Q1 when the artificial road edge is verified.
5.1.4 WP5
Target development:
In A-TEAM 2a two different targets have been used: Pedestrian rig ABD SPT and Vehicle platform ABD GST. Both have the limitation that they cannot withstand being run over by a heavy truck.
For the Vehicle platform ABD GST a structure was built so that the bicycle target could be mounted with a 1.5m offset to secure that the platform would not be run over even if the target was impacted.
The Pedestrian rig ABD SPT was judged to not be strong enough to hold for the added torque if the target was mounted with an offset. Therefore, only lower speeds were tested so that the test driver was able to take over control and brake before impact. Further work will be done in A-TEAM 2b to find a solution that works also for higher truck speeds.
Scenario generation
All test scenarios were created in PreScan to make a first prioritization of scenarios and also to generate drive files for the driving robot and target carriers.
Same direction - heavy truck turning across VRU path
The test method developed in A-TEAM 2a has reached TRL 4 with a test vehicle equipped with an ABD SR30 robot and the Vehicle platform ABD GST. The reason for this is that there were extensive technical problems when testing with the Vehicle platform ABD GST (with the platform itself – not with the added offset structure). To reach higher TRL levels more testing is needed.
The same scenario has also been tested with the Pedestrian rig ABD SPT as target carrier. TRL 4 reached also here. To reach higher TRL levels a better target carrier solution should be developed. This will be taken care of in A-TEAM 2b.
Straight crossing path – VRU from left or right
For this scenario only the set-up with the Pedestrian rig ABD SPT has been used. The reason is both that the Vehicle platform ABD GST was not available when this scenario was tested and also that the main focus of this scenario is on pedestrians and then the speed of the Pedestrian rig ABD SPT is fully sufficient. As in the turning scenario, an ABD SR30 driving robot was used in the truck. TRL4 has been reached also here – but higher TRL levels are probably not possible to reach without developing a solution for the target carrier so that it works also for higher truck speeds (up to 50 km/h). With a target carrier solution that is safe to use with a heavy truck and more testing – TRL6 is expected to be reached in A-TEAM 2b.
### 5.1.5 WP6
**Benchmark**
Below follow some brief observations with respect to the in A-team 2a conducted benchmark assessments:
- **Pedestrian rig ABD SPT**
- Fairly easy to set-up, short turnaround time as long as the target is not hit
- Controller believes it follows the desired speed profile. However measurement show that this is not the case, see figure below.
- Does not reach its state top speed of the platform
- **Pedestrian rig 4a**
- Fairly easy to set-up, short turnaround time as long as the target is not hit
- Have severe problems during wet conditions: some tests are aborted and stated top speed is not reached
Acceleration and deceleration can be set in scenario program but do not affect the acceleration or deceleration in the actual test.
- **EuroNCAP EVT**
- Positioning and dynamic performance limited by the driving robot in the tow vehicle.
- Damping effect of the tow ladder must be further investigated. The target lags compared to the tow vehicle speed profile, see figure below.
- **Vehicle platform ABD GST**
- Assessment has been severely hampered by the GST capability to cope with wet and cold conditions.
- Further assessment is needed.
- **ABD driving robot**
- Assessment was performed using EuroNCAP AEB speed profiles.
- Given enough lead-in, the robot can perform tests with the speed, yaw, etc accuracy stated by the EuroNCAP test method.
**New platform**
The preliminary design and overall specification of the target carrier was displayed at Researcher’s day, 14th October 2015 at AstaZero. Visitors could ask questions and get more knowledge of what the A-TEAM project aims at producing in terms of test equipment. The display session included the foundation of the chassis, as well as a teaser video with specifications of the system.
The Mechanical design was completed and prototype production of parts was fully ongoing in October 2015. Design updates were continuously performed based on test
evaluation between October 2015 and April 2016. The final design is depicted in Figure 2 and consists of over 700 parts.
In February 2016, the control system based on the NG-Test lowrider was integrated into the chassis of the target carrier. Figure 9 depicts the inside of the target carrier in the laboratory environment, ready for parameter tuning of all electrical components such as: brake actuation, steering response and precision, drive motor control, GPS acquisition, Accelerometer readings, water cooling system etc.
In March, the target carrier’s steering and brake system as well as communication and emergency stop system was tuned and deemed ready for testing outside. Figure 10 shows a picture from the first test run of the target carrier. During this test run the maximum propulsion power of the target carrier was limited to approximately 3kW and it reached a velocity of approximately 30 km/h and the steering system worked as expected.
However, multiple problems arose when further testing begun.
• Latency in the internal communication between different on-board systems led to poor responsiveness of the control commands; this was solved by adjusting the software.
• When the power limitation was turned off, the different parameters of the regulation system of the propulsion system proved to be set wrong which led to too high power output on the drive wheels which in turn led to wheel spinning and loss of control. The emergency stop was activated and due poor battery performance the propulsion battery system to one of the motors became damaged; this was solved by replacing the batteries and adjusting parameters of the regulation system.
• Furthermore, when the target carrier functioned as expected with low dynamics (i.e. low speed, small change of steering angle etc.) the system was set up to be tested with higher dynamics (i.e. more rapid change in acceleration, faster change of steering angle etc.). However, at the start of testing, when aligning the target carrier with the expected trajectory using the manual control the battery system was once again damaged. The probable cause was that the battery system could not handle the voltage/current spikes; the solution was to replace the batteries with another type of battery.
• New testing begun and as soon as the main contactors for the propulsion system was closed, the motor controller got damaged. The probable cause is an erroneous connection of the emergency stop system; the solution was to repair the motor controller and adjust the connection within the electrical system of the target carrier.
• Regarding mechanical performance of the target carrier, the drive belt cause the wheel axle to bend which in turn causes unnecessary wear of the drive belt due to the belt scraping at the sides of the drive belt pulley. The solution to be evaluated is adding a turnbuckle to rectify the wheel axle so that the belt does not slip to one side of the drive belt pulley thereby removing that type of belt wear.
• During that update to the target carrier, the size of the drive belt and drive belt sprockets was increased to increase performance of the belt drive system.
• Finally, the preliminary testing of the target carrier led to some wheel spinning which caused the rubber of the wheels to come off. During the update process new drive wheels with another type of rubber compound was also fitted.
The control system is yet to be adjusted and verified to function before the final functional prototype may be released and ready for method research testing within the A-TEAM project. This corresponds to TRL 6.
In A-TEAM 2b work will be focused on adjusting and verifying the control-, and electrical system followed by prioritized crash tests to evaluate whether it is ok for test driver to be exposed to the collision risk with the target carrier given a specific test scenario. The crash testing will be based on scenarios plausible to happen during the test methods to be performed. The velocity of the crash testing will start at low speed and will gradually be increase up to test scenario speed, this in order to ease the process of finding weak spots in the construction. Methods to be performed are LTAP/OD, cut-in scenario and head-on scenario with both passenger vehicle and heavy truck.
5.1.6 WP7
The following has been delivered as part of WP7:
- A rig and associated method has been developed to facilitate precise positioning of measurement equipment placed in vehicles.
- Efficient and precise GPS installation in test vehicles and its relative position to the vehicle’s coordinate system. This is vital since the vehicle under test often is the reference for other objects, targets, vehicles, etc.
- Using LTAP, a WP4 test method, as a base a comprehensive evaluation has been performed, with approved results, to verify test equipment and test method repeatability and precision. During this evaluation scripts were developed to speed up test evaluation and report input.
5.1.7 WP8
The following has been delivered as part of WP8: Prototype of a target carrier system for pedestrian, bicyclist and large animal targets with focus on high efficiency. The scenario length is max 40 meters and the max target speed is 60 kph. The basic concept is two identical cable winches where one is master and one slave, working with a cable/line to which a tension is applied. At the time of A-team 2a closure final tests had not been performed, but the design concept has been verified to meet all major requirements. See figure below.
Figure 9: Prototype of mid-speed target carrier.
Further, in close cooperation with WP4, prototyping was performed on an artificial road edge target with the aim to test lateral support systems on e.g. high speed area. The prototype was based on different types of artificial grass which was rolled out on the tarmac. See figure below. During the work there was a EuroNCAP/CLEPA/ACEA workshop organized at IDIADA to evaluate this prototype and other similar ones. Unfortunately the end result was poor, the systems in the test vehicles could not reliably detect and identify the target as a road edge and the work had to be paused.
5.2 Delivery to the FFI goals
The combination of a proving ground and the new tools and methods that this project aimed at developing contributes to many of the general FFI goals. Swedish industry has, thanks to the test methods, a unique platform for research and innovation and thus access to new tools in the work to remove accidents resulting in serious injuries and deaths. These test methods are needed also to support the development of autonomous vehicles since autonomous vehicles must be able to handle these situations.
The methods and test system addressed four out of six research areas in the strategic roadmap for the vehicle and traffic safety:
- Vehicle and traffic safety analysis including other facilitating technologies and knowledge
- Basic safety attributes of vehicles
- Driver support and related interfaces between driver and vehicle
- Intelligent collision-avoiding systems and vehicles
Through the mapping of the potential future method and test equipment steps, a plan was indirectly created for further contribute to the roadmap in many steps. Swedish vehicle industry is in the absolute cutting edge of active-safety development and the new possibilities in the new methods combined with the testing efficiency improvements will allow the industry to maintain and increase the leadership. Accidents in intersections are already mentioned as a domain where active safety can contribute [14]. Within this scope, cooperating systems based on vehicle to vehicle and vehicle to infrastructure is contained. As shown by Lefèvre [15], the number of involved parties in combination with their various types is increasing the dynamics and complexity of the traffic model. By using suitable warnings- or other active safety systems that e.g. informs parties in intersections in time, the associated risk for this traffic type can be lowered. The decision by EuroNCAP to develop a rating method for the scenario type further shows the focus dedicated to this traffic environment.
The increased method and equipment competence will allow the Swedish companies, institutes and universities to play a greater role in the EU Horizon 2020 programs. Within the SAFER framework, there is already a strong cluster that now has gotten more nourishment to further strengthen the cooperation between the triple helix parties. Swedish vehicle industry have gotten new possibilities to develop new vehicle based active safety systems that supports the driver in taking the right actions in situations involving various cognitive driver loading and possibility to strengthen driver initiated actions such as braking. Similar scenarios will be designed for driving simulators and this will create a need to validate simulator tests using proving ground testing. The knowledge is used to develop driver models to CAE tools utilizing the potential of shorter development times of technology.
6 Dissemination and publications
From WP2, we gave a talk at AstaZero Researchers’ Day in fall 2015 as well as one publication at the International Workshop on Software Engineering for Smart Cyber Physical Systems [5].
Experience concerning artificial road edge targets was disseminated through active participation in EuroNCAP’s road edge workshop at IDIADA, Oct. 4-5, 2016.
Further, A-team 2a presented results at TSAF, FFI, result conference Sept. 21, 2016.
7 Conclusions and future research
A-TEAM phase 2a has delivered validated test methods, scenarios, test equipment prototypes and demonstrated them in test systems with performance levels necessary for validation of the methods. Research is continuing in A-TEAM phase 2b and through CHRONOS part 1. Work in WP2 has been vital as input to requirements in CHRONOS part 1. Research into more scenarios, methods, equipment, and test infrastructure will continue in A-TEAM phase 2b. A number of other applications are also planned that originate from the ATEAM phase 1 WP2 pre study. CHRONOS part 2 and ATLAS are two examples of such applications.
8 Participating parties and contact persons
Peter Janevik, email@example.com, 010-5166143
Contact persons:
VCC: Anders Axelson, firstname.lastname@example.org
AB Volvo: Anna Wrigge Berling, email@example.com
Autoliv: Per Gustafsson, firstname.lastname@example.org
SP: Henrik Eriksson, email@example.com
Chalmers: Christian Berger, firstname.lastname@example.org
AstaZero: Peter Janevik, email@example.com, Niklas Lundin firstname.lastname@example.org, Håkan Andersson, email@example.com
9 References
[1] C. B. Seaman: *Qualitative Methods*. In Guide to Advanced Empirical Software Engineering, p. 35-62, 2008.
[2] P. Runeson and M. Höst: *Guidelines for conducting and reporting case study research in software engineering*. In Empir. Softw. Eng., vol. 14, no. 2, pp. 131–164, Dec. 2008.
[3] F. Shull, J. Singer, and D. I. K. Sjøberg, Eds., Guide to Advanced Empirical Software Engineering. London: Springer London, 2008.
[4] K. Petersen, R. Feldt, S. Mujtaba, and M. Mattsson: *Systematic Mapping Studies in Software Engineering*. In Proceedings of the International Conference on Evaluation and Assessment in Software Engineering (EASE'08), pp. 68-77, 2008.
[5] A. Knauss, C. Berger, H. Eriksson: *Towards State-of-the-Art and Future Trends in Testing of Active Safety Systems*. In Proceedings of the International Conference on Software Engineering for Smart Cyber-Physical Systems (SEsCPS'16), Austin, Texas, May 2016.
[6] "Identifying Critical road Geometry Parameters Affecting Crashe Rate and Crash Type" Sarbaz Othman, Robert Thomson, Gunnar Lannér 2009 Oct 5
[7] "Run-off-Road Crashes: an on-scene perspective" Cejun Liu, Ph.D., and Tony Jianqiang Ye July 2011
[8] "Types and characteristics of ramp-related motor vehicle crashes on urban interstate roadways in Northern Virginia" Anne T. McCartt, Veronika Shabanova Northrup, Richard A. Retting 2003
[9] Development of Crash Imminent Test Scenarios for Integrated Vehicle-Based Safety Systems (IVBSS) Wassim G. Najm and John D. Smith 2006
[10] ANALYSIS OF CAR ACCIDENTS CAUSED BY UNINTENTIONAL RUN OFF ROAD Matthias Kuehn, Thomas Hummel, Jenö Bende 2015
[11] Abbiege-Assistenzsystem für Lkw - Grundlagen für ein Testverfahren Benjamin Schreck, Dr. Patrick Seiniger 2014
[12] PRUDENT-VI Project - PRotection of vulnerable road Users in case of acciDENT against an Industrial Vehicle, H. Desfontaines, P. Beillas 2008
[13] O.M.G.C. Op den Camp, A Ranjbar, J Uittenbogaard, E Rosen, S.H.H.M. Buijssen, Overview of main accident scenarios in car-to-cyclist accidents for use
9.1.1 Appendix 1. List of published reports on Run-off road real-world crash characteristics
| Title | Authors | Date |
|----------------------------------------------------------------------|----------------------------------------------|------------|
| "A Study of NMVCCS to Identify critical Pre-Crash Factor in Fatal Crashes" | Mark Mynatt, James Bean, Charles J. Kahane, Carla Rush, Eric Traube, Chris Wiacek | |
| "Identifying Critical road Geometry Parameters Affecting Crash Rate and Crash Type" | Sarbaz Othman, Robert Thomson, Gunnar Lannér | 2009 Oct 5 |
| "Understanding the Causation of single-Vehicle Crashes: a methodology for in-depth on-scene multidisciplinary case studies" | Jesper Sandin, Mikael Ljung | 2007 |
| "Comparison of Factors Associated with Run-Off-Road and Non-Run-Off-Road Crashes in Kansas" | Uttara Roy and Sunanda Dissanayake | (Summer 2011) |
| "Run-off-Road Crashes: an on-scene perspective" | Cejun Liu, Ph.D., and Tony Jianqiang Ye | July 2011 |
| "speed as Risk Factor in Serious Run-Off-Road Crashes: Bayesian Case-Control Analysis with Case SpeedUncertainty" | GARY A. DAVIS, SUJAY DAVULURI, JIANPING PEI | 2006 |
| "EVALUATING CRASH AVOIDANCE COUNTERMEASURES USING DATA FROM FMCSA/NHTSA'S LARGE TRUCK CRASH CAUSATION STUDY" | Kristin J. Kingsley | |
| Title | Authors | Year |
|----------------------------------------------------------------------|------------------------------------------------------------------------|------------|
| "Single vehicle run-off-road accidents colliding turned down terminals of guardrails" | E. Tomasch, H. Hoschoff, M. Gobald, H. Steffan, B. Nadler, F. Nadler, B. Strnad, F. Schneider | |
| "Epidemiology of older driver crashes – Identifying older driver risk factors and exposure patterns" | J. Langford, S. Koppel | 2005-2006 |
| "Types and characteristics of ramp-related motor vehicle crashes on urban interstate roadways in Northern Virginia" | Anne T. McCartt, Veronika Shabanova Northrup, Richard A. Retting | 2003 |
| "Longitudinal Analysis of Fatal Run-Off-Road Crashes, 1975 to 1997" | Richard McGinnis, Matthew Davis, Eric Hathaway | |
| Rural Road Departure Crashes: Why is Injury Severity Correlated with Lane Markings? | Kristofer D. Kusano, Hampton C. Gabler (Virginia Tech) | January 2012 |
| Crash Severity Analysis of Single Vehicle Run-off-Road Crashes | Sunanda Dissanayake, Uttara Roy | October 2013 |
| Analysis of Run off Road Crashes in relation to Roadway Features and Driver Behavior | Ertan Örnek, Alex Drakopoulos | 2007 |
| Effect of Rainfall and Wet Road Condition on Road Crashes : A Critical Analysis | Mondal, P., Sharma, N., Kumar, A., Bhangale, U. et al., | 2011 |
| Factors Related to Fatal Single-Vehicle Run-Off-Road Crashes | Liu, C., Subramanian, R | 2009 |
| SAFETY AND OPERATIONAL CONSIDERATIONS FOR DESIGN OF RURAL HIGHWAY CURVES. FINAL REPORT | Glennon, J C, Neuman, T R, LEISCH, J E | 1983 |
| Development of Crash Imminent Test Scenarios for Integrated Vehicle-Based Safety Systems (IVBSS) | Wassim G. Najm and John D. Smith | 2006 |
| Analysis of Run-Off-the-Road Crashes Involving Overcorrection | Abhishek Mishra | 2006 |
| Title | Authors | Year |
|----------------------------------------------------------------------|----------------------------------------------|------|
| The Nature and Severity of Drift-Off Road Crashes on Michigan Freeways, and the Effectiveness of Various Shoulder Rumble Strip Designs | David A. Morena | 2002 |
| SAFETY ASPECTS OF INDIVIDUAL DESIGN ELEMENTS AND THEIR INTERACTIONS ON TWO-LANE HIGHWAYS: INTERNATIONAL PERSPECTIVE | Choueiri, Elias M, Lamm, Ruediger, Kloeckner, Juergen H, Mailaender, Theodor | 1994 |
| COMPARISON OF EVENT DATA RECORDER AND NATURALISTIC DRIVING DATA FOR THE STUDY OF LANE DEPARTURE EVENTS | Kristofer D. Kusano, Rong Chen, Ada Tsoi, Hampton C. Gabler | 2015 |
| ANALYSIS OF CAR ACCIDENTS CAUSED BY UNINTENTIONAL RUN OFF ROAD | Matthias Kuehn, Thomas Hummel, Jenö Bende | 2015 |
| Analysis of crash data to estimate the benefits of emerging vehicle technology. | Anderson, R. W. G., T. P. Hutchinson, et al. | 2011 |
|
May 2024 Newsletter
Apart from Jesus We Can Do Nothing
John 15: 1-5
Members of Fennimore and Stitzer UMC: Spring and summer times are the most productive seasons of the year, especially in the northern sections of the United States. In some other countries, they can cultivate the land all year round. In several other countries, depending on the season they are in, plants will bear fruit at different times of the year than they do here. Fruitful plants are designed to produce fruit during warm weather.
In the gospel of John, Jesus teaches his disciples that he is the true vine and that his Father God is the vine grower. He says that his Father removes every branch that bears no fruit. His metaphor is a crystal-clear indication that God only keeps branches that bear fruit. God is concerned with production, but the quality of the production comes only as long as the branches keep their connection to Him.
If you are one of the branches connected through the gospel to Jesus Christ, God has placed you in Jesus so that you may be producing the fruit God has assigned you to produce. Jesus reveals to his disciples that every branch that bears fruit is pruned to make it bear more fruit. Of course, Jesus is not speaking here about plants and fruit; he is speaking about Christians attached to Him.
Jesus said to his disciples, “You have already been cleansed by the word that I have spoken to you. Abide in me as I abide in you. Just as the branch cannot bear fruit by itself unless it abides in the vine, neither can you unless you abide in me”. In our case, the four seasons of any year are good to produce fruit, to be pruned by the Word of the Lord, and to be connected to Jesus. It is very clear that apart from Jesus we can do nothing.
The Christian church has created a system to care for its branches that need to abide in Jesus. It is relevant to our Christian faith to be connected to the true vine, Jesus Christ. The means of Divine Grace allow God to keep pruning us during the course of our lives. The active participation of every one of us, as a branch that abides in Jesus, will enable God the Father to prune us so that we may bear more fruit.
Remember, in verse 5 Jesus says, “I am the vine, you are the branches. Those who abide in me and I in them bear much fruit, because apart from me you can do nothing.” Therefore, all year round we can go in the name of the Lord and bear fruit…fruit that will last forever.
The fruit that Jesus is talking about in the gospel of John is related to the involvement of Christians in the ministry of the church. We need more teachers, evangelists, prophets, deacons and deaconesses, people for administration, people who go and visit the housebound and members who are residents of our local nursing home.
We need preachers, counselors, and liturgists. We need people to keep praying for our church, the community, the world and our country. We need people to pray for the ministry of the saints. Praying for the ministry of the saints can be done from home or anywhere. There are many people in our community that need to hear the gospel and your prayers for them, even when you don’t know them, will lead someone to share the Good News of Jesus Christ with that person. Just remember that God has called you to bear much fruit.
Pastor Rey Diaz
Membership: If you are interested in becoming a member of either congregation, please contact the Church Office at firstname.lastname@example.org or (608) 822-6797. Membership Class(es) Date to be determined.
Worship Schedule
(Tentative – Schedule Subject to Change)
May 5, 12, 19 and 26:
8:00 AM – Worship at Fennimore UMC
LIVE on Facebook (@fennimoreumc)
10:30 AM – Worship at Stitzer UMC
LIVE on Facebook (@stitzerumc)
6:30 PM – Sunday Evening Worship at Fennimore
Salad Luncheon: NEW TIME – Early August, Wednesday the 7th (due to the early start of school)
MAY
Who doesn’t love this month? We have many Graduations and weddings during May. And Mother’s Day, we can’t forget that. We see more flowers popping up, more birds returning, gentle rains and more sunny days, we hope!
The Maypole Dance
Did you ever dance around the maypole as a child? Wrapping a maypole with colorful ribbons is a joyous tradition that still exists in some schools and communities.
- Initially, the maypole was a living tree chosen from the woods with much merrymaking. Ancient Celts danced around the tree, praying for the fertility of their crops and all living things!
- For younger people, there was the possibility of courtship. If a young woman and man paired by sundown, their courtship continued so that the couple could get to know each other and, possibly, marry 6 weeks later on June’s Midsummer’s Day. This is how the “June wedding” became a tradition.
- In the Middle Ages, all villages had maypoles. Towns would compete to see who had the tallest or best maypole. Over time, this Old English festival incorporated dance performances, plays, and literature. People would crown a “May Queen” for the day’s festivities.
Calendar Days in May….
- **May 1 is May Day**. Mark the return of spring by bringing in branches of forsythia, lilacs, or other flowering shrubs from your region. May Day is also “Lei Day” in Hawaii. Leis are garlands or wreaths that are often made with native Hawaiian flowers such as plumeria. Nowadays, they are given as a symbol of greeting, farewell, affection, celebration, or honor, in the spirit of aloha.
- **May 5 is Cinco de Mayo (“The Fifth of May”).** This day celebrates the victory of the Mexican army over the French army at The Battle of Puebla in 1862.
- **May 12 is Mother’s Day**—don’t forget! Do you have something planned to show appreciation for your mother?
Fennimore United Methodist Women
May 2024
Article by Kim Cathman
Meeting Highlights:
The United Women in Faith met the last Wednesday in April. Thirteen of us met and had much to discuss.
We lost a devoted and hardworking member in Audrey. She was a faithful servant of our group, our church and our community. We all have a deep gratitude and appreciation for her, her dedication and all she did for us. We shared our favorite stories and reminisced.
Our Creation Team is working on a few more covers. Binding is needed and as soon as that is done, you will see more covers on the racks. We also put out hand crocheted doilies on a table in the hallway. Envelopes are there for a free will offering if you’d like one or more. Please leave in the church office.
Dates to Remember:
Next Meeting: June 26th at 6:00 PM
May 28 is Armed Forces Day, which honors those who serve in all branches of the United States military.
May 22 is National Maritime Day. Created in commemoration of the first transoceanic voyage via steamboat (completed by the U.S.S. Savannah in 1819), this holiday recognizes the efforts of the U.S. merchant marine during both war and peace.
May 27 is Memorial Day—a poignant reminder of the tenacity of life. It’s tradition to raise the flag on this day.
Fun Calendar Days!
- May 1: School Principals’ Day
- May 2: World Tuna Day
- May 4: May the 4th be with you! (if you’re a Star Wars fan)
- May 8: No Socks Day
- May 8 (second Wednesday in May): Root Canal Appreciation Day
- May 14: Dance Like a Chicken Day
May’s full Moon, called the Flower Moon, appears on Thursday, May 23.
Recipe of the Month:
This is not from our cookbook, it was found online, but it’s one that many people have enjoyed because of Audrey! So, we’ll share it. If you make it, remember her! She loved to bake several loaves, sharing with so many, for no particular reason, just because!
Best Ever Banana Bread
Ingredients:
1 ¾ Cups All Purpose Flour
1 ½ Cups Sugar
1 tsp Baking Soda
½ tsp Salt
2 Large Eggs, Room Temperature
2 Medium Bananas, Mashed (1 cup)
½ Cup Canola Oil
¼ Cup plus 1 TBL Buttermilk
1 tsp Vanilla
1/2 Cup Chopped Nuts (if desired)
Directions:
In a large bowl, stir together flour, sugar, baking soda and salt.
In another bowl, combine the eggs, bananas, oil, buttermilk and vanilla.
Add to flour mixture,
Stir until mixed, do not beat.
Fold in nuts
Pour into greased 9x5 loaf pan.
Bake at 325° for 1 ¼ to 1 ½ hours or until a toothpick comes out clean.
*I check at 1 hour. If I put in two smaller bread pans, I check at 45 minutes.
OF COURSE we had to publish this pickle recipe in memory of Audrey. She was proud we served the pickles at our funeral luncheons. We’ll try to keep them going!
Off the Floor Pickles
From our Cookbook (page 194)
Avis Edge
1 Gal Jar with screw top lid
¼ Cup Whole Mixed Spices
2 Tbl Salt
4 Cups White Vinegar
2 Tbl Alum
Fill Jar with medium sized washed cucumbers. Put in Salt, Alum granules, spices and vinegar. Then fill rest of jar with water; let set for 1 month, shaking occasionally. After one month, empty jar out and wash it; wash the pickles and chuck(cut) them. Return them to the clean jar; put in 4 cups of sugar. Close jar and shake sugar into pickles. Shake occasionally until sugar makes it’s own juice. Can be kept in basement or refrigerator; will keep for a year. No cooking or canning.
In closing – we are thankful for each and every one of the members of this church.
Nature is springing back to life and we see renewal and beauty. We need renewal in our hope, strength and faith.
As we enter the month of May, show gratitude to the Lord in prayer for the blessing of a fresh start and a new beginning. It will give you peace and joy.
“Give thanks in all circumstances; for this is the will of God in Christ Jesus for you.”
1 Thessalonians 5:18
It is hard to believe that we just wrapped up the 2023-2024 Christian Education year! We had a great year learning all about Bible stories. We ended the year still in the Old Testament. Next year we plan to continue where we left off.
We are excited for VBS! We will be partnering with St. Peter’s Lutheran Church. VBS will be held at Fennimore United Methodist Church. It will run July 21-25 from 5:00 – 8:00 PM. A meal will be served for participants and their families from 5 – 5:30 with VBS beginning at 5:30 PM in the sanctuary. The VBS theme this year is “Twists and Turns”. From classic tabletop games to video games and more, kids will play their way through VBS while learning that Jesus guides them through all the twists and turns of their lives. They’ll find that even when they mess up it’s never “game over.” We hope to see everyone there!
I want to thank everyone for all the cards, visits, gifts, etc. for my 92nd Birthday! Thank you to my family for hosting my birthday party at Morningside where I now live. Also, thank you to my daughter Debbie, who took me to my very good friend’s funeral, Audrey Doan. At the luncheon, so many people stopped and said “Hello”. I really miss being a part of the UMW and Church.
God Bless, Marilyn Brodt
Please keep our residents in your prayers!
**Divine Rehabilitation and Nursing**
Janet Barnes
Vicki Quincy
Sue Lewison
**Orchard Manor**
Christina Cathman
Bill Rotramel
Doris Schneider
**Morningside Assisted Living**
Marilyn Brodt
**Park Place Senior Living**
Geraldine Croft
Duane Furrer
Joann Schrader
Anna Grunder
**Riverside Transitional Care (Lacrosse)**
Donna Blackbourn
**Aspire Senior Living (Oshkosh)**
Harriet Brun
What was Moses’ wife, Zipphora, known as when she’d throw dinner parties?
“The hostess with the Moses.”
Feed My Starving Children
Our Confirmation Students packed 207 boxes at the Boscobel Feed My Starving Children Mobile pack in April. This will feed 122 kids for 1 year!
|
This comprehensive plan and the preparatory work which created it were paid for in part by a grant from the State of Washington, administered by the Department of Community, Trade and Economic Development.
City of Pasco
Comprehensive Plan
Volume I, Goals & Policies
Re-adopted by Ordinance No. 3866
City Council
Joyce Olson, Mayor
Michael B. Garrison
Rebecca Francik
Tom Larson
Matt Watkins
Robert Hoffman
Al Yenney
Planning Commission
Todd Samuel, Chairman
James Hay
David Little
Andy Anderson
Ray Rose
Tony Schouviller
Joe Cruz
City Staff
Gary Crutchfield, City Manager
Rick White, Director of Community and Economic Development
David McDonald, City Planner
Jeff Adams, Associate Planner
Hector Torres, Planner I
# Table of Contents
## Volume I Goals & Policies
| Section | Page |
|----------------------------------------------|------|
| Introduction | 1 |
| Land Use Element | 6 |
| Housing Element | 20 |
| Capital Facilities Element | 27 |
| Utilities Element | 30 |
| Transportation Element | 28 |
| Economic Development Element | 38 |
| Implementation & Monitoring Element | 42 |
| Appendix I Maps | 55 |
The Pasco Comprehensive Plan is a statement of goals and policies that outlines the community’s vision for the future. The Plan is a basic reference document that provides guidance for the development and implementation of specific ordinances and regulations affecting the physical environment of the community. The Plan also anticipates population and employment growth and how public facilities and services will be provided to accommodate that growth.
The city originally adopted a Growth Management Act (GMA) Comprehensive Plan in 1995 in response to legislation provided in RCW 36.70A. This Plan is a revision and update of the 1995 plan, and a response to the GMA requirement that the City of Pasco must review and, if necessary, revise the plan and any associated development regulations. Beginning in December 2007, the City of Pasco is on a GMA mandated track to review and revise this Plan every seven years.
**Plan Format**
This Comprehensive Plan encompasses all geographic and functional elements related to the community’s physical development. It is general in nature and long range in its scope. The Plan is divided into two volumes as follows:
- **Volume 1:** Contains an introduction including a description of the Comprehensive Plan, framework goals as mandated by state, a brief community profile, an outline of required elements, and other related information. Volume 1 also includes the six major elements that articulate the city’s vision for the future through goals and policies organized as follows: Land Use; Housing; Capital Facilities; Utilities; Transportation; Economic Development, and Implementation and Monitoring.
- **Volume 2:** Background information for the elements including supporting data, maps and inventories.
Relationship to the Growth Management Act
In addition to outlining the required elements of comprehensive plans, the GMA (RCW 36.70A.020) prescribes fourteen statutory goals. The preparation of this Plan was guided by these overall goals. For a community’s plan to be valid it must be consistent with and support the state goals as well as other specific requirements of the GMA. Consistency, in the context of the GMA, means a plan must not conflict with the fourteen statutory goals, county wide policies, and plans of adjoining jurisdictions.
The fourteen statutory goals adopted by the State Legislature are paraphrased as follows:
1. Guide urban growth to areas where urban services can be adequately provided.
2. Reduce urban sprawl.
3. Encourage efficient multi-modal transportation systems.
4. Encourage the availability of affordable housing to all economic segments of the population and promote a variety of residential densities and housing.
5. Encourage economic development throughout the State.
6. Assure private property is not taken for public use without just compensation.
7. Encourage predictability and timeliness in the permitting process.
8. Maintain and enhance natural resource based industries including: productive agriculture, fisheries, and mineral industries.
9. Encourage retention of open space and development of recreational opportunities.
10. Protect the environment and enhance the State’s quality of life.
11. Encourage public participation in the planning process.
12. Ensure there are adequate public facilities and services necessary to support development.
13. Identify and preserve lands and sites of historic and archaeological significance.
14. Manage the State’s shorelines wisely.
The Pasco Vision for 2027
Located along the north shore of the Columbia River, Pasco is the major service center for the ever expanding agricultural industrial region of the Columbia Basin. Our city contains tree lined streets with well maintained and identifiable neighborhoods interspersed with neighborhood parks and schools. The city’s infrastructure reflects good planning and public stewardship by being well maintained and providing acceptable levels of services. Fire stations and police mini-stations are optimally located throughout the community to provide exceptional and proactive public safety.
City government activity participates with the Port of Pasco and regional economic development agencies to expand employment opportunities as well as the tax base necessary to support needed community services. Our retail and commercial service centers are attractive and inviting areas clustered near intersections of major arterial streets.
Pasco is the multi-modal hub of southeastern Washington with flourishing industrial development along key transportation nodes including rail, air, barge, truck and pipelines.
All residents of the city are afforded access to the Columbia River. Pasco is oriented toward and connected with the River through parks, pathways, bikeways, boats launches and docks.
Comprehensive Plan Elements
The City of Pasco’s Comprehensive Plan contains seven elements, which establish goals and policies to guide growth and development toward the vision of the future. Each element contains a brief introduction explaining the purpose for establishing the respective goals and policies. The following information provides a brief overview of each element:
The **Land Use Element** is the Comprehensive Plan’s bell weather element. This element provides direction for land use decisions necessary to guide the location of housing, commercial and industrial development as well as all other land uses within the city and expansion of the UGA.
The **Housing Element** promotes the need for diverse and affordable housing for current and future residents of the city. The element also promotes the maintenance and upkeep to preserve the existing housing stock.
The **Capital Facilities Element** discusses the utility and urban services provided by the city. This element contains policies related to utility development and public safety and essential public facilities.
The Utilities Element addresses utilities not owned or operated by the City of Pasco. The emphasis of this element is coordination between all utility providers during the planning and construction process.
The Transportation Element discusses all modes of transportation within Pasco. Along with providing policy guides, this element also addresses needs for current and future transportation improvements in the city.
The Economic Development Element has been included in the Pasco Plan because of the importance of economic development to the community. The goals and policies of this element provide a framework for the city to promote expanding the tax base and creating new employment opportunities for Pasco residents.
The Implementation and Monitoring Element contains general and administrative goals related to the planning process and the implementation of the Comprehensive Plan.
Implementing the Comprehensive Plan
The Comprehensive Plan is implemented through the goals and policies it identifies to guide local decision making related to urban development. The GMA encourages innovative implementation methods that are both regulatory and non-regulatory. Regulatory actions may include the adoption of a revised zoning ordinance or subdivision ordinance while non-regulatory actions could include the adoption of a capital facilities plan. Implementation may also include monitoring, evaluation, and amending the plan as conditions change. Some of the actions necessary to implement the Plan are discussed as follows:
Regulatory Measures
The GMA requires the city to enact land development regulations that are consistent with and implement the Comprehensive Plan. These regulations include: zoning regulations, subdivision regulations, critical area regulations, shoreline regulations, and others.
The zoning regulations and zoning map must be consistent with the land use map and the policies established in the Plan. The land use map and land use policies of the Plan establish the use, density, and intensity of future development. The zoning regulations ensure development occurs as identified in the plan.
The city is obligated by ESHB 1714 adopted by the 1995 Legislature to clarify the development and permitting process through the establishment of specific time frames and processes. These processes are provided for in Title 4 “Permit Process” of the Pasco Municipal Code.
Concurrence Management
A concurrency management system is a regulatory process that establishes procedures to determine if public facilities have adequate capacity to accommodate a proposed development. The process uses criteria adopted and implemented in the municipal code. Under the GMA, concurrency must be established for transportation facilities; however jurisdictions may establish concurrency for any public facility or service. The City of Pasco adopted Ordinance # 3821 establishing concurrency procedures for transportation facilities in conjunction with new development.
Six Year Capital Improvement Plan
The Capital Improvement Plan (CIP) sets out the capital projects the city plans to undertake within the next six years to support implementation of the Comprehensive Plan. The six year schedule is updated annually, with the first year of the schedule acting as the capital budget for the current fiscal year. During the annual updating of the six-year schedule, cost estimates, and funding sources are updated and revised to reflect changed conditions or new information available to the city. The CIP and the twenty-year Capital Facility Plan should be revised to include additional projects that may be needed to maintain adopted levels of service.
Administrative Actions
The Comprehensive Plan includes policies that should be carried out through administrative actions. These actions include development review, development permitting, preparation of reports, making information available to the public, and review for concurrency. Development review practices must be continually monitored to ensure administrative function are consistent with and support the policies of the Comprehensive Plan.
Public Involvement
As the Pasco Comprehensive Plan is tested by development, there will be a need to respond by amending the comprehensive Plan. Additionally as the community matures, the vision for the future may change and new needs may emerge. Continued public involvement and communication is necessary to keep the Plan current and in step with community goals for the future.
The Land Use Element anticipates and directs growth and development in the Pasco Urban Growth Area for the next 20 years. It is the policy basis for ensuring that adequate land is available for growth and that development will be orderly and efficient. The Land Use Element specifically considers the general distribution and location of land uses; the appropriate intensity and density of land uses given development trends; provides policy guidance for residential, commercial, industrial and public uses; addresses pre-existing non-conforming uses; and establishes land division policies for creating new lots. It also provides the basis for coordination with Franklin County in establishing and expanding the urban growth area.
**Growth Management Mandate**
The Land Use Element is designed to comply with the following state GMA planning goals:
- Encourage urban development in urban areas where adequate public facilities and services exist or can be provided in an efficient manner.
- Reduce the inappropriate conversion of undeveloped land into sprawling, low-density development.
- Private property shall not be taken for public use without just compensation having been made; the property rights of landowners shall be protected from arbitrary and discriminatory actions.
- Encourage the retention of open space and development of recreational opportunities, conserve fish and wildlife habitat, increase access to natural resource lands and water, and develop parks.
- Applications for both state and local government permits should be processed in a timely and fair manner to ensure predictability.
- Identify and encourage the preservation of lands, sites, and structures, that have historical or archeological significance.
- Encourage the involvement of citizens in the planning process and ensure coordination between communities and jurisdictions.
to reconcile conflicts.
- Encourage the availability of affordable housing to all economic segments of the population of this state, promote a variety of residential densities and housing types, and encourage preservation of existing housing stock.
- Encourage economic development throughout the state that is consistent with adopted comprehensive plans, promote economic opportunity for all citizens of this state, especially for unemployed and for disadvantaged persons, and encourage growth in areas experiencing insufficient economic growth, all within the capacities of the state’s natural resources, public services, and public facilities.
- Maintain and enhance natural resource-based industries, including productive timber, agricultural, and fishery industries. Encourage the conservation of productive forestlands and productive agricultural lands, and discourage incompatible uses.
The state goals, in turn, led to the following Countywide Planning Policies (CPP) that provide specific guidance to the analysis and policies developed in this Element (note that only those policies or portions pertaining to land use are included here):
**Policy No. 1**
*Policies to Implement RCW 36.70A.020. The Comprehensive Plans of Franklin County and each of its cities therein shall be prepared and adopted with the objective to facilitate economic prosperity by accommodating growth consistent with the following:*
1. **Urban Growth**: Encourage development in urban areas where adequate public facilities exist or can be provided in a cost efficient manner.
2. **Avoid Sprawl**: The inappropriate conversion of undeveloped land shall be avoided. Urban development shall be confined to appropriate areas within urban growth boundaries.
4. **Property Rights**: Private property rights shall not be taken for public use without just compensation having been made. The property rights of landowners shall be protected from arbitrary and discriminatory actions.
5. **Permits**: Applications for permits should be processed in a timely and fair manner to ensure predictability.
7. **Open Space and Recreation**: Encourage the retention of useful open space and development of recreational opportunities, conserve critical fish and wildlife habitat, increase public access to natural resource lands and water, and develop parks.
10. **Public Facilities and Services**: Ensure that those public facilities and services necessary to support development shall be adequate to serve development at the time the development is available for occupancy and use without decreasing current service levels below locally established minimum standards.
11. **Historic Preservation**: Identify and encourage the preservation of land sites and structures that have historical or archaeological significance.
**Policy No. 2.**
*Policies to Implement RCW 36.70A.110 relating to the establishment of Urban Growth Areas.*
A) Each city within Franklin County will be included within a designated urban growth area.
B) Designated urban growth areas should include an amount of undeveloped area to adequately accommodate forecasted growth and development for the next 20 years.
C) Designated urban growth areas should include those portions of the county already characterized by urban growth and having existing public infrastructure, public facilities and service capacities to serve existing and future growth.
D) Designated urban growth areas should include those areas that are within the recognized utility service areas of each city.
E) The size of urban growth areas will vary due to regional settings and should be adequate to promote viable economic development strategies, promote choices in housing accommodations, and insure adequate lands are available for associated open spaces and public purposes.
F) When each city and the county have jointly established development regulations for unincorporated lands within Urban Growth Areas, the Boundary Review Board shall be discontinued.
G) Municipalities should limit the extension of water and sewer service to the area within each jurisdiction’s urban growth area.
Policy No. 3
Policies for promotion of contiguous and orderly development and the provision of urban services to such development. RCW 36.70A.210(3)b.
A) Joint county/city standards shall be established for development within each individual urban growth boundary, but beyond corporate limits of cities. It is in the public interest that joint standards be developed to preclude the creation of substandard infrastructure and property division that would burden the public with unnecessary costs to correct. These standards should include:
1) Street locations, both major and secondary
2) Street right-of-way widths
3) Street improvement widths
4) Street improvement standards
5) Lots and blocks including special lot reservation system when public sewer concurrency cannot be provided
6) Curbs and gutters
7) Sidewalks for secondary streets
8) Road construction standards
9) Cul-de-sac, locations and dimensions
10) Storm drainage facilities, quantity, quality and discharge locations
11) Street lights, conduit, fixtures, and locations
12) Sewer, septic regulations, private sewer, dry sewer facilities
13) Water, pipe sizes, locations, fire flows, uniform codes
14) All building requirements
15) Subdivision and platting requirements including parks and open space
16) Collection and use of development impact fees as appropriate
17) Mobile home and manufactured home regulations as appropriate
18) Zoning ordinance: permitted uses in urban growth areas, setback, building heights, and lot coverage as appropriate
B) The availability of the full range of urban governmental services will be subject to the annexation policies of the adjacent municipality.
C) The timing of utility extensions into the urban growth area should be consistent with the adopted capital facilities plan of the adjacent municipality.
Policy No. 4
Policies for siting public facilities of a county-wide nature. RCW 36.70A.210(3)c.
A) When an appropriate issue arises the county and cities within, along with public participation shall develop a cooperative regional process to site essential public facilities of regional and statewide importance. The objective of the process shall be to ensure that such facilities are located so as to protect environmental quality, optimize access and usefulness to all jurisdictions, and equitably distribute economic benefits/burdens throughout the region or county.
B) No local comprehensive plan or development regulations will preclude the siting of essential public facilities, but standards may be generated to ensure that reasonable compatibility with other land uses can be achieved.
Policy No. 7
Policies for joint county and city planning within urban growth areas: RCW 36.70A.210(3)f.
A) The city and county planning efforts will be coordinated within urban growth areas.
B) The county and each city shall jointly develop and implement development, land division and building standards, and coordinate permit procedures for the review and permitting of new subdivisions within Urban Growth Areas.
Plan Concept
Pasco is the largest city in Franklin County. It is one of three cities that make up the Tri-Cities region, a mid-sized metropolitan area of approximately 200,000 people that includes the cities of Kennewick and Richland. The April 1, 2007 population of Pasco was estimated by the Washington State Office of Financial Management at 50,210. Pasco is, in terms of net percentage growth, the fastest-growing city in the state of Washington, and has been for the past several years.
The current land area of the city is 33.6 square miles, not including the 6.7 square miles of the urban growth area not included in the city Limits.
The plan concept is based on a vision of how the city should grow and develop while protecting its quality of life and equitably sharing the public and private costs and benefits of growth. The plan concept supports a distribution of land uses providing for residential, commercial, and industrial development along with infrastructure, public facilities, parks, open space, and other community features in order to maintain and protect public health, safety, and welfare, while enhancing the community’s character, amenities, and environmental quality.
**Land Use Designations**
Pasco’s approach to managing growth is accomplished through comprehensive plan land use designations that, in turn, provide the basis for zoning, capital facilities planning, and public investment. Land use designations indicate where new urban growth will be encouraged and where necessary infrastructure improvements will be required over time to support the new growth.
The urban growth areas (UGA) (See Map 1 in the Appendix) within and adjacent to the city provide for future land needs that can support growth with adequate urban-level public facilities concurrent with development. New development is encouraged to locate in urban growth areas where adequate public facilities and services can be provided in an efficient and economic manner. An adequate supply of land will ensure that immediate and future urban needs are met as well as provide for an orderly and efficient transition from low intensity land use to urban land use over time. Land use policies are intended to protect critical areas, provide efficient and safe transportation networks, maintain and improve the quality of air, water, and land resources, as well as preserve existing urban neighborhood character.
Map 2 in the Appendix depicts the generalized Comprehensive Plan land use designations for the city and the UGA. The land use designations represent the adopted policies that support land demand through the year 2027. Eight broad land use designations are used to allow for the necessary flexibility and specificity in applying land use regulations and development standards:
- Low Density Residential
- Mixed Residential
- High Density Residential
- Mixed Residential/Commercial
- Commercial
- Industrial
- Public/Quasi-Public
- Open Space
The zoning code (Title 25 of the Pasco Municipal Code) includes more detailed information on the specific zoning districts that implement these land use designations. The following table indicates the land areas for each of the land use designations.
**Table LU-1 – Comprehensive Plan Land Use Designations and Acreage**
| LAND USE DESIGNATIONS | ACREAGE |
|----------------------------------------|---------|
| **RESIDENTIAL LANDS** | |
| Low Density | 9,791 |
| Mixed Density | 1,577 |
| High Density | 137 |
| Subtotal | 11,505 |
| **COMMERCIAL LANDS** | |
| Mixed Residential/Commercial | 374 |
| Commercial | 2,172 |
| Subtotal | 2,546 |
| **INDUSTRIAL LANDS** | |
| Industrial | 9,229 |
| Subtotal | 9,229 |
| **PUBLIC/QUASI-PUBLIC LANDS** | |
| Public/Quasi-Public | 732 |
| Subtotal | |
| **OPEN SPACE LANDS** | |
| Open Space | 1,235 |
| **Subtotal** | |
| **TOTAL** | 25,247 |
* Acreage figures are derived based on the best information and technology available. Accuracy may vary depending on the source of the information, changes in political boundaries or hydrological features, or the methodology used to map and calculate a particular land use.
In defining density, it is important to distinguish the difference between “gross” and “net”. Gross density means the total number of dwelling units divided by the total land area of the site or area, excluding nothing. Net density means the total number of dwelling units divided by the net area of the lot or site. The net area excludes roads, public open spaces, community facilities, and critical areas.
**Goals and Policies**
LU-1. GOAL: TAKE DELIBERATE, CONSISTENT, AND CONTINUOUS ACTIONS TO IMPROVE THE COMMUNITY’S QUALITY OF LIFE AND ACHIEVE THE VISION.
LU-1-A Policy: Maintain and apply current design standards for major public investments, particularly streets.
LU-1-B Policy: Enhance the physical appearance of development within the community through land use regulations, design guidelines, and performance and maintenance standards including landscaping, screening, building facades, color, signs, and parking lot design and appearance.
LU-1-C Policy: Encourage cluster commercial development and discourage strip commercial development.
LU-1-D Policy: Intensive and controversial land uses such as adult entertainment should be permitted subject to adopted standards designed to mitigate land use impacts on adjacent, less intensive uses while preserving constitutionally protected forms of expression.
LU-2. GOAL: MAINTAIN ESTABLISHED NEIGHBORHOODS AND ENSURE NEW NEIGHBORHOODS ARE SAFE AND ENJOYABLE PLACES TO LIVE.
LU-2-A Policy: Design major streets, schools, parks, and other public facilities that will encourage the individual identities of neighborhoods.
LU-2-B Policy: Support existing and design future recreational, educational and cultural facilities and services through the capital facilities plan, dedication of land through the concurrency management process, and coordination with service providers.
LU-2-C Policy: Ensure adequate provision for the recreation needs of new residents through facilities funded by park impact fees.
LU-2-D Policy: Require all development to be landscaped through the review and approval of permits using adopted regulations and guidelines.
LU-2-E Policy: Coordinate city needs assessments and plans for parks and recreation facilities with the school district to establish joint use agreements that can leverage utilization of available lands.
LU-3. GOAL: STRIVE FOR LONG TERM REDUCTION OF ENERGY CONSUMPTION, EFFICIENT USE OF WATER RESOURCES, AND HIGHER STANDARDS OF COMMUNITY HEALTH.
LU-3-A Policy: Reduce vehicular movements by encouraging daycare, recreation facilities, and elementary schools in each neighborhood.
LU-3-B Policy: Encourage infill and density including planned unit developments to protect open space and critical areas, and provide recreational areas and amenities in support of more intensive, walkable neighborhoods.
LU-3-C Policy: Encourage the use of irrigation (non-potable) water for landscape maintenance.
LU-3-D Policy: Encourage mixed-use development including neighborhood scale shopping areas within planned residential developments to promote walkable communities.
LU-3-E Policy: Designate areas for higher density residential development where utilities and transportation facilities enable efficient use of capital resources.
LU-4. GOAL: ENCOURAGE HIGH QUALITY COMMUNITY AND REGIONAL SHOPPING FACILITIES AND COMMERCIAL AND INDUSTRIAL DEVELOPMENT.
LU-4-A Policy: Locate commercial facilities at major street intersections to avoid commercial sprawl and avoid disruptions of residential neighborhoods, and leverage major infrastructure availability.
LU-4-B Policy: Plan for major commercial centers which promote functional and economical marketing and operations and produce sustainable clusters of shopping and services.
LU-3-C Policy: Maintain and apply design standards and guidelines that will result in attractive and efficient centers.
LU-5 GOAL: SAFEGUARD AND PROTECT CRITICAL LANDS WITHIN THE URBAN AREA.
LU-5-A Policy: Maintain regulatory processes to preserve wetlands, wildlife habitats, and other critical lands within the urban growth area.
LU-6. GOAL: ENCOURAGE THE RESTORATION AND REHABILITATION OF HISTORIC BUILDINGS AND SITES.
LU-6-A Policy: Consider allowing adaptive uses in historic structures which may include more intensive activity than surrounding properties if adverse impacts on the neighboring properties are mitigated.
Housing Element
Introduction
Housing is one of the most important needs in our lives and communities.
- It provides shelter and a link to the neighborhood and the larger community.
- It is the single largest purchase made by most households.
- As an industry, housing is a major partner in the economic life of the community both as a consumer of goods and services and producer of dwelling units, jobs, and income.
- As a major economic activity, housing depends on local government. While taxes on housing are an important source of local government revenue, services to housing and to the inhabitants of this housing comprise a major portion of local government expenditures.
By 2027, the population within the Pasco UGA is expected to be 87,300. This will be a 30,625 increase over the current population. Approximately 9,000 – 12,000 new housing units will be added to the inventory in the next 20 years to accommodate this population growth.
This comprehensive plan is a roadmap for Pasco as it works toward providing housing opportunities for present and future generations. Every community has low and moderate income households. Since a community benefits from its residents, it has a responsibility to ensure they have a desirable place to live. The Land Use Element establishes policies for providing a variety of residential densities and related housing opportunities within the confines of the Growth Management Act (GMA). This Housing Element includes a description of issues and resources and goals and policies that address Pasco’s housing programs and strategies. Chapter 3 in Volume 2 provides demographic information and analysis used to support the policy framework.
Addressing local housing needs involves a regional approach supported by all levels of government (federal/state/local) and the private sector. Each jurisdiction has a responsibility for meeting its obligations in addressing affordable housing issues in the Tri-Cities. The greatest potential for promoting affordable housing is in the urban areas, given the intent of the Growth Management Act to direct most population growth to these areas, and to maintain lower densities in the rural area. The Franklin Countywide Planning Policies are the most appropriate tool for advancing a countywide or regional housing strategy supported by the county, cities and towns, and other public and private entities.
The following GMA Planning Goal drives the formation and implementation of the County’s housing goals and policies: “Encourage the availability of affordable housing to all economic segments of the population of this state, promote a variety of residential densities and housing types, and encourage preservation of existing housing stock.”
The Countywide Planning Policies (CPP) provide specific guidance to the analysis and policies developed in this element:
Policy No. 1
12. Housing: Encourage the availability of affordable housing to all economic segments of the population, promote a variety of residential densities and housing and encourage preservation of existing housing stock.
Policy No. 6
Policies that consider the need for affordable housing for all economic segments of the population and parameters for its distribution. RCW 36.70A.210(3)e.
A) The housing element of each comprehensive plan shall:
1) Address the manner and the extent, that demand from all segments of the housing market will be met.
2) Assess the ability to provide sufficient land, infrastructure and services to each housing segment including but not limited to, government assisted housing for low income families, manufactured housing, multi-family housing, migrant agricultural worker housing, and group homes. All segments of the housing market must be accommodated in appropriate numbers.
B) Individual plans should encourage regeneration of existing housing inventories.
C) To the extent possible each plan should promote the construction of affordable housing, particularly for low and moderate income segments of the population.
D) Consideration should be given to the provision of diversity in housing types to accommodate elderly, physically challenged, mentally impaired, and the special needs of the population, i.e. congregate care facilities.
E) Comprehensive plans shall consider the effects of public improvement development costs on housing, including impact fees. Allowance for exemption from impact fees for projects, which enhance housing for low and moderate income households, should be considered.
F) Each community is encouraged to provide its fair share of housing affordable to low and moderate income households by promoting a balanced mix of diverse housing types.
G) Consideration should be given to implementing innovative regulatory strategies, which provide incentives for developers to provide housing affordable to low and moderate income households.
Goals and Policies
H-1. GOAL: ENCOURAGE HOUSING FOR ALL ECONOMIC SEGMENTS OF THE CITY’S POPULATION.
H-1-A Policy: Medium and high density housing should be located near arterials and neighborhood or community shopping facilities and employment areas.
H-1-B Policy: Encourage the location of medium and high density housing in locations that will avoid the need for access through lower density residential neighborhoods.
H-1-C Policy: Support dispersal of special needs housing throughout the community.
H-1-D Policy: Avoid large concentrations of high-density housing.
H-1-E Policy: Support or advance programs that encourage home ownership.
H-2. GOAL: STRIVE TO MAINTAIN A VARIETY OF HOUSING CONSISTENT WITH THE LOCAL AND REGIONAL MARKET.
H-2-A Policy: Allow for a full range of residential environments including single family homes, townhouses, condominiums, apartments, and manufactured housing.
H-3. GOAL: PRESERVE AND MAINTAIN THE EXISTING HOUSING STOCK FOR PRESENT AND FUTURE RESIDENTS.
H-3-A Policy: Use code enforcement as a method of requiring owners of residential units to keep structures in good condition for human habitation.
H-3-B Policy: Assist low income households with needed housing improvements.
H-3-C Policy: Support organizations and/or programs involved in affordable housing development, repair and rehabilitation.
H-4. GOAL: ENCOURAGE HOUSING DESIGN AND CONSTRUCTION THAT ENSURES LONG TERM SUSTAINABILITY AND VALUE.
H-4-A Policy: Encourage innovative techniques in the design of residential neighborhoods and mixed use areas to provide character and variety in the community.
H-4-B Policy: Maintain development regulations and standards that control the scale and density of accessory buildings and homes to maintain compatibility with other residential uses.
H-5. GOAL: SUPPORT EFFORTS TO PROVIDE AFFORDABLE HOUSING TO MEET THE NEEDS OF LOW AND MODERATE INCOME HOUSEHOLDS IN THE COMMUNITY.
H-5-A Policy: Residential neighborhoods and mixed use areas should exhibit a consistent level of quality and appearance.
H-5-B Policy: The city shall work with local, state and federal agencies and private organizations to assist lower income residents to rehabilitate and/or maintain their homes.
H-5-C Policy: The city shall work with public and private sector developers to ensure that lower income housing is developed on scattered sites and in such a manner that it blends in with surrounding neighborhoods.
Capital Facilities Element
Introduction
This Chapter, along with the six-year Capital Facilities Plan (CFP), constitutes the Capital Facilities Element. The Pasco Comprehensive Water, Sewer, Stormwater, and six-year Transportation Plans are a technical extension of the Utilities and Transportation Elements; this Chapter is designed to support the County’s current and future population and economy. The goals and policies guide and implement the provision of adequate public facilities as required by the GMA. This Element and the CFP contain level-of-service (LOS) standards for transportation, sewer, and water and policies directing concurrency. Following the provisions for county capital facilities, the element includes goals and policies for essential public facilities.
Planning for major capital facilities enables Pasco to:
- Demonstrate facility needs through adopted level of service standards;
- Anticipate capital improvement needs and plan for their costs;
- Integrate community capital facility wants/needs into the annual budget process;
- Monitor growth and manage development; and
- Qualify for revenue sources such as federal and state grants and loans, real estate excise taxes and impact fees. This level of planning also enables the city to receive a better rating on bond issues.
The City of Pasco is responsible for capital facilities and service levels related to:
- Public Works – Operation and maintenance, transportation, water, sewer, and surface water management and solid waste disposal facilities;
- Justice – Public safety and court facilities;
- General Government – Administrative facilities; and
- Community – Parks, recreation and community services facilities.
The source documents primarily used as functional comprehensive plans for infrastructure and the six-year capital improvement plans are prepared routinely and updated annually as required for obtaining funding from the State. The individual capital improvement plans define projects and proposed funding for those projects required, first to rehabilitate existing facilities and secondly to provide level of service (LOS) capacity to accommodate new growth.
Generally, the proposed new capacity, replacement and rehabilitation of capital facilities, and financing for the next six years reflects the general planning goals and policies, as well as land use infrastructure requirements, identified in Pasco’s longer-range planning documents. These documents include:
- The Transportation Element, and related regional and county transportation plans;
- The Comprehensive Park and Recreation Plan and Trails Plan;
- Water, Sewer, and Stormwater Comprehensive Plans; and
- Specific facility plans for infrastructure improvements and city-owned buildings.
Other source documents include, plans for schools, the irrigation district, the Benton-Franklin Council of Governments Regional Transportation Plan, the Columbia Basin Ground Water Management Area Plan, and other service providers.
**Growth Management Mandate**
The Capital Facilities Element is designed to comply with the following state GMA planning goals:
- *Public facilities and services.* Ensure that those public facilities and services necessary to support development shall be adequate to serve the development at the time the development is available for occupancy and use without decreasing current service levels below locally established minimum standards.
The state goals, in turn, led to the following Countywide Planning Policies (CPP) that provide specific guidance to the analysis and policies developed in this Element (note that only those policies or portions pertaining to infrastructure are included here):
Policies to Implement RCW 36.70A.020. The Comprehensive Plans of Franklin County and each of its cities therein shall be prepared and adopted with the objective to facilitate economic prosperity by accommodating growth consistent with the following:
2. **Avoid Sprawl**: The inappropriate conversion of undeveloped land shall be avoided. Urban development shall be confined to appropriate areas within urban growth boundaries.
5. **Permits**: Applications for permits should be processed in a timely and fair manner to ensure predictability.
10. **Public Facilities and Services**: Ensure that those public facilities and services necessary to support development shall be adequate to serve development at the time the development is available for occupancy and use without decreasing current service levels below locally established minimum standards.
**Policy No. 2**
G) Municipalities should limit the extension of water and sewer service to areas within each jurisdiction’s urban growth area.
**Policy No. 3**
Policies for promotion of contiguous and orderly development and the provision of urban services to such development. RCW 36.70A.210(3)b.
A) Joint county/city standards shall be established for development within each individual urban growth boundaries, but beyond corporate limits of cities. It is in the public interest that joint standards be developed to preclude the creation of substandard infrastructure and property division that would burden the public with unnecessary costs to correct. These standards should include:
5) Lots and blocks including special lot reservation system when public sewer concurrency cannot be provided
10) Storm drainage facilities, quantity, quality and discharge locations
11) Street lights, conduit, fixtures, locations
12) Sewer, septic regulations, private sewer, dry sewer facilities
13) Water, pipe sizes, locations, fire flows, uniform codes
14) All building requirements
B) The availability of the full range of urban governmental services will be subject to the annexation policies of the adjacent municipality.
C) The timing of utility extensions into the urban growth area should be consistent with the adopted capital facilities plan of the adjacent municipality.
**Policy No. 4**
*Policies for siting public facilities of a county-wide nature.* RCW 36.70A.210(3)c.
A) When an appropriate issue arises, the county and cities within, along with public participation, shall develop a cooperative regional process to site essential public facilities of regional and statewide importance. The objective of the process shall be to ensure that such facilities are located so as to protect environmental quality, optimize access and usefulness to all jurisdictions, and equitably distribute economic benefits/burdens throughout the region or county.
B) No local comprehensive plan or development regulations will preclude the siting of essential public facilities, but standards may be generated to ensure that reasonable compatibility with other land uses can be achieved.
**Policy No. 5**
*Policies for county-wide transportation facilities and strategies.* RCW 36.70A.210(3)d.
A) Maintain active county-city participation in the Regional Transportation Policy Organization in order to facilitate city, county, and state coordination in planning regional transportation facilities and infrastructure improvements to serve essential public facilities including Port District facilities and properties.
**Policy No. 9**
*Policies for the analysis of fiscal impacts:* RCW 36.70.210(3)p.
A) Construction design and placement standards for roads, intersections and streets (with provisions for storm water conveyance), sewer, water and lighting infrastructure, should be determined based upon an analysis which identifies the most appropriate public expenditure over extended periods of time. Utilities should be incorporated into such analysis.
B) If communities consider the imposition of impact fees, said fees should be established on the basis of identifiable development impacts.
CF-1. GOAL: USE THE SIX YEAR CAPITAL IMPROVEMENT BUDGETING PROCESS AS THE SHORT-TERM IMPLEMENTATION OF THE 20-YEAR CAPITAL FACILITY NEEDS IDENTIFIED IN THE COMPREHENSIVE PLAN.
CF-1-A Policy: Systematically guide capital improvements consistent with the wishes and needs of the community (vision).
CF-1-B Policy: Encourage public participation in defining the need for, the proposed location of, and the design of public facilities such as parks, ball fields, pedestrian and bicycle corridors, and street and utility extensions and improvements.
CF-2. GOAL: ENSURE CONCURRENCY OF UTILITIES, SERVICES, AND FACILITIES CONSISTENT WITH LAND USE DESIGNATIONS AND ACTIONS WITHIN REALISTIC CAPITAL BUDGET CAPABILITIES.
CF-2-A Policy: Encourage growth in geographic areas where services and utilities can be extended in an orderly, progressive and efficient manner.
CB-2-B Policy: Deficiencies in existing public facilities shall be addressed during the capital facilities budgeting process.
CF-2-C Policy: Periodically review capital facilities needs and the associated fiscal impacts on the community in light of changing regional and local economic trends. The appropriate interval for such a review is seven years during the mandated GMA update cycle, except for the annual 6-Year Plan review.
CF-3. GOAL: PROVIDE ADEQUATE LANDS FOR PUBLIC FACILITIES.
CF-3-A Policy: Assure land development proposals provide land and/or facilities or other mitigation for impacts on parks, schools, pedestrian and bicycle trails.
CF-4. GOAL: IN CONJUNCTION WITH THE COUNTY, PROVIDE PARKS, GREENWAYS, TRAILS, AND RECREATION FACILITIES THROUGHOUT THE URBAN GROWTH AREA.
CF-4-A Policy: Implement the adopted parks and recreation plan as a part of this comprehensive plan
CF-4-B Policy: Encourage use of existing natural features, open spaces and appropriate excess right-of-way as an integral part of the community-wide park system.
CF-4-C Policy: Maintain a cooperative agreement with the Pasco school district regarding the development, use, and operation of the park and recreation system.
CF-5. GOAL: FOSTER ADEQUATE PROVISION FOR EDUCATIONAL FACILITIES THROUGHOUT THE URBAN GROWTH AREA.
CF-5-A Policy: Work with the school district to coordinate facility plans with this comprehensive plan and encourage appropriate location and design of schools throughout the community.
CF-5-A Policy: Work with Columbia Basin College to coordinate campus development plans including access and traffic circulation needs.
CF-6. GOAL: MAINTAIN WITHIN THE CITY A LEVEL OF FIRE PROTECTION SERVICE THAT IS VERY EFFECTIVE AND COST EFFICIENT. ENCOURAGE THAT SAME LEVEL OF SERVICE IN THE UNINCORPORATED PORTION OF THE URBAN GROWTH AREA
CF-6-A Policy: Strive to provide a sufficient number of fire stations in appropriate locations throughout the community.
CF-6-B Policy: Maintain a cooperative policy with the county fire district.
CF-7. GOAL: LOCATE ESSENTIAL PUBLIC FACILITIES TO OPTIMIZE ACCESS AND EQUITABLY DISTRIBUTE ECONOMIC BENEFIT/BURDENS THROUGH THE REGION AND COUNTY.
CF-7-A Policy: Review all reasonable alternatives for the location of essential public facilities prior to granting necessary permits.
CF-7-A Policy: Ensure all potential environmental impacts are considered for each essential public facility including the cumulative impacts of multiple facilities.
CF-7-A Policy: Ensure essential public facilities contribute to necessary concurrency requirements for transportation and utilities.
CF-7-A Policy: Adopt mitigating measures during the special permit review process to address potential land use compatibility issues with surrounding uses.
The GMA requires the utility element to describe locations, capacities, and needs for utilities. The policies in this element cover all public water, sanitary sewer, storm water utilities and private natural gas, telecommunications, electric and solid waste utilities. The information relating to utility service providers contained in this Plan is a summary only. More detailed discussions of the topics covered in this chapter are found under separate cover in utility service provider capital functional plans.
The Utilities Element is designed to comply with the following state GMA planning goals:
- **Public facilities and services.** Ensure that those public facilities and services necessary to support development shall be adequate to serve the development at the time the development is available for occupancy and use without decreasing current service levels below locally established minimum standards.
The state goals, in turn, led to the following Countywide Planning Policies (CPP) that provide specific guidance to the analysis and policies developed in this Element (note that only those policies or portions pertaining to utilities and community facilities are included here):
**Policy No. 1**
*Policies to Implement RCW 36.70A.020. The Comprehensive Plans of Franklin County and each of its cities therein shall be prepared and adopted with the objective to facilitate economic prosperity by accommodating growth consistent with the following:*
2. **Avoid Sprawl:** The inappropriate conversion of undeveloped land shall be avoided. Urban development shall be confined to appropriate areas within urban growth boundaries.
5. **Permits:** Applications for permits should be processed in a timely and fair manner to ensure predictability.
10. **Public Facilities and Services:** Ensure that those public facilities and services necessary to support development shall be adequate to serve development at the time the development is available for occupancy and
use without decreasing current service levels below locally established minimum standards.
**Policy No. 3**
Policies for promotion of contiguous and orderly development and the provision of urban services to such development. *RCW 36.70A.210(3)b.*
*A) Joint county/city standards shall be established for development within each individual urban growth boundary, but beyond corporate limits of cities. It is in the public interest that joint standards be developed to preclude the creation of substandard infrastructure and property division that would burden the public with unnecessary costs to correct. These standards should include:*
5) Lots and blocks including special lot reservation system when public sewer concurrency cannot be provided
10) Storm drainage facilities, quantity, quality and discharge locations
11) Street lights, conduit, fixtures, locations
12) Sewer, septic regulations, private sewer, dry sewer facilities
13) Water, pipe sizes, locations, fire flows, uniform codes
14) All building requirements
*B) The availability of the full range of urban governmental services will be subject to the annexation policies of the adjacent municipality.*
*C) The timing of utility extensions into the urban growth area should be consistent with the adopted capital facilities plan of the adjacent municipality.*
**Policy No. 4**
Policies for siting public facilities of a county-wide nature. *RCW 36.70A.210(3)c.*
*A) When an appropriate issue arises the county and cities within, along with public participation, shall develop a cooperative regional process to site essential public facilities of regional and statewide importance. The objective of the process shall be to ensure that such facilities are located so as to protect environmental quality, optimize access and usefulness to all jurisdictions, and equitably distribute economic benefits/burdens throughout the region or county.*
*B) No local comprehensive plan or development regulations will preclude the siting of essential public facilities, but standards may be generated to ensure that reasonable compatibility with other land uses can be achieved.*
UT-1. GOAL: PROVIDE ADEQUATE UTILITY SERVICES TO THE URBAN GROWTH AREA TO ASSURE THAT THE ANTICIPATED 20-YEAR GROWTH IS ACCOMMODATED.
UT-1-A Policy: Ensure that public water and sewer services are available concurrently with development in the urban growth area.
UT-1-B Policy: Prioritize investments in public water and sewer system improvements to support planned development within the urban growth area.
UT-1-C Policy: Coordinate utility providers’ functional plans and the city’s land use and utility plans to ensure long term service availability.
UT-1-D Policy: Leverage irrigation water in new developments to ease the use of potable water for maintenance of landscaping.
UT-2. GOAL: ENSURE THAT ADEQUATE PLACEMENT OF UTILITY FACILITIES IS ADDRESSED IN DEVELOPMENT PLANS.
UT-2-A Policy: Coordinate private utility providers’ plans for energy and communication utilities with city land use plans and development permit applications.
UT-2-B Policy: Locate and design utility substations consistent with adopted codes and standards to be compatible with the aesthetic standards of affected neighborhoods.
UT-3. GOAL: ASSURE THE PROVISION OF ADEQUATE AND EFFICIENT STORM WATER MANAGEMENT
UT-3-A Policy: Require adequate provision of storm water facilities with all new land development.
UT-3-B Policy: Include adequate storm water management facilities to serve new or existing streets.
The Growth Management Act (GMA) has very specific requirements for comprehensive plan transportation elements. The City of Pasco maintains within Volume 2, the transportation element and an inventory of existing facilities, land use assumptions, travel forecasts, Level of Service (LOS) standards, current and future transportation needs, and a transportation financial plan in addition to other GMA required information. In this chapter, the transportation goals and policies are presented. Together with the information in Volume 2, the goals and policies provide the basis for transportation infrastructure decisions pursuant to the GMA. Since transportation infrastructure and services are also provided by the state, regional government, and the cities and towns, the Transportation Element is intended to complement those other systems and networks.
Three aspects of the Transportation Element have a direct bearing on transportation project programming and funding through the Six-Year Transportation Improvement Program (Six-Year TIP). These are: (1) transportation policies; (2) existing and future transportation needs (based on LOS); and (3) the transportation financial plan. The transportation policies are used to give general direction for transportation improvement investments. Along with the near-term prioritized improvement projects, the LOS based transportation needs are used to select potential future projects. The transportation financial plan is used to produce a financially feasible six-year plan. Thus, the Transportation Element provides a framework for use in transportation investment decisions.
**Growth Management Mandate**
Development of this chapter was guided in particular by the following GMA Planning Goal:
*Encourage efficient multi-modal transportation systems that are based on regional priorities and coordinated with county and city Comprehensive Plans.*
The state goals, in turn, led to the following Countywide Planning Policies (CPP) that provide specific guidance to the analysis and policies developed in
this Element (note that only those policies or portions pertaining to infrastructure are included here):
**Policy No. 1**
*Policies to Implement RCW 36.70A.020. The Comprehensive Plans of Franklin County and each of its cities therein shall be prepared and adopted with the objective to facilitate economic prosperity by accommodating growth consistent with the following:*
3. **Transportation**: Encourage efficient multi-modal transportation systems that are based on regional priorities and coordinated with county and city comprehensive plans.
**Policy No. 3**
*Policies for promotion of contiguous and orderly development and the provision of urban services to such development. RCW 36.70A.210(3)b.*
A) Joint county/city standards shall be established for development within each individual urban growth boundaries, but beyond corporate limits of cities. It is in the public interest that joint standards be developed to preclude the creation of substandard infrastructure and property division that would burden the public with unnecessary costs to correct. These standards should include:
1) Street locations, both major and secondary
2) Street right-of-way widths
3) Street improvement widths
4) Street improvement standards
6) Curbs and gutters
7) Sidewalks for secondary streets
8) Road construction standards
9) Cul-de-sac, location and dimensions
11) Street lights, conduit, fixtures, locations
16) Collection and use of development impact fees as appropriate
**Policy No. 5**
*Policies for county-wide transportation facilities and strategies. RCW 36.70A.210(3)d.*
A) Maintain active county-city participation in the Regional Transportation Policy Organization in order to facilitate city, county, and state coordination in planning regional transportation facilities and infrastructure improvements to serve essential public facilities including Port District facilities and properties.
Policy No. 9
Policies for the analysis of fiscal impacts: RCW 36.70.210(3)p.
A) Construction design and placement standards for roads, intersections and streets (with provisions for storm water conveyance), sewer, water and lighting infrastructure, should be determined based upon an analysis which identifies the most appropriate public expenditure over extended periods of time. Utilities should be incorporated into such analysis.
B) If communities consider the imposition of impact fees, said fees should be established on the basis of identifiable development impacts.
Regional Transportation Policies
To assure consistency between local and regional planning efforts, the GMA (RCW 47.80.023) requires all transportation elements of local comprehensive plans to undergo a consistency review and certification process to ensure that they conform with the requirements of GMA and are consistent with the Regional Transportation Plan (RTP). The GMA states that this process is to be developed and administered by Regional Transportation Planning Organizations (RTPOs). The Benton-Franklin Council of Governments is the designated RTPO for our region.
The adopted Regional Transportation Goals and Policies of the RTP articulate the policy perspective on regional consistency. These policies are a requirement of the GMA and are intended to further the coordinated development of comprehensive plans. The GMA emphasizes coordination and consistency in planning efforts among jurisdictions and agencies. The following regional transportation goals and policies are further described and detailed with data, analysis, and action strategies in the RTP.
GOALS OF THE RTP:
- The preparation and implementation of a long range plan which identifies transportation related deficiencies and problems, provides clear direction, and seeks comprehensive least-cost solutions for maintaining the integrity of and adding capacity to the transportation system in Benton, Franklin, and Walla Walla Counties;
- A transportation system that is integrated with local land use policies.
- A transportation system that provides lower cost solutions in
the form of transit, vanpool/carpool, bicycling, and walking, in lieu of expanding capacity.
• A transportation system that gives access for goods, services, and people while minimizing total system costs.
• A transportation system that provides access and mobility for all citizens regardless of age, race, or handicap.
• A transportation system that gives access while minimizing energy consumption and environmental impacts.
• A transportation system that meets the needs of sustained economic growth.
• A transportation system that is consistent with local, regional, state and federal policies.
• A transportation system that assures improvements will be consistent with and support the values of communities and neighborhood structures.
RTP POLICIES
Policy 1 - Access
It is the policy of the Benton-Franklin Council of Governments (BFCG) to support a regional transportation system that emphasizes access for goods, services, and people.
Policy 2 – Access Management
It is the policy of the BFCG to encourage access management among the member jurisdictions by adopting policies and incorporating access management into their construction projects and project prioritization processes.
Policy 3 - Efficiency
It is the policy of the BFCG to support a regional transportation system that 1) Maintains the greatest efficiency of movement in terms of travel time and distance and 2) Requires transportation investment decisions to maximize the full net benefits of the system.
Policy 4 - Balance
It is the policy of the BFCG to support a regional transportation system that 1) Stresses multimodalism with minimum service standards, 2) Provides transportation options, 3) Avoids dependence on any particular mode,
especially single occupancy vehicles, and 4) Optimizes the efficiency of each mode.
Policy 5 – Safety & Security
It is the policy of the BFCG to provide a transportation system that maintains and improves safety and security in all aspects of the transportation network, including both users and nonusers of the system.
Policy 6 – Safety Conscious Planning (SCP)
It is the policy of the BFCG to promote integration of urban land use and transportation planning efforts through implementation of safety conscious planning.
Policy 7 - Environmental Responsibility
It is the policy of the BFCG to provide a regional transportation system that limits and mitigates adverse and harmful impacts on the environment.
Policy 8 - Transportation Financing
It is the policy of the BFCG to promote funding strategies that ensure regional financial stability for the transportation network.
Policy 9 - Intergovernmental Cooperation
It is the policy of the BFCG to provide a regional transportation planning process that 1) Coordinates federal, state, regional, and local comprehensive plans, policies and legislation 2) Emphasizes cooperation among jurisdictions.
Policy 10 - Citizen Involvement and Public Education
The BFCG in July 1994, adopted “Public Involvement Procedures for Transportation Planning” (last updated in 2003). The BFCG develops and maintains on-going programs that include citizen participation in all transportation related decisions.
Policy 11 - Livability
It is the policy of the BFCG to encourage transportation related decisions that maintain and enhance livability for all citizens and communities within Benton, Franklin, and Walla Walla counties.
Policy 12 - Aesthetics
It is the policy of the BFCG to support the protection and enhancement of aesthetic values associated with the transportation network in order to support the economic well being and livability for the region.
Policy 13 - Pedestrians and Bicycles
It is the policy of the BFCG to promote pedestrian and bicycle travel as
essential modes of transportation both within existing communities and new development and to provide opportunities for the safe and efficient use of pedestrian and bicycle facilities as a legitimate alternative to motorized travel and for improved health.
**Policy 14 - Transit Element**
*It is the policy of the BFCG to 1) Support Ben Franklin Transit and Valley Transit and their goals and policies; 2) Promote a transit system which offers alternatives to the single occupancy vehicle; 3) Promote land use patterns that support the use of transit; and 4) Support WSDOT’s efforts to reestablish intercity bus service between Walla Walla and the Tri-Cities.*
**Policy 15 - Streets and Highways**
*It is the policy of the BFCG to encourage a network of streets and highways that 1) Supports a balanced and efficient multi-modal transportation network; 2) Is accessible for a variety of users; 3) Meets the needs for safely moving people, goods, and services throughout the region; 4) Contributes to the livability of both urban and rural communities; and 5) Promotes tourism.*
**Policy 16 - Land Use & Urban Design Strategies**
*It is the policy of the BFCG to support integrated land uses and urban design strategies which create livable communities, compact urban development, and allow a multi-modal transportation system, including pedestrians, bicycles and transit, to operate efficiently while decreasing dependency on single occupancy vehicles and promoting health and fitness.*
**Policy 17 - Air/Waterways/Rail**
*It is the policy of the BFCG to encourage air and rail passenger facilities and services and river and rail freight facilities and services that enhance regional economic competitiveness.*
**Policy 18 - Freight Movement**
*It is the policy of the BFCG to encourage safe and efficient freight movement; support intermodal freight facilities; and ensure that any harmful effects of freight movement are mitigated with the users of the system.*
**Policy 19 – Intermodalism**
*It is the policy of the BFCG to encourage and maintain an accessible intermodal passenger and freight network with transportation hubs to facilitate access to urban, rural, and other destinations while maintaining an efficient and balanced transportation system.*
**Policy 20 - Regional Consistency and Certification**
*In compliance with the Growth Management Act (GMA) the BFCG certifies*
TR-1. GOAL: PROVIDE FOR AND MAINTAIN AN EFFECTIVE TRANSPORTATION SYSTEM CENTERED ON A CONVENIENT AND INTEGRATED STREET NETWORK.
TR-1-A Policy: Participate in the transportation related activities of the Benton-Franklin Council of Governments.
TR-1-B Policy: Work with other jurisdictions to plan, fund, and implement multi-jurisdictional projects necessary to meet shared transportation needs including right-of-way acquisition.
TR-1-C Policy: Make transportation decisions consistent with the land use and objectives of this plan.
TR-1-D Policy: Minimize traffic conflicts on the arterial street system by minimizing the number and location of driveways.
TR-1-E Policy: Discourage cross city traffic and high speed vehicular movement on local access streets in single-family residential neighborhoods.
TR-1-F Policy: Provide inter-neighborhood travel connections for public safety as well as providing for transportation disbursement.
TR-1-G Policy: Develop an interconnected network of streets, trails and other public ways while preserving neighborhood identity.
TR-1-H Policy: Adopt and maintain a functional street classification system consistent with regional and state guidance.
TR-1-I Policy: Maintain level-of-service (LOS) “D” on all urban arterials.
TR-2. GOAL: ENCOURAGE EFFICIENT, ALTERNATE AND MULTIMODAL TRANSPORTATION SYSTEMS.
TR-2-A Policy: maintain the multi-model passenger terminal.
TR-2-B Policy: cooperate with the Transit Authority in programming transit routes, transit stops, and supporting facilities which optimize user acceptance.
TR-2-C Policy: encourage van/car pooling.
TR-2-D Policy: encourage greater use of bicycles and walking by providing safe and purposeful bicycle and pedestrian routes.
TR-2-E Policy: encourage park-and-ride lots for bicycles and/or automobiles.
TR-3. GOAL: BEAUTIFY THE MAJOR STREETS OF THE CITY.
TR-3-A Policy: incorporate extensive tree and landscape planting into all major arterial and collector streets as they are constructed.
TR-3-B Policy: institute retrofit projects that include significant landscaping on major arterial streets.
TR-4. GOAL: MAINTAIN A TRUCK ROUTE SYSTEM TO PROVIDE ACCESS TO COMMERCIAL AND INDUSTRIAL LAND USES AND REDUCE THE IMPACTS TO NEIGHBORHOODS AND LOCAL STREETS.
TR-3-A Policy: promote the safe and efficient movement of freight through the city.
TR-3-A Policy: support the development of facilities that are critical components of the movement of freight (e.g. roads and rail lines leading to the airport, port, planned industrial centers, rail transfer facilities, etc.).
Economic Development Element
Introduction
The Economic Development Element of the Pasco Comprehensive Plan is a companion to the *Comprehensive Economic Development Strategy (CEDS)* that is maintained by the Benton-Franklin Council of Governments. The Council is a regional government body charged with a number of activities including the coordination of local economic analysis and planning. The CEDS is updated periodically by the BFCG to address requirements of the Growth Management Act (GMA) and the U.S. Economic Development Administration. The CEDS provides information on trends, needs, problems and opportunities, and identifies strategies for implementing the goals in this Element. While the Economic Development Element is not required by the GMA and there is a lack of state funding, Pasco has initiated work on this important aspect of community growth and development.
Growth Management Mandate
The Economic Development Element is designed to comply with the following state GMA planning goals:
- **Economic development.** Encourage economic development throughout the state that is consistent with adopted comprehensive plans, promote economic opportunity for all citizens of this state, especially for unemployed and for disadvantaged persons, promote the retention and expansion of existing businesses and recruitment of new businesses, recognize regional differences impacting economic development opportunities, and encourage growth in areas experiencing insufficient economic growth, all within the capacities of the state’s natural resources, public services, and public facilities.
The state goals, in turn, led to the following Countywide Planning Policies (CPP) that provide specific guidance to the analysis and policies developed in this Element (note that only those policies or portions pertaining to economic development are included here):
Policies to Implement RCW 36.70A.020. The Comprehensive Plans of Franklin County and each of its cities therein shall be prepared and adopted with the objective to facilitate economic prosperity by accommodating growth consistent with the following:
1. Urban Growth: Encourage development in urban areas where adequate public facilities exist or can be provided in a cost efficient manner.
2. Avoid Sprawl: The inappropriate conversion of undeveloped land shall be avoided. Urban development shall be confined to appropriate areas within urban growth boundaries.
3. Transportation: Encourage efficient multi-modal transportation systems that are based on regional priorities and coordinated with county and city comprehensive plans.
4. Property Rights: Private property rights shall not be taken for public use without just compensation having been made. The property rights of landowners shall be protected from arbitrary and discriminatory actions.
5. Permits: Applications for permits should be processed in a timely and fair manner to ensure predictability.
6. Natural Resource Industries: Maintain and enhance natural resource based industries including: productive agriculture (cultivation and grazing), fisheries and mineral industries. Encourage the improvement of productive agricultural lands and discourage incompatible uses.
7. Open Space and Recreation: Encourage the retention of useful open space and development of recreational opportunities, conserve critical fish and wildlife habitat, increase public access to natural resource lands and water, and develop parks.
8. Environment: Protect the environment and enhance the region’s high quality of life, including air and water quality, and the availability of water for all uses, including potable domestic requirements.
9. Citizen Participation and Coordination: Encourage the involvement of citizens in the planning process and ensure coordination between communities and jurisdictions to reconcile conflicts.
10. Public Facilities and Services: Ensure that those public facilities and services necessary to support development shall be adequate to serve development at the time the development is available for occupancy and use without decreasing current service levels below locally established
11. Historic Preservation: Identify and encourage the preservation of land sites and structures that have historical or archaeological significance.
12. Housing: Encourage the availability of affordable housing to all economic segments of the population, promote a variety of residential densities and housing and encourage preservation of existing housing stock.
13. Economic Development: Encourage economic development consistent with adopted comprehensive plans. Promote economic opportunity for all residents of the county, especially for unemployed and for disadvantaged persons and encourage growth in areas experiencing insufficient economic growth.
Policy No. 8
Policies for county-wide economic development and employment: RCW 36.70A.210(3)g.
A) The comprehensive plan of the county and each city shall promote employment and economic opportunity for all citizens.
Goals and Policies
ED-1. GOAL: MAINTAIN ECONOMIC DEVELOPMENT AS AN IMPORTANT AND ONGOING CITY INITIATIVE
ED-1-A Policy: Provide a governmental atmosphere which is conducive to the development and expansion of business opportunities.
ED-1-B Policy: Continue efforts to attract and recruit new employers to the community with promotional efforts in cooperation with other Tri-Cities partners.
ED-1-C Policy: Support the promotion of Pasco’s urban area as a good business environment by enhancing the infrastructure of the community.
ED-1-D Policy: Promote tourism and recreational opportunities.
ED-1-E Policy: Support and encourage the establishment of new and the sustainability of existing economic and business associations.
ED-2. GOAL: ASSURE APPROPRIATE LOCATION AND DESIGN OF COMMERCIAL AND INDUSTRIAL FACILITIES.
ED-2-A Policy: Maintain a strong working relationship with the Port of Pasco to further economic opportunities.
ED-2-B Policy: Encourage development of a wide range of commercial and industrial uses strategically located to support local and regional needs.
ED-3. GOAL: MAINTAIN DEVELOPMENT STANDARDS AND DESIGN GUIDELINES TO ENSURE THAT COMMERCIAL AND INDUSTRIAL DEVELOPMENTS ARE GOOD NEIGHBORS.
ED-3-A Policy: Enhance compatibility of commercial and industrial development with residential and mixed use neighborhoods through the use of landscaping, screening, and superior building design standards and guidelines.
ED-3-B Policy: Avoid excessive outdoor illumination and ostentatious identification of business activities.
ED-3-C Policy: Provide sufficient, accessible, and attractive off-street parking facilities.
ED-3-D Policy: Require existing commercial and industrial facilities to conform to city design and site amenity standards, when expansion and/or new facilities are proposed.
ED-3-E Policy: Use sufficient landscaping and appropriate screening as well as other methods to buffer less intensive uses from utilitarian parts of commercial and industrial facilities.
Implementation & Monitoring Element
Introduction
This plan element is intended to establish the procedural framework for linking the goals and policies of the other elements with supporting and related actions and initiatives such as development code updates; coordination with regional plans and programs; and regular assessment of the performance of the plan in guiding development to deliver the vision.
Growth Management Mandate
The Implementation & Monitoring Element functions as a “checklist” or tool for the city to use as it assesses the effectiveness of the plan to deliver the community vision. It uses all of the state GMA goals and the following Countywide Planning Policies (CPP) that provide specific guidance to the analysis and policies developed in this Element (note that only those policies or portions pertaining to land use are included here):
Policy No. 1
Policies to Implement RCW 36.70A.020. The Comprehensive Plans of Franklin County and each of its cities therein shall be prepared and adopted with the objective to facilitate economic prosperity by accommodating growth consistent with the following:
4. **Property Rights**: Private property rights shall not be taken for public use without just compensation having been made. The property rights of landowners shall be protected from arbitrary and discriminatory actions.
5. **Permits**: Applications for permits should be processed in a timely and fair manner to ensure predictability.
Policies for Governmental Cooperation
Policy 1. Coordinate with other governmental units in preparing development regulations.
Policy 2. Work with the Benton-Franklin council of Government’s Growth management Committee to develop consistency among the various jurisdictions that are planning.
Policy 3. Work with other state agencies such as the Department of Natural
Resources and the Department of Fish and Wildlife when developing regulations, which would impact those agencies.
Policy 4. Work with the Office of Financial Management in siting essential public facilities of regional and statewide importance.
Policy 5. Participate with communities within the County in developing regulations that are consistent with each other and provide a smooth transition between rural areas and urban cities.
Policy 6. Develop compatible subdivision zoning regulations.
Goals and Policies
IM-1. GOAL: ENSURE CONSISTENCY AND CERTAINTY IN LAND USE PLANNING AND DEVELOPMENT.
IM-1-A Policy: Maintain codes, standards, and guidelines which are clear, concise and objective.
IM-1-B Policy: Strive for consistency and certainty through a predictable schedule of assessment and amendments on an annual basis rather than sporadically.
IM-1-C Policy: Maintain a common set of development standards for both the incorporated and unincorporated lands of the urban growth area, in cooperation with Franklin County.
IM-1-D Policy: Maintain a general land use map that clearly designates various land uses and densities consistent with the goals and policies of this plan.
IM-1-E Policy: Establish development project permit approval procedures that are well defined and consistent with regulatory criteria and standards.
IM-1-F Policy: Ensure realistic time-lines for action on applications.
IM-1-G Policy: Utilize administrative approval actions to expedite decision-making processes on development proposals.
IM-2. GOAL: ADVANCE THE CITY’S INFORMATION AND DECISION MAKING CAPACITY
IM-2-A Policy: Research the development patterns of the Pasco urban and urbanizing areas as this plan progresses through its 20 year life to determine if the goals, policies, and/or strategies need to be updated. The city should conduct a major review of the comprehensive plan every seven years and may make corrections and small adjustments to the plan each year.
IM-2-B Policy: The city has, and will continue to commission special studies in preparation for construction projects on its utility service and transportation facilities and systems. These special studies shall be consistent with the goals, policies, and proposals of this comprehensive plan.
IM-2-C Policy: Coordinate on-going data base management, mapping, and growth management assessments with Franklin County and the Benton-Franklin Council of Governments.
Appendix I
Maps
Appendix Contents
Map 1 .................................................. Urban Growth Area Map
Map 2 .................................................. Land Use Map
Map 3 .................................................. Major Street Plan Map
Urban Growth Area
Legend
- Urban Growth Area
NOTICE: NO WARRANTY OF ACCURACY. The information shown on the attached map was compiled from sources believed to be reliable, but no warranty is made as to its accuracy or completeness. This map is not intended to represent the accuracy of anything set forth on the map. Any person or entity representing a city should not rely upon the information contained in this map for any purpose. This map is not intended to be used for legal purposes and should not be relied upon for legal purposes. The locations of any property lines, streets, subdivisions, or other geographic features shown on this map are approximate only and may not be accurate. The City of Pasco does not warrant or affirm that the information shown on this map is free of errors or omissions or sufficient detail to satisfy the requirements of any particular user. The City of Pasco assumes no liability for damages resulting from the use of this map. Use at your own discretion provided Pasco agrees to map.
Legend
- Low-Density Residential
- Mixed Residential
- High-Density Residential
- Mixed Residential/Commercial
- Urban Growth Boundary
- Commercial
- Industrial
- Public/Quasi-Public
- Parks/Open Space
Land Use
NOTICE: NO WARRANTY OF ACCURACY. The information shown on the attached map was compiled from sources believed to be reliable, but the City of Pasco makes no warranty or representation as to its accuracy or completeness. The map is intended for general planning purposes only and does not purport to show the location of anything not shown on the map. Any person so relying represents a copy should be made available to the public. The map is not intended to be used for legal purposes, including but not limited to, the location of any property lines, streets, sidewalks, or other improvements. The City of Pasco assumes no responsibility for any errors or omissions in the information shown on this map. The City of Pasco is not responsible or liable for damages resulting from the use of this map. The City of Pasco has no intention or effect whatsoever to modify the information shown on this map. This is an informational product developed by the City of Pasco.
Legend
- Principal Arterials
- Minor Arterials
- Collector
- Future Interchange
- Future Over/Underpass
- Urban Growth Boundary
Major Street Plan
NOTICE: NO WARRANTY OF ACCURACY. The information shown on this attached map was compiled from sources believed to be reliable, but the City of Pasco makes no warranty or representation that the information is accurate or complete. This map is not intended to represent the accuracy of anything not shown on the map. Any person so strictly representing a city shall be liable for damages resulting from any reliance upon such representations. This map is not intended to show the location of any property lines, streets, sidewalks, or other improvements. The information shown on this map is for general planning purposes only and is not intended to be used for legal or engineering purposes. The City of Pasco assumes no responsibility for the accuracy of the information shown on this map. Use of this map is at the user's own risk.
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Deep groundwater discharge after the 2011 Mw 6.6 Iwaki earthquake, Japan
Tsutomu Sato*, Kohei Kazahaya, Norio Matsumoto and Masaaki Takahashi
Abstract
Hot spring discharge was linked to the 2011 Mw 6.6 Iwaki earthquake. Periodic surveys revealed that the discharge continued for more than 7 years, which is a rare and valuable long-term record of hot spring discharge triggered by an earthquake in a non-volcanic area. In terms of coseismic changes, based on a comparison of the spatial distribution of changes in the coseismic water head and calculated crustal volumetric strain using a fault model, hot spring water discharge was found to be caused by a change in the coseismic crustal volumetric strain. As for the postseismic changes, observations over 7 years revealed a gradual rise in the temperature and chloride ion concentration of the hot spring water. Such long-term hot spring discharge may be explained by the following two causes: the rise of thermal water from the deep part and the permeability changes along the hot spring channels.
Keywords: Coseismic hydrological change, Hot spring water discharge, 2011 Iwaki earthquake, 2011 Tohoku-oki earthquake, Crustal strain, Water temperature, Chloride ion, Sulfate ion, Oxygen stable isotopic ratio
Introduction
The phenomenon of hot spring water flows being renewed after an earthquake has been documented in several regions (Hosono et al. 2018; Manga and Rowland 2009; Okuyama et al. 2016; Wang et al. 2004a). The Matsushiro earthquake swarm, which occurred from 1965 to 1967, caused the discharge of high-salinity hot spring water (Cl⁻ > 2000 mg/L) that continued even into 2011, i.e., for a span of 46 years (Okuyama et al. 2016). After the 2016 Kumamoto earthquake, groundwater discharge is thought to have been a direct result of volcanic activity and continued for over one year (Hosono et al. 2018). Such long-term (i.e., more than a year) hot spring water and groundwater discharge occasionally occur in volcanic areas (Hosono et al. 2018; Okuyama et al. 2016). This is because volcanic fluid rises in volcanic areas, in which underground hot spring water reservoirs characterized by high pressure are likely to exist.
Concerning the mechanism that allows hot spring water to continue to discharge after an earthquake, previous studies have proposed a connection between a high-pressure reservoir and the surface because of the occurrence of cracks formed by the earthquake (Sibson and Rowland 2003; Wang et al. 2004a). Previous studies have further attempted to clarify the relationship between volcanic activity and hot spring discharge based on geochemical analyses of this water (Giammanco et al. 2008; Hosono et al. 2018; Nishio et al. 2010). For example, the long-term discharge of hot spring water as a result of the Matsushiro earthquake may be related to volcanic activity (Okuyama et al. 2016). On the other hand, Nakamura (1971) distinguished this phenomenon from general volcanic activity and described it as “water eruptions”.
Multiple-year prolongation of hot spring water and groundwater anomalies associated with earthquakes in non-volcanic areas is rare. Hot spring water levels have reportedly risen abnormally for 9 years at Dogo hot spring where is located on a specific fault zone in Japan (Koizumi and Kinoshita 2017), but such multiple-year-long anomalous discharge of hot spring water and groundwater has rarely been reported. Hot spring water and groundwater discharge often occur along with earthquakes, but the discharge period is limited. In most cases,
including changes in river flow attributable to groundwater discharge, the amount of discharge starts diminishing several months after the earthquake, usually stopping after several years (Rojstaczer and Wolf 1992; Sato et al. 2000; Manga and Rowland 2009; Wang et al. 2004b; Wang and Manga 2015). Such hot spring water and groundwater discharges may have various causes, including liquefaction, changes in crustal strain, and changes in aquifer permeability (Manga and Wang 2015). High-pressure hot spring water reservoirs in non-volcanic areas exist within narrow boundaries, such as areas where the crust is pressured by tectonic activity due to plate or fault movement (Oki et al. 1999; Roberts et al. 1996). Therefore, it is plausible for hot spring water and groundwater to continue to discharge for more than a year even in non-volcanic areas.
Iwaki is a non-volcanic area, but hot spring water with a temperature of over 50 °C can be pumped to the surface (Nakamura 1909, 1959; Nakamura and Ando 1953). The Joban area, adjacent to the south of Iwaki, contains hot springs with temperatures of over 70 °C, whose origin is thought to be water generated by dehydration of a plate boundary at a depth of 50 km (Togo et al. 2014). Additionally, seismic velocity tomography has revealed a low-velocity zone at a depth of 40 km in Iwaki, suggesting the existence of an extensive deep groundwater reservoir (Tong et al. 2012).
On March 11, 2011, the Tohoku-oki earthquake (Mw 9.0) occurred off the northeastern coast of Japan (Fig. 1a). The Iwaki earthquake (Mw 6.6) occurred 1 month later (April 11, 2011) and has been linked to the Tohoku-oki earthquake (Muto et al. 2014; Okada et al. 2011). After the Iwaki earthquake, hot spring water was discharged at several sites in the Iwaki area, and the discharge has continued for more than 7 years. Such long-term discharge in non-volcanic areas has not previously been reported. In this study, we clarified the temporal changes in hot spring water discharge, analyzed the major chemical composition and oxygen stable isotopic ratio of the water, and discussed the mechanism of hot spring water discharge continuing for such long periods in non-volcanic areas.
**Geological setting and 2011 Iwaki earthquake**
Iwaki is located in the Tohoku region of Japan along the Pacific coast, where there are no Quaternary volcanoes (Fig. 1a). The basement is composed of Cretaceous granitic rocks covered by a Tertiary sedimentary layer (Sugai et al. 1957) (Fig. 1b) with a northwest–southeast strike and a dip angle of 10–20° to the east (Suto et al. 2005). The lower part of the sedimentary layer contains coal beds, which supported coal mines operational until 1976 (Ohara 1996). In addition, the sedimentary layer can be divided into several blocks cut by a south-trending normal fault with an east–west strike. The Karasudate fault caused the formation of a vertical step of approximately 300 m in the sedimentary layer, especially in the area shown by the cross-section in Fig. 1b (Sugai et al. 1957).
The Iwaki earthquake occurred at a depth of 6 km in Iwaki City, Fukushima Prefecture (Fukushima et al. 2013) (Fig. 1a). As a result, surface displacements ranging from several tens of centimeters to 2 m were observed along two normal faults (namely the Itozawa and Yunodake faults) (Mizoguchi et al. 2012; Toda and Tsutsumi 2013). Based on Global Navigation Satellite System (GNSS) observations from the Geospatial Information Authority of Japan, large changes were observed in the baseline length (between Iwaki and Iwaki 2 in Fig. 1a). The amplitudes dilated by 8 cm during the Tohoku-oki earthquake and contracted by 16 cm during the Iwaki earthquake (Geospatial Information Authority of Japan 2011) (Fig. 1c).
**Hot springs in Iwaki**
In the Iwaki area, hot spring water flowed to the ground surface until 100 years ago. According to Nakamura (1909), when hot spring wells began to be excavated, hot spring water flowed out into the vicinity of Yumoto at a rate of 14 L/s (Fig. 1). Large-scale coal mine development began at the beginning of the 1900s, enabling the study of hot spring discharge into mining tunnels (Arakawa 1961; Nakamura 1959; Nakamura and Ando 1953). According to these studies, a north–south-striking fault was the main cause of hot spring water inflow into the mines. Additionally, the temperature and quality of the hot spring water exhibited differences depending on the discharge depth. An analysis of the characteristics of the hot spring water discharged into shallow areas (i.e., above a depth of 400 m) showed that the temperature and Cl⁻ concentration were relatively low (20–40 °C and < 500 mg/L, respectively), and the SO₄²⁻ concentration was relatively high (> 1500 mg/L) (Nakamura and Ando 1953). On the other hand, the characteristics of the hot spring water discharged in deeper parts of the mine (600–700 m) exhibited a relatively high temperature (50–60 °C), low SO₄²⁻ concentration (< 500 mg/L), and high Cl⁻ concentration (> 1000 mg/L).
Previous studies suggested that hot spring water in the Iwaki area has a fossil seawater origin based on an I⁻/Cl⁻ ratio that is higher than that of seawater (Arakawa 1961; Nakamura 1959). Togo et al. (2014) analyzed the hot spring water in and around the Iwaki area to obtain its hydrogen and oxygen stable isotope, radioactive iodine and chlorine isotope, and tritium compositions. The results suggested that the origin of the hot spring water
is related to diagenetic fluid released by the 50-km-deep plate boundary. Additionally, using radioactive iodine dating, they estimated that the ascent of hydrothermal fluid was 2–5 mm/year.
**Materials and methods**
After the 2011 Iwaki earthquake, hot spring water discharge was confirmed at four sites in Iwaki City (red circles in Fig. 1a). We began surveying the discharge once every 1–3 months at two sites, namely sites A and B.
The surveys at sites A and B began 17 and 37 days after the earthquake, respectively. We used the total amount method to measure the flow rate at site A and the float method at site B. The total amount method is a procedure whereby discharged water is collected in a bag and the discharged rate is calculated from the discharge volume and time. The float method consists of calculating the discharge rate using the cross-sectional area of the flow path and surface flow velocity.
We measured the water temperature, pH, and electrical conductivity in the field at both sites using a thermometer (Ebro TFX 410, Xylem Analytics UK Ltd.) and a pH–electrical conductivity meter (LAQUA D-74, HORIBA, Ltd.), respectively. Hot spring water was collected using polyethylene bottles, and the concentrations of the major chemical compositions and the oxygen stable isotopic ratios ($\delta^{18}$O) were immediately analyzed in our laboratory. The concentrations of the major chemical compositions were analyzed using ion chromatography (ICS-2100, Thermo Fisher Scientific Inc.), and the $\delta^{18}$O was analyzed via mass spectrometry (Delta Plus, Thermo Fisher Scientific Inc.) and a Cavity Ringdown Spectrometer (L2120-i, Picarro Inc.).
**Spatial coseismic groundwater level changes in Iwaki City**
To investigate the hydrological impact of the 2011 Iwaki earthquake, we surveyed the water head changes in the hot springs in the Iwaki area. As shown in Fig. 2, the water level increased in three hot springs (red triangles) in addition to the four sites (red circles) characterized by discharge. On the other hand, we observed a decrease in the water level at two hot springs (blue triangles in Fig. 2). Subsequent surveys revealed that the water heads returned to their original levels within 1 year after the earthquake except at Yumoto and the four sites where discharge occurred. These results are summarized in Table 1.
To investigate the relationship between regional crustal deformation and water head changes due to the earthquake, we calculated the distribution of the change in crustal volumetric strain using a fault model. The fault parameters were estimated from the analytical results
 Spatial distribution of coseismic changes in the groundwater head due to 2011 Iwaki earthquake based on field survey. Red circles, red triangles and blue triangles indicate hot springs where discharge, water level increase, and water level decrease were observed during earthquake, respectively, and numbers correspond to those in Table 1. Calculated results of the changes in the crustal volumetric strain during earthquake using fault models proposed in Kobayashi et al. (2012) are also shown
Table 1 Results of interview survey for coseismic change of the 2011 Iwaki earthquake and measurement and analysis results for hot spring water around the Iwaki area
| No. | Location | Visit date | Coseismic change at Iwaki Eq. | Temp. (°C) | HCO₃⁻ (mg/L) | Cl⁻ (mg/L) | SO₄²⁻ (mg/L) | δ¹⁸O (‰) |
|-----|---------------------------|--------------|------------------------------|------------|-------------|------------|-------------|---------|
| 1 | Uchigo-takasakamachi1 (A) | 28 Apr. 2011 | Discharge | 26.9 | 267 | 88.9 | 475 | −7.7 |
| 2 | Uchigo-takasakamachi2 | 19 Jun. 2014 | Discharge | 27.8 | 229 | 87.8 | 508 | −7.8 |
| 3 | Mimayamachi | 22 Jun. 2011 | Discharge | 25.6 | 311 | 76.8 | 527 | −7.6 |
| 4 | Izumi-tamatsuyu (B) | 18 May 2011 | Discharge | 56.1 | 190 | 1360 | 51.9 | −6.9 |
| 5 | Yumoto | 28 Apr. 2011 | Water level increase | 58.3 | 107 | 702 | 377 | −7.4 |
| 6 | Onahama | 28 Apr. 2011 | Water level increase | 14.0 | 312 | 216 | 239 | −7.4 |
| 7 | Uchigo-kouyamachi | 28 Apr. 2011 | Water level increase | 15.8 | 189 | 3.5 | 12.9 | −8.1 |
| 8 | Kawabemachi | 20 Apr. 2011 | Water level decrease | 10.6 | 223 | 4.4 | 19.5 | −7.6 |
| 9 | Furudonomachi | 18 May 2011 | Water level decrease | 10.8 | 127 | 20.5 | 12.4 | −9.9 |
| 10 | Nakosomachi | 20 Apr. 2011 | No change | 12.3 | 54.9 | 12.5 | 14.6 | −7.6 |
| 11 | Joban-shiratorimachi | 6 Jun. 2011 | No change | 31.6 | 0.0 | 64.5 | 169 | −7.5 |
| 12 | Toonomachi-taki | 6 Jun. 2011 | No change | 17.9 | 130 | 6.0 | 52.3 | −7.6 |
| 13 | Toonomachi-oodaira | 20 Apr. 2011 | No change | – | – | – | – | – |
| 14 | Taira-yoshinoya | 22 Sep. 2011 | No change | – | – | – | – | – |
*No.* corresponds to the number in Fig. 2
of crustal movement observed using interferometric synthetic-aperture radar (Kobayashi et al. 2012). These parameters were input into the MICAP-G program (Naito and Yoshikawa 1999; Okada 1992) to analyze crustal deformation and calculate the coseismic changes in crustal volumetric strain distribution associated with the 2011 Iwaki earthquake. A comparison of these results with the distribution of water head changes indicated a rise in the water head in the area expected to exhibit changes in contraction crustal strain (Fig. 2). In areas expected to exhibit changes in dilatation crustal strain, a drop in water head occurred. Therefore, we suggest that changes in the crustal volumetric strain caused the coseismic water-head changes in the hot springs.
At Yumoto, hot spring water levels were measured approximately once a day prior to the earthquake (Joban Yumoto Onsen Co., Ltd., personal communication). According to the observations, a drop in the water level of 10 m occurred during the Tohoku-oki earthquake, and an increase of 20 m occurred during the Iwaki earthquake. As mentioned above, a dilation of 8 cm was observed during the Tohoku-oki earthquake, whereas a contraction of 16 cm was observed during the Iwaki earthquake based on the Global Navigation Satellite System baseline length of 9877 m between Iwaki and Iwaki 2 (Fig. 1c) around Yumoto (Geospatial Information Authority of Japan 2011). Thus, the linear strain change in the northeast–southwest direction near Yumoto during the Tohoku-oki earthquake was 8.1 μ-strain. Therefore, the sensitivity of the water level change at the Yumoto hot spring to the linear strain was calculated as −1.2 m/μ-strain. Using this sensitivity, the water level during the Iwaki earthquake was expected to increase by 20 m, which is consistent with the observed water level change. Therefore, we suggest that changes in the coseismic crustal volumetric strain caused changes in the water level during the earthquakes.
**Hot spring chemical characteristics at sites A and B**
Figure 3 shows that the hot spring water at site A had a SO₄²⁻–rich composition, whereas site B had a Cl⁻–rich composition. As mentioned above, the hot spring at the coal mine in Iwaki had SO₄²⁻–rich shallow portions with a low temperature, whereas deeper portions had a high temperature and were Cl⁻–rich (Arakawa 1961; Nakamura 1959; Nakamura and Ando 1953). Stiff diagrams (Fig. 3) display the major chemical composition of the hot spring water discharged into the coal mine beneath sites A and B (Ohara 1996). By comparing the shapes of the Stiff diagrams, we observed that both the shapes of A and B were similar to that of the hot spring water discharged beneath sites A and B, respectively. However, the concentration of the major chemical compositions was halved. For example, the SO₄²⁻ concentration of A was less than half of that of the hot spring water beneath site A, and the Cl⁻ concentration of site B was less than half of that of the hot spring water beneath site B. Therefore, we suggest that as the hot spring water at the coal mine beneath sites A and B rose toward the respective ground surfaces, it continuously mixed with groundwater shallower than that of each coal mines.
Figure 3 shows the major anionic component ratios of hot spring waters at Yumoto and Joban in addition to those sites A and B (Togo et al. 2014). The order of hot spring water temperature is as follows: Joban > B > Yumoto > A. This order also corresponded to that for the ratio of the Cl⁻ concentration to the total major anion composition. This trend is also shown in Fig. 4, which depicts the relationship between the Cl⁻ concentration and δ¹⁸O. The thick dotted line in Fig. 4 extended to a δ¹⁸O of zero corresponds to a Cl⁻ concentration of approximately 13,000 mg/L, not reaching a concentration of 19,000 mg/L, which is the value of general seawater. Thus, we speculate that the origin of the hot spring water was not fossil seawater, but diagenetic fluids whose Cl⁻ concentrations were reduced due to influences from dehydration reactions in the surrounding rocks.
**Temporal changes at site A**
Figure 5 shows the observational results from 2011 to 2018 for the flow rate, water temperature, and Cl⁻ and SO₄²⁻ concentrations at sites A and B. This figure also shows the daily precipitation and a precipitation index that accounts for the accumulated precipitation at site C (Fig. 1). The precipitation index was obtained so that the increase or decrease in precipitation in a particular year or season can be easily understood. Specifically, this index was calculated by subtracting the integrated value of the average daily precipitation from the accumulated daily precipitation. The average daily precipitation was calculated using data from the 7 years after the earthquake, and the precipitation data were based on data from the Japan Meteorological Agency (2019).
The flow rate at site A increased from 2.1 L/s after the earthquake to 4.7 L/s over 5 months, which was maintained until 2018. The period from 2011 to 2015 was characterized by 1- to 2-year cycles with ranges fluctuating by about 2 L/s. The total discharge volume at site A reached 1 billion liters over 7 years since the earthquake occurred until 2018. Periodic changes in the flow rate at site A were correlated with the precipitation index. This implies that pressure increases in shallow groundwater during precipitation events strongly affected the flow rate.
The water temperature at site A was 27.0 °C immediately after the earthquake, which tended to rise, reaching 27.8 °C in 2018 (Fig. 5a). The average rate of temperature increase was approximately 0.1 °C/year during this period. The Cl⁻ concentration at site A decreased from 2.5 meq/L immediately after the earthquake to 2.2 meq/L in the 6 months following the earthquake and then increased to 2.6 meq/L in the following 8 months (Fig. 5b). Subsequent increases or decreases occurred within ±0.2 meq/L range. The SO₄²⁻ concentrations increased from 9.9 meq/L immediately after
the earthquake to 11.5 meq/L within 1 year. Subsequent increases or decreases occurred within a ±0.6 meq/L range.
The Cl⁻ and SO₄²⁻ concentrations at site A were correlated, such that changes in the patterns were similar, especially after 2014 (Fig. 5b). Moreover, as illustrated in plot A in Fig. 3, the major anion composition ratio remained located at practically the same place, there were almost no temporal changes in the anion composition ratios. Therefore, the temporal changes in the Cl⁻ and SO₄²⁻ concentrations at site A (Fig. 5b) after 2014 may have occurred because of mixing with shallow groundwater with a low concentration of dissolved components. This supports the notion that hot spring water at site A formed due to mixing between deep hot spring water discharged into the coal mine beneath site A and shallow groundwater (Fig. 3).
For the first 6 months following the earthquake, we observed a decrease in SO₄²⁻ and an increase in Cl⁻ concentration at site A (Fig. 5b); this change is illustrated in Fig. 6. During the Iwaki earthquake, hot spring water discharges occurred near Yumoto due to changes in crustal strain contraction (Fig. 6a). At this time, the discharged groundwater is thought to have been stagnant groundwater along the groundwater flow path between the ground surface and hot spring water aquifer at site A. The Cl⁻ concentration of this stagnant water was as high as 2.5 meq/L, but the reason for this is unknown. Subsequently, the SO₄²⁻-rich hot spring water at a depth of 300 m reached the ground surface, leading to an increased mixing ratio and gradual increase in SO₄²⁻ concentration in the discharged water (Fig. 6b). Finally, it is thought that the aquifer pressure was maintained due to the influence of rising hot spring water (Fig. 6c). Figure 5b shows that the SO₄²⁻ concentration decreased slightly after 2013, whereas the Cl⁻ concentration increased slightly. Since the concentration change was small, it did not appear as a change in the plot in Figs. 3 and 4.
The depth of the aquifer at site A was approximately 200 m based on the local geothermal gradient (9 °C/100 m; Nakamura and Ando 1953) and mean annual temperature of approximately 13 °C in Iwaki City (Japan Meteorological Agency 2019). This depth was shallower than that of the coal bed at 300 m (Ohara 1996) beneath site A.
**Temporal changes at site B**
The flow rate at site B gradually decreased from 95 L/s immediately after the earthquake to approximately 40 L/s in 2018 (Fig. 5c). The total flow volume for 7 years after the earthquake until 2018 reached 15 billion liters. The flow rate change was characterized by a changing 1- to 2-year cycle, with a fluctuation range of approximately 20 L/s (Fig. 5c). The water temperature at site B was 56.0 °C immediately after the earthquake and increased to 63.0 °C in 1 year (Fig. 5c). From mid-2012 to 2016, the water temperature gradually increased by 1.8 °C to 64.8 °C. The rate of increase in water temperature during this period was 0.36 °C/year. The water temperature after 2017 was nearly constant.
The Cl⁻ concentration of hot spring water at site B decreased from 38 meq/L immediately after the earthquake to 29 meq/L in the following 6 months and then increased to 35 meq/L after another 4 months (Fig. 5d). After 2012, the Cl⁻ concentration slightly increased, reaching 38 meq/L by 2018. The rate of increase for the Cl⁻ concentration during this period was 0.4 meq/L/year. The SO₄²⁻ concentration increased from 1.0 meq/L after the earthquake to 2.5 meq/L in 1 year. Since then, the
Fig. 5 Temporal variations in flow rate, temperature, and Cl$^-$ and SO$_4^{2-}$ concentrations at sites A and B (a–d). Precipitation data from Japan Meteorological Agency (2019), where blue line (e) shows precipitation index calculated by subtracting integrated value of average daily precipitation from accumulated daily precipitation.
SO$_4^{2-}$ concentration gradually decreased and remained constant (2.3 meq/L) within a range of ±0.2 meq/L after 2015.
During the first 6 months after the earthquake, a simultaneous increase in SO$_4^{2-}$ and a decrease in Cl$^-$ concentration were observed in site B (Fig. 5d); similar phenomena were observed in site A. Thus, the same model was used to explain the phenomena in both sites (Fig. 6a, b). However, unlike in site A, an inverse correlation was observed for temporal changes in the Cl$^-$ and SO$_4^{2-}$ concentrations in hot spring water since 2012 in site B. This inverse correlation could be attributed to rising Cl$^-$-rich hot spring water from a depth of 600 m in site B (Fig. 6c). Based on Fig. 3, we discussed the possibility that the hot spring water at site B formed due to mixing between deep hot spring water that was discharged in the coal mine beneath site B and the shallower groundwater. This shallower groundwater was likely SO$_4^{2-}$-rich groundwater, similar to the hot spring water at site A (with reference to the mixing line denoted by the thick dotted line in Fig. 3). This was consistent with changes in the inverse correlation between the Cl$^-$ and SO$_4^{2-}$ concentrations from long-term observations (Fig. 5d).
By comparing Fig. 5d and Fig. 5e, we observe that the SO$_4^{2-}$ concentration increased with an increasing precipitation index. Based on the discussion above, this implied that the mixing ratio of SO$_4^{2-}$-rich groundwater increased as the pressure in the shallow groundwater aquifer rose with increasing precipitation. On the other hand, the increase in the Cl$^-$ concentration reflected an increase in the mixing ratio of deep hot spring water. Therefore, observations of long-term increases in the temperature and Cl$^-$ concentration that occurred simultaneously may indicate an increase in the mixing ratio of deep hot spring water.
**Causes of continual hot spring water discharge**
Since the Iwaki earthquake, hot spring water discharges at sites A and B continued for more than 7 years. In other non-volcanic areas, such long-term hot spring discharge triggered by earthquakes is rare. The reason for the hot spring continuing discharge is suggested to be a high-pressure hot spring reservoir existing in deeper regions (Fig. 1b), which formed a connection with shallower aquifers as a result of the Iwaki earthquake. We describe the evidence for the existence of such high-pressure hot spring reservoirs below.
In the Iwaki area, hot spring water discharged onto the ground surface around Yumoto before 1905 (Nakamura 1909). Therefore, a high-pressure hot spring reservoir existed beneath Yumoto at least before 1905. As previously noted, Togo et al. (2014) suggested that the origin of the hot spring water is plate boundary dehydration occurring at a depth of 50 km. In addition, the regional geothermal gradient is high in the Iwaki area (9 °C/100 m; Nakamura and Ando 1953); it is more than twice as high as the average value along the Pacific coast of the Tohoku region (4 °C/100 m; Tanaka et al. 2004). This further supports the hypothesis that thermal fluid was continuously supplied from a substantial depth.
Comparing the temporal changes in the flow rates at sites A and B, we found that the flow rate at site B has decreased since 2015. However, the flow rate at site A has not changed. This may be explained by the following two causes: (1) the rise of thermal water from the substantially deep part and (2) permeability change.
Regarding the first cause, the increase in water temperature at site B appears to have stopped since 2017 (Fig. 5c); thus, the influence of the rise of deeper thermal water may have been gradually mitigated by the discharge of large amounts of hot spring water. In contrast,
as the water temperature continued to rise at site A, the effect of rising thermal water is likewise expected to continue, which may affect the continuation of the discharge.
On the other hand, no change in the permeability at site A and reduction in that at site B can also explain no change in the flow rate at site A and decrease in that at site B after 2015, respectively. The reduction might seem to be due to a longer channel at site B than that at site A. However, this hypothesis cannot explain the change in concentrations of Cl$^-$ and SO$_4^{2-}$ occurring at site A after 2013 (Fig. 5).
**Conclusions**
We conducted a spatial and temporal survey of the changes in hot springs generated at Iwaki in relation to the 2011 Iwaki earthquake. The conclusions are as follows:
1. The spatial distribution of the changes in the hot spring water head was clarified by surveys taken immediately after the earthquake. These survey results were compared with the spatial distribution of the changes in crustal volumetric strain calculated using a fault model. Accordingly, the model predicted contractional crustal strain in the area where we observed a rise in water head. The model further predicted an increased crustal volumetric strain in the area where we observed a drop in water head. Therefore, we suggest that changes in the crustal volumetric strain due to the earthquake caused the changes in the hot spring water level immediately after the 2011 Iwaki earthquake.
2. Long-term periodic surveys were conducted at two hot springs (sites A and B) characterized by discharge after the earthquake. Hot spring water discharge continued for over 7 years, which is rare and valuable observation in a non-volcanic area. Furthermore, we observed a slight rise in the water temperature (0.1 °C/year at site A and 0.36 °C/year at site B) and an increase in the Cl$^-$ concentration at site B (0.4 meq/L/year).
3. Based on major anion composition analysis, we found that the hot spring water at site A had a similar composition ratio to that of the old coal mine beneath site A. Similarly, the composition ratio of hot spring water at site B was similar to that of the old coal mine beneath site B. Therefore, we suggest that hot spring water that has discharged into the coal mine flowed to the surface while mixing with shallow groundwater.
4. A possible high-pressure reservoir with hydrothermal fluids exists 40 km beneath the Iwaki area based on several pieces of evidence: the conditions of hot spring discharge before coal mining developed in the Iwaki area, the higher geothermal gradient, and results based on radiogenic iodine isotopic ratios and seismic tomography. One of the causes for the continuation of the hot spring discharge for over 7 years may be the rise of thermal water from the substantially deep part. In addition, another possible cause is the permeability change along the hot spring channels.
**Abbreviations**
AIST: National Institute of Advanced Industrial Science and Technology; GNSS: Global Navigation Satellite System; GSI: Geospatial Information Authority of Japan; JMA: Japan Meteorological Agency; meq: Milli equivalent.
**Acknowledgements**
We thank Joban Kosan Co., Ltd., Joban Yumoto Onsen Co., Ltd. and C. Azuma for their cooperation during the field surveys. We also thank M. Yasuhara, J. Itoh, N. Morikawa, H.A. Takahashi, A. Miyakoshi, Y. Tosaki, Y. Togo, D. Asahina, K. Horiguchi, F. Kusuhara and T. Kirita for their help during the field surveys, and thank H. Handa and A. Inamura for their help during the chemical and isotopic analyses. We are grateful to the two anonymous reviewers for reviewing our manuscript and valuable comments. We would like to thank Editage (http://www.editage.com) for English language editing.
**Authors’ contributions**
TS and KK carried out the field survey, hot spring water collection, flow rate and water temperature measurements, and drafted the manuscript. NM carried out the calculation of coseismic crustal strain distribution. MT carried out the chemical and isotopic analysis of hot spring water. All authors read and approved the final manuscript.
**Funding**
This work was mainly supported by the National Institute of Advanced Industrial Science and Technology and partly supported by MEXT KAKENHI Grant Number 26109006.
**Availability of data and materials**
A portion of the analysis data is summarized in Table 1. The remaining data are available upon request to TS.
**Ethics approval and consent to participate**
Not applicable.
**Consent for publication**
Not applicable.
**Competing interests**
The authors declare that they have no competing interests.
**Received:** 12 September 2019
**Accepted:** 23 April 2020
**Published online:** 01 May 2020
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|
Yaesu FT-991 HF/VHF/UHF Transceiver
A multimode transceiver that plays well at home, in the car, or in the field.
Reviewed by Norm Fusaro, W3IZ
Assistant Manager, Field Services & Radiosport Department
email@example.com
In 2002 Yaesu introduced the FT-897, quickly followed by the upgraded “D” model.\(^1\) Well received by the amateur community, the FT-897 offered operators a grab-n-go 160–6 meter (100 W), 2 meter (50 W), and 70 centimeter (20 W) multimode radio in a compact package that fit nicely on a desktop, picnic table, or camper shelf. In fact, I remember needing to be “the first kid on the block” to have one of those gems. At the time, portable HF operating was growing in popularity. It increased significantly after the terrorist attacks on September 11, 2001, and again after the four hurricanes in the Southeast in 2004 and hurricane Katrina in 2005. Many hams began assembling “go-kits” and portable stations, and the Yaesu FT-897D remained a choice radio for this type of service for more than a dozen years.
The FT-897D has been discontinued and replaced by the subject of this review — the FT-991. Yaesu teased the crowd at the 2014 Ham Fair in Tokyo by displaying the FT-991 behind a glass showcase. Lucky for me, the Yaesu executives removed the glass case so I could examine the new transceiver more closely. I was intrigued by its touchscreen, bright display, and overall sharp appearance. Like everyone else in attendance, I was eager for its release to the amateur market.
**Overview**
Public service is just one of many reasons why an amateur might want a feature-packed, portable 100 W transceiver that is capable of HF, VHF, and UHF all-mode operation. The FT-991 is also a natural for anyone looking to set up a mobile station or take along an HF radio while traveling. The FT-991 could easily be the central transceiver in your home station, but don’t expect it to outperform competition grade radios such as Yaesu’s FTdx3000.
The FT-991 does everything it was designed to do and does it all very well. We’ll hit the highlights in this review, but it’s well worth visiting Yaesu’s website to download a copy of the manual and other documentation for an in-depth look at all of the features.
The FT-991 covers the 160 – 6 meter, 2 meter, and 70 centimeter bands. Modes of operation include SSB, FM, AM, and CW. It supports digital modes such as FSK RTTY, as well as PSK and other sound card digital modes. In addition to the more traditional modes, the FT-991 includes Yaesu’s C4FM digital voice and data capability. It’s also got many features we’ve come to expect in a modern transceiver, such as digital signal processing (DSP), selectable IF filters, automatic notch filter, CW keyer, and internal automatic antenna tuner for the 1.8 – 50 MHz bands.
The FT-991’s rear panel (see Figure 1) has two antenna connectors, one for 160 – 6 meters and the other for 2 meters and
---
\(^1\)R. Schetgen, KU7G, “FT-897 MF/HF/VHF/UHF All-Mode Transceiver,” Product Review, *QST*, May 2003, pp 63 – 67.
**Bottom Line**
The Yaesu FT-991 can be the center of attention in a portable, mobile, or home station. Its many bands, modes, and features will provide endless hours of enjoyment exploring a wide variety of Amateur Radio activities.
## Key Measurements Summary
- **20 kHz Reciprocal Mixing Dynamic Range**
- RM: 140 dB
- 60 dB
- 103 dB
- 20 dB
- **20 kHz Blocking Gain Compression (dB)**
- BG: 140 dB
- 70 dB
- 134 dB
- 20 dB
- **20 kHz 3rd-Order Dynamic Range (dB)**
- I₃: 110 dB
- 50 dB
- 100 dB
- 20 dB
- **2 kHz Reciprocal Mixing Dynamic Range**
- RM: 140 dB
- 60 dB
- 75 dB
- 2 dB
- **2 kHz Blocking Gain Compression (dB)**
- BG: 140 dB
- 70 dB
- 99 dB
- 2 dB
- **2 kHz 3rd-Order Dynamic Range (dB)**
- I₃: 110 dB
- 50 dB
- 82 dB
- 2 dB
- **20 kHz 3rd-Order Intercept (dBm)**
- I₃: +35 dBm
- 20 dBm
- 31 dBm
- 20 dBm
- **2 kHz 3rd-Order Intercept (dBm)**
- I₃: +30 dBm
- 20 dBm
- 26 dBm
- 20 dBm
- **Transmit 3rd-Order IMD (dB)**
- TX: −35 dB
- −26 dB
- −22 dB
- 20 dB
- **Transmit 9th-Order IMD (dB)**
- I₉: −70 dB
- −46 dB
- −45 dB
- 20 dB
---
## Table 1
### Yaesu FT-991, serial number 4N020467
| Manufacturer's Specifications | Measured in the ARRL Lab |
|------------------------------|--------------------------|
| Frequency coverage: Receive, 0.030 – 56, 118 – 164, 420 – 470 MHz. Transmit, 1.8 – 54, 144 – 148, 430 – 450 MHz (amateur bands). | Receive and transmit, as specified. |
| Power requirements: 13.8 V dc ±15%. Receive, 1.8 A (no signal). Transmit, 23 A (HF/50 MHz, 100 W); 15 A (144/430 MHz, 50 W). | At 13.8 V dc: Receive, 1.58 A (max TFT and dimmer brightness, max volume, no signal); 840 mA (min TFT, min dimmer). Transmit, 6.8 A (min RF output), 19.6 A (max RF output, HF & 50 MHz, typical); 11 A (144 & 430 MHz). |
| Modes of operation: SSB, CW, AM, FM, C4FM, RTTY, data. | As specified. |
### Receiver
| CW sensitivity, 10 dB S+N/N, 2.4 kHz BW, amp 2 on: | Noise floor (MDS), 3 kHz roofing filter, 500 Hz DSP bandwidth: |
|---------------------------------------------------|---------------------------------------------------------------|
| 0.158 μV (1.8 – 30 MHz), 0.125 μV (50 – 54 MHz), 0.11 μV (144 – 148, 430 – 450 MHz). | Preamp Off 1 2 |
| 0.137 MHz −107 n/a −102 dBm |
| 0.475 MHz −112 n/a −128 dBm |
| 1.0 MHz −113 n/a −133 dBm |
| 3.5 MHz −124 −136 −143 dBm |
| 14 MHz −124 −136 −143 dBm |
| 50 MHz −122 −133 −141 dBm |
| 144 MHz n/a n/a −139 dBm |
| 432 MHz n/a n/a −145 dBm |
Noise figure: Not specified.
AM sensitivity, 10 dB S+N/N, 30% modulation, 400 Hz tone, 6 kHz BW, amp 2 on: 5 μV (0.5 – 1.8 MHz), 1.6 μV (1.8 – 30 MHz), 1.25 μV (50 – 54 MHz).
| 10 dB (S+N)/N, 1 kHz, 30% modulation, 6 kHz bandwidth: |
|--------------------------------------------------------|
| Preamp Off 1 2 |
| 1.02 MHz 14.6 n/a 1.23 μV |
| 3.88 MHz 3.59 0.95 0.45 μV |
| 50.4 MHz 6.09 1.43 0.59 μV |
| 120 MHz n/a n/a 0.59 μV |
| 144.4 MHz n/a n/a 0.52 μV |
| 432 MHz n/a n/a 0.42 μV |
FM sensitivity, 12 dB SINAD, 15 kHz BW, amp 2 on, 0.35 μV (28 – 30, 50 – 54 MHz), 0.18 μV (144 – 148, 430 – 450 MHz).
For 12 dB SINAD, 3 kHz deviation, 16 kHz bandwidth:
| Preamp Off 1 2 |
|----------------|
| 29 MHz 2.06 0.52 0.25 μV |
| 52 MHz 2.51 0.62 0.25 μV |
| 146 MHz n/a n/a 0.22 μV |
| 162 MHz n/a n/a 0.18 μV |
| 440 MHz n/a n/a 0.18 μV |
Spectral sensitivity: Not specified.
Blocking gain compression dynamic range: Not specified.
### ARRL Lab Two-Tone IMD Testing
Second-order intercept point: Not specified.
DSP noise reduction: Not specified.
Notch filter depth: Not specified.
### Receiver Dynamic Testing
| CW sensitivity, 10 dB S+N/N, 2.4 kHz BW, amp 2 on: | Noise floor (MDS), 3 kHz roofing filter, 500 Hz DSP bandwidth: |
|---------------------------------------------------|---------------------------------------------------------------|
| 0.158 μV (1.8 – 30 MHz), 0.125 μV (50 – 54 MHz), 0.11 μV (144 – 148, 430 – 450 MHz). | Preamp Off 1 2 |
| 0.137 MHz −107 n/a −102 dBm |
| 0.475 MHz −112 n/a −128 dBm |
| 1.0 MHz −113 n/a −133 dBm |
| 3.5 MHz −124 −136 −143 dBm |
| 14 MHz −124 −136 −143 dBm |
| 50 MHz −122 −133 −141 dBm |
| 144 MHz n/a n/a −139 dBm |
| 432 MHz n/a n/a −145 dBm |
Preamp off/1/2: 14 MHz, 21/11/4 dB; 50 MHz; 25/14/6 dB. Preamp 2: 144 MHz, 6 dB; 432 MHz, 2 dB.
10 dB (S+N)/N, 1 kHz, 30% modulation, 6 kHz bandwidth:
| Preamp Off 1 2 |
|----------------|
| 1.02 MHz 14.6 n/a 1.23 μV |
| 3.88 MHz 3.59 0.95 0.45 μV |
| 50.4 MHz 6.09 1.43 0.59 μV |
| 120 MHz n/a n/a 0.59 μV |
| 144.4 MHz n/a n/a 0.52 μV |
| 432 MHz n/a n/a 0.42 μV |
For 12 dB SINAD, 3 kHz deviation, 16 kHz bandwidth:
| Preamp Off 1 2 |
|----------------|
| 29 MHz 2.06 0.52 0.25 μV |
| 52 MHz 2.51 0.62 0.25 μV |
| 146 MHz n/a n/a 0.22 μV |
| 162 MHz n/a n/a 0.18 μV |
| 440 MHz n/a n/a 0.18 μV |
Preamp off/1/2: 102/ 111/ 121 dBm
Blocking gain compression dynamic range, 3 kHz roofing filter, 500 Hz DSP BW:
| 20 kHz offset 5/2 kHz offset |
|-------------------------------|
| Preamp off/1/2 Preamp off |
| 3.5 MHz 134/138/133 dB 122/100 dB |
| 14 MHz 134/137/132 dB 123/99 dB |
| 50 MHz 117/115/110 dB 104/93 dB |
| 144 MHz 122 dB (amp 2) 104/90 dB |
| 432 MHz 117 dB (amp 2) 100/91 dB |
| 14 MHz, 20/5/2 kHz offset: 103/86/75 dB |
See Table 2.
Preamp off/1/2: 14 MHz, +65/+85/+81 dBm; 50 MHz, +93/+77/+77 dBm; 144 MHz, +41 dBm; 432 MHz, +73 dBm.
15 dB.
Auto notch: >70 dB. Attack time: 100 ms, one or two tones.
| Manufacturer's Specifications | Measured in the ARRL Lab |
|-----------------------------|--------------------------|
| FM adjacent channel rejection: Not specified. | Preamp 2 on: 29 MHz, 60 dB; 52 MHz, 58 dB; 144 MHz, 65 dB; 432 MHz, 62 dB. 20 kHz offset, preamp 2 on: 29 MHz, 58 dB*; 52 MHz, 57 dB*; 144 MHz, 65 dB*; 432 MHz, 62 dB*. 10 MHz offset: 29 MHz, 103 dB; 52 MHz, 94 dB; 144 MHz, 88 dB; 440 MHz, 79 dB. |
| FM two-tone, third-order IMD dynamic range: Not specified. | S-9 signal, preamp off/1/2: 14 MHz, 122/33.1/8.3 μV; 50 MHz, 95.4/24.8/7.0 μV; 144 MHz, 10.3 μV; 432 MHz, 6.2 μV. At threshold, preamp 2 on: FM, 29 MHz, 0.14 μV; 50 MHz, 0.17 μV; 144 MHz, 0.13 μV; 432 MHz, 0.11 μV. As specified. THD @ 1 V<sub>RMS</sub>, 1.4%. |
| S-meter sensitivity: Not specified. | |
| Squelch sensitivity: Amp 2 on, 0.35 μV (28 – 30 MHz), 0.125 μV (144 – 148, 430 – 450 MHz). | |
| Receiver audio output: 2.5 W into 4 W at 10% THD. | |
| IF/audio response: Not specified. | Range at ~6 dB points (bandwidth)**: CW (500 Hz): 345 – 840 Hz (495 Hz) Equivalent Rectangular BW, 497 Hz USB (2.4 kHz): 261 – 1925 Hz (1664 Hz) LSB (2.4 kHz): 260 – 1923 Hz (1663 Hz) AM (9 kHz): 56 – 2770 Hz (5428 Hz) First IF rejection: 14 MHz, 88 dB; 50 MHz, 76 dB; 144 MHz, 79 dB; 432 MHz, 105 dB. Image rejection: 14 MHz, 91 dB; 50 MHz, 94 dB; 144 MHz, 88 dB; 432 MHz, 61 dB. |
| Spurious and image rejection: Not specified. | |
**Transmitter**
Power output: HF, 5 – 100 W (2 – 25 W AM). 144/432 MHz, 50 W.
RF output at minimum operating voltage. Not specified.
Spurious-signal and harmonic suppression: 1.8 – 30 MHz, ≥50 dB; 50 MHz, ≥63 dB; 144/432 MHz, ≥60 dB.
SSB carrier suppression: ≥ 50 dB.
Undesired sideband suppression: ≥ 50 dB.
Third-order intermodulation distortion (IMD) products: Not specified.
CW keyer speed range: Not specified.
CW keying characteristics: Not specified.
Transmit-receive turnaround time (PTT release to 50% audio output): Not specified.
Receive-transmit turnaround time (tx delay): Not specified.
Transmitted phase noise: Not specified.
Size (height, width, depth): 3.5 x 9.2 x 11.5 inches including protrusions. Weight: 9.5 lbs.
Price: $1550; FH-2 keypad, $100.
---
**Transmitter Dynamic Testing**
1.8 – 30 MHz, 4.4 – 100 W typical (AM, 4.4 – 40 W); 50 MHz, 4 – 93 W (AM, 5 – 37 W); 144 MHz, 4 – 48 W (AM, 1.2 – 8 W); 432 MHz, 6 – 45 W.
At 11.7 V dc: 89 W (HF), 47 W (144 MHz), 43 W, (430 MHz).
HF, 65 dB typical, 61 dB worst case (24.9 MHz); 50 MHz, 63 dB; 144 MHz, 61 dB; 440 MHz, 63 dB.
>70 dB.
>70 dB.
3rd/5th/7th/9th order, HF, 100 W PEP: −22/−32/−39/−45 dBc (worst case, 160 m) −26/−37/−41/−46 dBc (typical)
50 MHz: −21/−34/−40/−41 dBc
144 MHz: −24/−50/−43/−56 dBc
432 MHz: −28/−39/−40/−44 dBc
4 to 57 WPM, iambic Mode A and B.
See Figures 2 and 3.
S-9 signal, AGC fast, 39 ms (SSB); 4 ms (FM); 200 ms (C4FM).
SSB, 34 ms; FM, 25 ms; C4FM 26 ms.
See Figure 4.
---
**Figure 2** — CW keying waveform for the Yaesu FT-991 showing the first two dits in full-break-in (QSK) mode using external keying. Equivalent keying speed is 60 WPM. The upper trace is the actual key closure; the lower trace is the RF envelope. (Note that the first key closure starts at the left edge of the figure.) Horizontal divisions are 10 ms. The transceiver was being operated at 100 W output on the 14 MHz band.
**Figure 3** — Spectral display of the Yaesu FT-991 transmitter during keying sideband testing. Equivalent keying speed is 60 WPM using external keying. Spectrum analyzer resolution bandwidth is 10 Hz, and the sweep time is 30 seconds. The transmitter was being operated at 100 W PEP output on the 14 MHz band, and this plot shows the transmitter output ±5 kHz from the carrier. The reference level is 0 dBc, and the vertical scale is in dBc.
**Figure 4** — Spectral display of the Yaesu FT-991 transmitter output during phase noise testing. Power output is 100 W on the 14 MHz band (red trace) and 50 MHz band (green trace), and 45 W on 144 MHz (blue trace) and 432 MHz (yellow trace). The carrier, off the left edge of the plot, is not shown. This plot shows composite transmitted noise 100 Hz to 1 MHz from the carrier. The reference level is 0 dBc, and the vertical scale is in dBc/Hz.
70 centimeters. The mini DIN jacks are for digital mode and antenna tuner/linear amplifier connections, while the RS-232 (DB-9) connector is for connecting an external GPS or computer. There’s also a USB jack for computer control and data modes.
Out of the box, the first thing I noticed was that the lettering on all the controls was very bright compared to the transceiver that is normally on my operating desk. The white paint appeared to be illuminated under ordinary light. In previous transceiver reviews I had complained about poor visibility on front panels and was happy to see this improvement on the FT-991.
The main display is a full-color, 3.5-inch TFT LCD — and it’s a touchscreen. The display is very bright and has good contrast to make viewing very comfortable on the eyes. The operator can adjust the screen brightness by using the menu.
The touchscreen is a nice addition to an amateur transceiver. It’s similar to, but not quite like, the typical smartphone screen. I found that the touchscreen makes selecting features much faster than previous navigation schemes. When operating a particular mode, only the relevant menu items are active on the touchscreen. For example, the CW keyer settings are only active in CW mode. This prevents accidental changing of your favorite settings.
**Receiver**
I found the receiver to be very quiet and offer easy listening through headphones or the built-in speaker. The adjustable receiver audio filter allows some tailoring of the low and high cutoff frequencies separately for the SSB, CW AM, RTTY, and data modes.
The FT-991 includes two preamplifiers (AMP1, 10 dB and AMP2, 20 dB) for 1.8 – 50 MHz. As with other Yaesu models, there’s an IPO (intercept point optimization) setting that bypasses the RF preamplifier. AMP1 is not available below 1.8 MHz, and only AMP2 is available at 144 and 430 MHz. There’s also a 12 dB attenuator (ATT).
The FT-991 uses a 3 kHz roofing filter on SSB and CW, and a 15 kHz roofing filter for AM, FM, and C4FM. There’s a NAR/WIDE button to quickly select DSP IF bandwidth. NAR can be set to 200 Hz – 1.8 kHz for SSB or 50 – 500 Hz for CW, RTTY, and data modes. WIDE can be set to 1.8 – 3 kHz for SSB and 500 Hz – 3 kHz for CW, RTTY, and data modes. AM is fixed at 6 kHz NAR or 9 kHz WIDE, and FM is 9 kHz or 16 kHz.
Other interference-fighting features include IF shift and variable IF width, an IF notch filter, and an automatic notch filter that will attack one or two tones. The auto-notch filter can be activated on CW (attacking desired CW signals), which may confuse some users. The CONTOUR filter allows you to set a peak or null in part of the receiver passband. For CW, the audio peak filter (APF) can help peak up a weak CW signal to separate it from background noise.
Digital noise reduction (DNR) offers 15 different noise reduction algorithms. The IF noise blanker (NB) is adjustable with three levels.
**Voice Modes**
Operating SSB on the FT-991 is very easy. One can turn on the transceiver, select SSB mode, key the mic, and talk. It does not require much effort to master some of the advanced SSB features.
The transmitted audio is very good using the factory default settings. The user has the option of enhancing the SSB or AM transmitted audio through the use of two parametric equalizers. With two equalizers you can set each one for specific operating conditions. In addition to the equalizer, there’s an adjustable SSB speech processor.
SSB transmitted bandwidth is also adjustable. In addition to the default 300 – 2700 Hz setting, 400 – 2600, 200 – 2800, 100 – 2900, and 100 – 3000 Hz are available through menu settings.
During ARRL Lab testing (see Table 1), Senior Test Engineer Bob Allison, WB1GCM, noted that the typical third-order IMD products, only 26 dB below PEP on HF and 21 dB below PEP on 6 meters, could be better. For example, Yaesu’s FTdx1200, reviewed in the January 2014 issue of *QST*, showed typical third-order IMD products an impressive 37 dB below PEP. Measurements shown in Table 1 were taken at full RF power output, with minimal ALC. Reducing RF power output by 20% improved the IMD performance. WB1GCM also noted that the FT-991’s transmitted phase noise close to the carrier (see Figure 4) is higher than we like to see, particularly at 50 MHz and above.
I use a Heil Pro Set with the HC-6 microphone element. The Heil support page
provides a good table of DSP settings for Yaesu radios. I always received excellent audio reports using the settings provided for the Heil microphone. You can use the FT-991’s transmit monitor while making adjustments, but it’s always a good idea to enlist some help on the air to confirm the best-sounding settings.
The transceiver includes a voice keyer that can store five messages of up to 20 seconds each. The voice memories can be controlled from the touchscreen or from the optional FH-2 keypad (more on this later).
With its coverage of the 28, 50, 144, and 430 MHz bands, the FT-991 includes a full set of features for analog FM and repeater operation. Automatic repeater shift makes operation simple, or you can set nonstandard splits manually. CTCSS encode/decode and DCS (digital code squelch) and tone squelch (opens the squelch when receiving the correct CTCSS tone) are controlled by menus.
**C4FM Operation**
Yaesu’s System Fusion uses C4FM for digital voice and data providing superb clarity and the ability to send and receive data on the same voice channel. The FT-991 includes C4FM capabilities that are compatible with Yaesu’s VHF/UHF FM transceivers and the growing number of System Fusion repeaters.
In the FT-991, a feature called Automatic Mode Selection allows the transceiver to detect C4FM and analog FM signals then automatically switch the transceiver’s operating mode to match that of the incoming signal. This is useful in situations where the FT-991 may be the fixed station radio at an EOC (emergency operations center), for instance, and volunteers are in the field using a variety of C4FM or analog FM mobile and handheld radios. The command station can communicate with anyone in the field. With this scenario, volunteers and club members can upgrade to C4FM mobile and handheld radios as their budgets allow without disrupting service to the community.
For this review, I enlisted some volunteers using FM analog radios and Yaesu C4FM radios to demonstrate the flexibility of the FT-991 using a System Fusion repeater here in the Hartford, Connecticut, area. In the demonstration we used a Yaesu FT-1DR handheld, which has Automatic Mode Selection as well. It was interesting to make a mix of contacts through the repeater using C4FM voice or FM analog.
The FT-991 includes the Group Monitor (GM) function found on Yaesu’s C4FM VHF/UHF FM transceivers. Position and distance can be displayed for up to 24 other stations with GM enabled that are within range. How does the FT-991 know its current location? Hook up a GPS receiver to the GPS/CAT jack on the rear panel.
In July 2015, Yaesu released an FT-991 firmware update that enables the FT-991 operator to connect to a WIRES-X — Wide-Coverage Internet Repeater Enhancement System — Node station and communicate through the WIRES-X VoIP (Voice over Internet Protocol) network, without the need for any additional accessories. WIRES-X is functionally similar to IRLP (including management via a central Internet server). I didn’t test this new feature.
**CW Operation**
The FT-991 includes a versatile memory keyer, or you can use your favorite external keyer, computer software, or straight key. Note that if you use an external keyer, the front-panel KEY jack still requires a stereo phone plug (the ring is not connected). Semi break-in and full break-in (QSK) are available. In the Lab tests, the keying waveform (Figure 2) and keying sidebands (Figure 3) are acceptable.
The built-in keyer offers several different iambic modes, as well as a BUG mode (the keyer sends the dits, you form the dashes manually), plus an ACS mode with fixed character spacing. The keyer has five memories and can automatically insert serial numbers for contesting.
CW pitch is adjustable from 300 – 1050 Hz in 10 Hz steps. Like most current transceivers, the FT-991 offers assistance with tuning in (“zero beating”) CW signals. Pressing
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**Table 2**
*Yaesu FT-991, serial number 4N020467*
| Band/Preamp | Spacing | IMD Level | Measured Input Level | Measured IMD DR | Calculated IP3 |
|-------------|---------|-----------|----------------------|----------------|---------------|
| 3.5 MHz/Off | 20 kHz | −24 dBm | −124 dBm | 100 dB | +26 dBm |
| | | −15 dBm | −97 dBm | | +26 dBm |
| 14 MHz/Off | 20 kHz | −24 dBm | −124 dBm | 100 dB | +26 dBm |
| | | −12 dBm | −97 dBm | | +31 dBm |
| | | 0 dBm | −55 dBm | | +28 dBm |
| 14 MHz/One | 20 kHz | −36 dBm | −136 dBm | 100 dB | +14 dBm |
| | | −21 dBm | −97 dBm | | +17 dBm |
| 14 MHz/Two | 20 kHz | −43 dBm | −143 dBm | 100 dB | +7 dBm |
| | | −28 dBm | −97 dBm | | +7 dBm |
| 14 MHz/Off | 5 kHz | −24 dBm | −124 dBm | 100 dB | +26 dBm |
| | | −11 dBm | −97 dBm | | +32 dBm |
| | | 0 dBm | −60 dBm | | +30 dBm |
| 14 MHz/Off | 2 kHz | −42 dBm | −124 dBm | 82 dB | −1 dBm |
| | | −97 dBm | −36 dBm | | −5 dBm |
| | | 0 dBm | −27 dBm | | +13 dBm |
| 50 MHz/Off | 20 kHz | −22 dBm | −122 dBm | 100 dB | +28 dBm |
| | | −12 dBm | −97 dBm | | +31 dBm |
| 144 MHz/Two | 20 kHz | −56 dBm | −141 dBm | 85 dB | −13 dBm |
| | | −42 dBm | −97 dBm | | −14 dBm |
| 432 MHz/Two | 20 kHz | −55 dBm | −145 dBm | 90 dB | −10 dBm |
| | | −41 dBm | −97 dBm | | −13 dBm |
†ARRL Product Review testing includes Two-Tone IMD results at several signal levels. Two-Tone, Third-Order Dynamic Range figures comparable to previous reviews are shown on the first line in each group. The “IP3” column is the calculated Third-Order Intercept Point. Second-order intercept points were determined using −97 dBm reference.
the F(M-LIST) button and then touching ZIN on the LCD will automatically tune the received signal so that the transmit offset is correct. For manual tuning, you can touch SPOT on the LCD to generate a tone you can use to match the pitch of a received signal (and tune a little higher or lower than other stations calling in a pileup).
One thing noticeably missing is a CW tuning indicator, which is a useful visual aid when tuning a CW signal. Perhaps this is wishful thinking on my part, but maybe a future firmware upgrade can add this feature.
**Digital Modes and Computer Interface**
For RTTY or sound card digital modes such as PSK31 and JT65, traditional connections for FSK keying and sound card audio in and out are available from the RTTY/DATA jack on the rear panel. You can use those, or take advantage of the transceiver’s USB port for computer control (CAT — computer aided transceiver) and for audio input and output to be used with sound card digital modes. The USB method eliminates the need for an external computer-to-radio interface, thus eliminating one more item from the go-bag.
Configuring the FT-991 for digital operation and CAT control through the USB port is fairly simple. The drivers are available to download from Yaesu’s website at no additional charge. I installed the drivers, then I was able to quickly configure the radio to communicate with some popular contest and logging applications. I had had full control of the transceiver and was keying CW and FSK RTTY via the USB port of my laptop computer. Operating RTTY with the FT-991 was a pleasure. The transceiver’s tuning is very smooth, making it easy to fine tune RTTY signals.
The computer connection is also used to update the radio’s firmware with new versions downloadable from the Yaesu website. Since we purchased the review unit, Yaesu has released several firmware updates to add features or improve performance.
I am very familiar with setting up this particular software/transceiver configuration, but anyone should be able to achieve positive results using the FT-991’s manual and the logging software’s documentation.
**Other Features**
Programming the memory channels of the FT-991 is fairly easy. Setting up duplex or split memories requires an extra step to save the transmit frequency. It took a few attempts to learn the button sequence to set the memory channels. It did not take much effort to program seven memory channels with the information to allow me to operate on amateur satellite SO-50, demonstrating the FT-991’s versatility.
Each band has three band-stacking registers that save all of the user settings. I like setting one register each for CW, SSB, and digital operation on each band. That makes mode switching very easy because personalized settings for each mode of operation stay locked into the band registry.
Yaesu offers an optional FH-2 keypad to program and control the built-in voice keyer and CW keyer memories. This is a nice accessory for day-to-day operation or for contest or DXpedition type operating. The popular *N1MM Logger* contest applications can be programmed to activate the FH-2 command by inserting a CAT instruction in the logging software’s function configuration. This allows the operator to activate the messages stored in the transceiver by pressing the F1 – F4 keys on the logging computer’s keyboard.
A built-in spectrum scope uses the lower half of the color TFT display. The scope can show a traditional spectrum display or a waterfall. The spectrum scope can be operated in the manual mode or using ASC (automatic spectrum scope) control. In the manual mode, touching SWEEP on the LCD activates the spectrum scope, mutes the transceiver audio, and displays a snapshot of the band activity on the screen. Using the transceiver’s ASC function, the rig toggles between the spectrum scope and receive audio. I found this to be an annoying way to copy signals. Given the limited functionality of the spectrum scope, I don’t think it can outperform a human tuning the dial and listening for signals. Considering all of the FT-991’s other features and versatility, for me this limitation is not a deal breaker.
**In the Field**
To investigate the FT-991’s portability, I set it up in our camper using the doublet antenna and auto tuner combination that I usually use from a campsite. Physically the transceiver fit nicely in the compact operating position and offered a comfortable view of all the controls.
The FT-991 performed well in the field. I was easily able to work any station I could hear and many stations responded to my calls. I should mention that the FT-991’s antenna tuner works very well with coaxial fed antennas and impedances within its tuning range, but it is not designed to operate with the balanced line fed doublet that I use in the camper.
**Final Thoughts**
The FT-991 has a bright, easy-to-read display, is easy to operate, and interfaces easily with personal computers and popular Amateur Radio software applications. The
color touchscreen is sharp and easy to read.
Chasing DX, collecting states or grid squares, using amateur satellites, working in traffic nets, public service, or operating from the campsite, the FT-991 is suitable for any operating environment.
Manufacturer: Yaesu USA, 6125 Phyllis Dr, Cypress, CA 90630; tel 714-827-7600; www.yaesu.com.
Most QST Product Review videos published between December 2012 and December 2016 are available on YouTube at www.youtube.com. Please go to the ARRLHQ YouTube channel at https://www.youtube.com/user/ARRLHQ and select the video you wish to view.
Icom IC-2730A Dual-Band FM Transceiver
Reviewed by Becky Schoenfeld, W1BXY
QST Managing Editor
firstname.lastname@example.org
As I write this review, it’s summertime, and the livin’ is easy. There’s no better time to cruise around with a new mobile radio — in this case, Icom’s dual-band IC-2730A. As a relatively new ham, this was my first experience with a mobile rig, and I was eager to try to make sense of it all. Fortunately, Icom has made it easy with this radio. The box contained a 90-page instruction manual, the radio body, the radio control head, the microphone, a connector cable, a dc power cable, a microphone hanger, and an extra 15 A fuse, but no mounting brackets. Several mounting bracket options are available at additional cost. (The IC-2730A Deluxe package includes the radio and an MBF-5 remote head mounting bracket.) I decided to get acquainted with the radio in the comfort of my home shack before taking it on the road.
The IC-2730A works on 2 meters and 70 centimeters, with three power levels on each band (50/15/5 W). It’s got extended receive coverage outside the ham bands, including coverage of the AM aircraft band and the NOAA weather channels and weather alert. You can listen on both receivers at the same time — VHF/VHF, UHF/UHF, or VHF/UHF are all possible. Icom’s optional VS-3 Bluetooth headset includes VOX capability for hands-free operation. Icom offers free programming software as a download from the web.
Getting the Lay of the Land
I wired up the IC-2730A to my switchmode power supply, snapped in the appropriate cables to connect the mic and the radio body to the control head, and turned on the radio to find that the front panel of the control head has a large, easy-to-read display (with adjustable brightness and contrast) with a simple white background. Being that this is a dual-band radio, the same pushbuttons (MAIN/BAND, V/MHZ/SCAN, MR/CALL) and knobs (VOL, DIAL, SQL) appear on each side of the display, for easy control of whichever band you’re operating on. Four pushbuttons that control monitoring, power output, memory, and menus (MONI/DUP, LOW/DTMF, MW, MENU/LOCK) are located below the display. The layout of the controls is well-thought-out and uncomplicated — good qualities for a mobile radio, as the operator needs to be able to concentrate on driving. Once you get used to the layout, it’s easy to find your way around the control head by touch.
The control head is about $5\frac{1}{4} \times 1\frac{1}{4} \times 1$ inches, and though it is lightweight, the construction feels sturdy — a nice balance. The sizes of the buttons and knobs are thoughtfully designed for mobile operation — large enough for an operator to be able to find and use the desired button or knob, and spaced well enough apart that “fat-fingering” will be minimized. The pushbuttons and knobs have a satisfying amount of “weight” to them. There’s no wobble to the pushbuttons, and they beep on a tone that corresponds with the band that you’re on. The tones for the band on the left-hand side of the display are different from the tones on the right-hand side, and the tones for the main control pushbuttons at the bottom center of the control head shift to match the tone of the band you’re operating on — all so you can keep your eye on the road! All the pushbuttons, including the power button, are multi-function, depending on whether you push or hold, and depending on which mode the radio is in.
Bottom Line
Rugged and easy to use, Icom’s IC-2730A has all the features expected in an up-to-date analog FM VHF/UHF dual-band transceiver.
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The Chisholm Trail Museum in Kingfisher is proud to announce a unique and nostalgic exhibit on display. The exhibit opened on January 11 and will close on April 12. This exhibit showcases the once-largest Oklahoma retail chain store, T.G.&Y.
The exhibit, *T.G.&Y.: An Original Oklahoma Icon*, features items and artifacts from the T.G.&Y. era including personal items on loan from the original store in Kingfisher. Through photographs and artifacts the exhibit reveals the history of a small town variety store in Kingfisher, Oklahoma, owned and operated by Raymond A. Young during the late 1920s. It navigated through the trying years of the Great Depression and World War II, emerging as one of the most successful chain variety stores in the nation, and the first Oklahoma-based store to reach more than $1 billion in sales with more than nine hundred stores across the United States by the end of the twentieth century.
Also on display are artifacts loaned from the family of Les Gosselin, who was one of the co-owners of T.G.&Y., as well as original documents and other artifacts from Young, who started his first store in Kingfisher.
Young started his venture into the retail business in 1927 with the opening of his first store, R. A. Young Co. 5¢ to $1.00 stores, in the small farming community of Kingfisher. Young’s future success was due in large part to the effects of his poor childhood working on a small farm near Stillwater in the early 1900s. Influenced by his mother’s desire that all of her children would attend college and earn degrees, Young channeled the lessons of hard work and strength from his earlier years toward his studies at Oklahoma A&M, now Oklahoma State University. Young would join with two other small-town Oklahoma natives, E. L. Tomlinson and Les Gosselin, to eventually co-own the T.G.&Y. stores. After retirement, Young was inducted into the Oklahoma Hall of Fame and was instrumental in the expansion and development of Oklahoma City in the 1960s and ’70s. T.G.&Y., and especially former Kingfisher resident Young, will serve as the highlight of the exhibit, with special attention given to his instrumental influence on the greater history of Oklahoma and United States.
After touring the T.G.&Y. exhibit, visitors are encouraged to tour the rest of the museum, where they will learn about the histories of Jesse Chisholm, the Chisholm Trail, the Land Rush of 1889, and early territorial and statehood days in relation to Kingfisher and Kingfisher County. There is also a Victorian-era historical site on the museum grounds with five original historical structures, including two original log cabins, the first bank building in Kingfisher, an original one room school house, and a one-room rural church. Additionally, visitors can enjoy a guided tour of the Governor Seay Mansion that was owned by the second territorial governor of Oklahoma, Abraham Jefferson Seay. This beautiful Victorian-era home is decorated in the Victorian style with original hand-crafted, elaborate crown molding and pocket doors. The home is furnished with many of Governor Seay’s original belongings.
The Governor Seay Mansion and Chisholm Trail Museum are located at 605 Zellers Avenue in Kingfisher. Admission to the museum is $4 for adults and $2 for children and seniors. Hours of operation are Tuesdays through Saturdays from 10 a.m. to 5 p.m. For more information about the Kingfisher Chisholm Trail Museum and to follow upcoming events and programs, please visit www.ctokmuseum.org or like us on Facebook.
Clockwise from top left: T.G.&Y. on North Broadway Avenue in Oklahoma City, 1949; T.G.&Y. in Oklahoma City; cleaning display at a store; a commercial for T.G.&Y.
In the entrepreneurial world, one key to success is knowing when to hold a course and when to change directions.
That decision must be based on a wide range of factors, such as the business plan, the level of investor support, and the potential for ultimate success in the marketplace.
Using that criteria, we cannot give up, we cannot change course in seeking authorization to build the Oklahoma Museum of Popular Culture, known as OKPOP.
The business plan is a once-in-a-lifetime opportunity that rarely occurs in the museum world. After a one-time investment in infrastructure, all operational costs will be covered by a stream of revenue from a parking garage, admissions, special events, merchandise sales, and venue rentals. And the numbers are not pulled from thin air. They are based on the proven results at the Oklahoma History Center.
Investor support is strong and growing, especially among the group we call “the creatives” and their families. These are the musicians, film makers, radio and television pioneers, writers, and illustrators who have expressed the roots of Oklahoma culture through their art.
Over the past five years, we have gained commitments from a wide range of creatives and their families as we worked on exhibits and books that ranged from Rock & Roll and Hee Haw to Okie Cartoonists, and Oklahomans @ the Movies. Endorsements range from Roy Clark and Garth Brooks to Kristin Chenoweth and Mary Kay Place.
Success in the marketplace is predicated on a new type of museum that combines the qualities of the Rock & Roll Hall of Fame, the Grammy Museum, and the Smithsonian’s Museum of American History, where popular culture exhibits such as Dorothy’s ruby red shoes, Archie Bunker’s chair, and Julia Child’s kitchen pull crowds through the doors to see exhibits on a wide range of American history.
By relying on shared memory, we can connect with people from around the world who will come to see exhibits on Ben Johnson, Bob Wills, and S.E. Hinton and in the process learn about cowboy culture, radio history, and the 1950s in the Oil Capital of the World.
As they say in the movies, if we build it, they will come.
With a solid business plan, investor support, and potential market, we need to take the first step in building the OKPOP. That requires legislative action.
This session, we will be asking Governor Fallin and members of the House and Senate to authorize the museum. We do not need cash this year. We simply need authorization. If we are successful, we will immediately receive more than $5 million in pledges from the private sector that are already on the table. We will hit the ground running and start raising even more matching dollars.
Yes, one key to success is knowing when to hold a course and when to change directions. In our commitment to the OKPOP, and knowing what it will contribute to our great state, we will hold our course.
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**New members, December 2013**
*Indicates renewed memberships at a higher level
**Business Partner**
*Winters Family Foundation, Oklahoma City
**Director’s Circle**
*Todd Family Charitable Foundation, Oklahoma City
**Fellow**
*Joseph Ward, Norman
**Associate**
*Ann Drummond Woolley, Ada
**Friend**
John Henry, Dallas, TX
Michael and Kim Joseph, Oklahoma City
Leon and Marcene Norton, Oklahoma City
Harold and Elizabeth Orlikowski, Oklahoma City
Rowell Sargeant, Edmond
*Steve and Mary Susan Savage, Tulsa
**Family**
Janie Allen and Bobby Williams, Grapevine, TX
Lori Bannister, Norman
Tanya Blades, Glenpool
Byron Bradford, Watonga
Mr. and Mrs. Eddy Clark, Cashion
Ernest Clark, Lawton
Paul Cloud, Oklahoma City
Ben and Ceyeli Corbett, Tulsa
Dean and Karen Cox, Raymore, MO
Charles Davis, Norman
Tony Day, Plano, TX
Dennis and Judy Decker, Stillwater
Dennis and Judy Ferrell, Stillwater
Brandi Fowler, El Reno
Richard and Karen Gilman, Norman
David Jones, Mustang
Matt and Brooke Kelley, Tulsa
Donna and Rebecca Miller, Norman
Keith and Ruth Oehlert, Oklahoma City
Polly Oliver and Gina Agnew, Norman
Gary and Karen Phillips, Oklahoma City
Ralph and Bill Sade, Harrah
Renza Sharpe, Tulsa
Will and Maddie Sharpe, Tulsa
Robert Varnum, Nichols Hills
Donald and Betty Vick, Oklahoma City
Harold and Linda Williams, Sapulpa
Gary Willis and Ann Ozan-Willis, Edmond
**Individual**
Steven Anthony, Waurika
Michael Armstrong, Ft Sill
Melissa Atkinson, Miami
Tabatha Ballew, Wetumka
Jacob Brawning, Ada
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**Development News**
by Larry O’Dell
2013 proved to be a positive year for the Oklahoma Historical Society’s membership and development offices. OHS shattered its goal of attracting nine thousand members early in the year, and as 2014 loomed the society lacked just over one hundred to reach ten thousand OHS members. We appreciate every one of our OHS family and hope that our programs, events, exhibits, and publications enhance the experience and help expand the numbers.
The OHS development office facilitates the fundraising for most OHS projects. In the last year new exhibits have been opened in Ponca City, Altus, Oklahoma City, and other sites. The office is also instrumental in securing grants and other funds for educational programming, membership events, lectures, preservation, sharing, and site maintenance. 2013 fundraising met expectations, and we have begun even larger endeavors. We have kicked off a campaign to fund a new exhibit at the Oklahoma History Center titled Crossroads of Commerce. It will illustrate how Oklahomans have combined capital resources, creativity, and opportunity in the marketplace to drive the wheels of economic development and improve the quality of life in the state and nation.
The membership and development office thanks everyone for their continued support and believes that 2014 will be even more productive than 2013.
Opportunities
The Love County Historical Society pictorial calendars for 2014 are available for purchase. Historical photos included feature the Marietta Rodeo Parade of the 1950s, Antioch School in 1898, Meadowbrook Boys’ Basketball Team in 1948, and more. The calendars cost $5 each and are available at several Love County businesses. To order the calendar by mail, write to P.O. Box 134, Marietta, OK 73448 and add $1.75 for postage. For more information, call the Pioneer Museum at (580) 276-9020 or Laquitta Ladner at (580) 276-3477.
Events
The Firehouse Art Center’s annual Chocolate Festival, ranked third among food festivals in the United States by the Food Network, will tempt chocolate lovers with chocolate samples for visitors to taste on February 1 at the Postal Training Center in Norman. The Chocolate Festival will feature treats from more than thirty area businesses from the Oklahoma City metro area. Feast on favorites such as chocolate amaretto cream cake, Godiva chocolates, and chocolate fondue. Do not miss Kendall’s Restaurant’s fantastic chocolate cinnamon rolls, which are only available at the Chocolate Festival each year. For something out of the ordinary try samples of chocolate chili and let your chocolate cravings run wild. Norman’s Chocolate Festival will also feature a children’s art area and art demonstrations by the Firehouse Art Center faculty. Purchase a general admission ticket and feast on your choice of ten chocolate samples. A one-hour tasting session will be held from 10:30 to 11:30 a.m. and includes fifteen chocolate samples, a container to take home leftovers, and a complimentary drink. For more information, call (405) 329-4523. (travelok.com)
Come to the Sequoyah National Wildlife Refuge in Vian for a tour featuring southern bald eagles on the nest on Saturdays in February. You will begin the tour by watching eagles from the refuge’s webcam and continue the tour on the twenty-five-person tour bus. Guests are encouraged to bring binoculars. After spending the morning at the refuge, take a break and have a leisurely lunch in Vian. Then, make your way to Tenkiller State Park for more eagles and lots of loons, including the common loon, the red-throated loon, the pacific loon, and the yellow-billed loon. Come out and enjoy this famed bird of the northeast and beyond. Tours will occur unless there is a travel advisory for the area. For more information, call (918) 489-5641. (travelok.com)
Some of the finest vintage and antique dealers in the nation are headed to Tulsa to present their wares at the Vintage Tulsa Show from February 14 to 16. Merchandise will be set up at this show to the delight of antique and vintage lovers. Browse row after row of unique goods in a climate-controlled space with concessions available. From antique furniture and collectibles to vintage clothing and linens, find it all at the Vintage Tulsa Show. For more information, call (918) 619-2875. (travelok.com)
Celebrate Presidents’ Day and win cash prizes at the annual Presidents’ Day Blue River Trout Derby on February 15 and 16. The Blue River, located near Tishomingo, will be stocked with trout for the two-day trout derby. Trout fishermen will be awarded prizes for the largest trout, biggest stringer, and heaviest stringer. All age groups are welcome to participate. Join anglers from across the country as they compete for cash prizes, awards, and trophies. Competitors will be split up into categories of male, female, youth, and fly fishing. The Blue River is one of Oklahoma’s most beautiful and picturesque public recreation spots. Attendance for spectators is free; however, there is a small entry fee for derby participants. For more information, call (580) 371-9288. (travelok.com)
On February 15 and 16 the annual Oklahoma Motorcycle and Car Show held at State Fair Park in Oklahoma City is a great opportunity to see classic and modern cars, as well as get some great deals on parts and accessories at the swap meet. There will be rare antique and one-of-a-kind custom motorcycles and cars on display for your enjoyment. The day also includes a live band, roller derby expo, and contests on both days. Be sure to stay for the awards presentation and see the best of each class. For more information, call (816) 456-4415. (travelok.com)
From February 21 to 23 the Battle of Round Mountain Reenactment in Yale recreates a winter encampment of the Civil War era. This event takes place over three days, with living history soldiers setting up opposing camps on Friday. Vendors in period dress will also be present to set up tents and sell their wares. The battle itself begins Saturday afternoon, and visitors are invited to witness as Confederate and Union soldiers slowly advance toward each other on the field of battle. View the soldiers as they prepare to fire cannons, and watch the battle as smoke from guns and cannons fills the air. In addition, this reenactment event showcases a Civil War era ball on Saturday. Costumed attendees will swirl around the dance floor as traditional fiddle music is performed on stage. On Sunday a period church service will be held at 10 a.m. For more information, call (918) 399-9193. (travelok.com)
Come to the Frederick Fantastic Oyster Fry and Craft Show on February 22 to enjoy fried or raw oysters and peruse a wide variety of items on display from crafters. First celebrated in 1952, this event is an annual southwest Oklahoma tradition. Feast on delicious oysters on the half shell or try them fried in the festival’s secret recipe batter. This much-anticipated meal includes homemade coleslaw, potato chips, bread, iced tea, and coffee. Desserts will also be available for purchase. After getting your fill of tasty oysters, head to the free annual craft show. Browse through booths filled with items for sale including pottery, jewelry, wood crafts, leather crafts, candles, needlework, and more. Many visitors to this much-loved festival arrive early to do some shopping, antiquing or to visit a local museum, so make your way to Frederick and create an entire mini-vacation around the town’s tasty oyster fry. For more information, call (580) 335-2126. (travelok.com)
Do you want to have your organization’s meeting, event, or exhibit featured in the “Around Oklahoma” section of the Mistletoe Leaves? The “Around Oklahoma” section features Oklahoma history and heritage-related activities or programs sponsored by entities other than the Oklahoma Historical Society. To submit news items, please contact Tabatha Toney, assistant editor, by email at email@example.com or mail at 800 Nazih Zuhdi Drive, Oklahoma City, OK 73105, during the first week of the month before you wish a news items to appear. For example, if you wish a news item to appear in our March issue, please send it to our editors by the first week of February. Thank you for your submissions.
Civil rights and the US Constitution discussion
On February 20 from 7 to 9 p.m. the Oklahoma History Center will host a panel discussion on civil rights and the constitution. The discussion will feature clips from four documentaries that are a part of an initiative from the National Endowment for the Humanities and the Gilder Lehrman Institute of American History entitled “Created Equal: America’s Civil Rights Struggle.” For more information contact OHC Education at firstname.lastname@example.org or by phone at (405) 522-3602.
Bessie Coleman Live at the OHC
Join the Oklahoma History Center on Thursday, February 27, at 10:30 a.m. for an interpretive school program for elementary students celebrating Black History Month.
Bessie Coleman was the first African American woman to become a licensed pilot. Born in Texas, Coleman attended Langston University in Oklahoma and had deep Oklahoma roots.
Registration is required for student groups. For more information or to register student groups contact the OHC Education Department at email@example.com or (405) 522-3602.
New Oklahoma National Register listings
The Oklahoma State Historic Preservation Office is pleased to announce five new National Register of Historic Places listings. The National Register of Historic Places is our nation’s official list of properties significant in our past.
The Cherokee Terrace Apartments, located in Enid, Garfield County, was constructed as a low-rise, multifamily residential development by the Housing Division of the Public Works Administration (PWA) to provide affordable housing for those cast into poverty by the Great Depression. Constructed between 1936 and 1938, the Cherokee Terrace Apartments embody the theories of site planning and design dictated by the PWA.
The Larkin Hotel, constructed between 1923 and 1924, is located in downtown Blackwell, Kay County, and was the first four-story building and the only four-story hotel constructed in downtown Blackwell. For its day the hotel was thoroughly modern, with not only hot and cold running water in each room, but also a telephone. In recognition of the building’s significance and the precarious status of the building due to lack of use, the Larkin Hotel was included on Preservation Oklahoma’s 2012 Most Endangered Properties List.
The James H. Bounds Barn, constructed circa 1890, is significant as a rare four-crib log barn that remains in excellent condition in the Kingston vicinity in Marshall County. This is the only known example of this archaic barn type in Oklahoma and one of only a few west of the Mississippi River.
The final two listings are both located in Muskogee, Muskogee County. The first is the Muskogee Municipal Building, constructed in 1931 and located at 229-231 West Okmulgee Avenue. It is significant as the city’s first-ever formal city hall, as a formally established meeting place for local patriotic groups, and as a venue for large public events. The second is the Saint Philip’s Episcopal Church at 502 North Ninth Street. Also constructed in 1931, it is significant for its role in the history of African Americans in Muskogee as one of a few historic church buildings remaining that represent African American community activities. It is the city’s only example of full-scale application of Tudor Revival architectural form and detailing.
Listing in the National Register is an honorific designation that provides recognition, limited protection, and, in some cases, financial incentives for these important properties. The SHPO identifies, evaluates, and nominates properties for this special designation. For more information, contact Lynda Ozan at (405) 522-4478 or firstname.lastname@example.org.
Beginning cross-stitch class
The Oklahoma History Center will host a beginning counted cross-stitch class from 1 to 4 p.m. on Saturday, February 22. No previous knowledge of needlepoint crafts or sewing is necessary. Participants will explore the history of cross-stitch and view relevant artifacts from the OHS collections. Students will obtain the skills necessary to begin cross-stitching independently. The class is for ages twelve and older. Class space is limited, so register early. The cost for the class is $15 and all supplies are provided. For more information or to register, contact OHC Education at email@example.com or (405) 522-3602.
Realizing the Dream exhibit walk-and-talk
Join OHS staff to discuss the OHC’s newly renovated exhibit, Realizing the Dream, and Ada Lois Sipuel Fischer’s role in civil rights law from 10 a.m. to 2 p.m. on February 15. There is no age limit, but parental guidance is suggested. The event is free with museum admission and registration is not required. For more information, contact OHC Education at firstname.lastname@example.org or (405) 522-3602.
Mom and Me Victorian Tea
The Oklahoma History Center will celebrate Valentine’s Day with a Mom and Me Victorian Tea on February 8 from 1 to 3:30 p.m. Activities include learning Victorian etiquette and making valentines, hats, and valentine card boxes. Participants are encouraged to wear their finest dresses. Registration is limited and required. All ages are welcome to the event. The registration is $35 per parent and child and $10 for each additional child or guest. For more information or to register, contact OHC Education at email@example.com or (405) 522-3602.
Special Sunday exhibit opening for OHS members
On Sunday, February 9, the Oklahoma History Center will host a special opening of the newly renovated Kerr-McGee Gallery for OHS members from 2 to 4 p.m. The gallery features new expanded exhibits with major updates and all new content and artifacts. Included are exhibits on the steamboat *Heroine*, the African American experience in Oklahoma, and the oil and gas industry.
On May 6, 1838, a steamboat called *Heroine* was traveling up the Red River to deliver supplies to Fort Towson in what is now Choctaw County in southeast Oklahoma when it struck a submerged log and sank. Pieces of the ship and some of its contents have been collected and are now on display, 175 years later. Interactive touchscreens, hands-on elements, reconstructed machinery, and excavated artifacts tell the story of the earliest steamboat to be recovered and studied by archaeologists. Visitors will not only get a glimpse of life during this formative period in US history, but also will experience the mystery of the *Heroine* and how its story was brought to light through archaeological evidence and historical research.
The African American experience is a unique story in Oklahoma. This recently updated exhibit, *Realizing the Dream*, highlights twelve aspects of this story and features information about extraordinary individuals and presents artifacts representative of the people, places, and events. Several places significant to African American history in Oklahoma have been recreated for visitors to gain insight into spaces occupied by community and Civil Rights movement leaders, such as Richard Lewis’s barbershop and Clara Luper’s living room.
*Power to Grow: The History of Oil and Gas in Oklahoma* focuses on the history of the industry in the state from World War II to the present. This era has featured dramatic technological advances, bold innovations, and dynamic individuals and companies willing to take risks. Major aspects of the industry, such as finding, producing, refining and processing, transporting, and distribution, are featured. The histories of important companies, industry leaders, and the people who perform a wide range of jobs are told. The exhibit also highlights the remarkable legacy of the industry, including jobs, tax revenues, philanthropy, and landmarks.
The military exhibit illustrates the US armed forces from the 1830s to the present, the history of noncommissioned officers, and how some military weapons work. Also included are accurate replicas of Civil War-era artillery ammunition crates and artifacts relating to artillery. Two portions are devoted to Lieutenant Colonel Steve Russell and the capture of Saddam Hussein. More changes are planned for this exhibit, such as a World War I interactive that will include a replica trench and hands-on items that will demonstrate the loading and firing procedure for flintlock and Civil War-era muskets.
The opening on February 9 is a special event for OHS members only. To inquire about memberships, contact the OHS Membership Office at (405) 522-5242 or firstname.lastname@example.org.
Lunch and Learn at the CSRHC
Dr. Michael J. Hightower will speak about his new book, *Banking in Oklahoma before Statehood*, at the Cherokee Strip Regional Heritage Center on Wednesday, February 12, from 12 to 1 p.m. The presentation is part of a monthly brown bag lunch program.
For more information, contact the CSRHC at (580) 336-2405 or email@example.com.
You can also see Dr. Hightower at additional book signings on February 8 from 2 to 4 p.m. at Barnes and Noble on North May Avenue in Oklahoma City, the afternoon of February 13 at the Harvey House in Waynoka and that evening at the Beaver County Historical Society, and the afternoon of February 14 at the No Man’s Land Museum in Goodwell. All sales provide support for the OHS.
Milliners class at the OHC
On February 1 from 10 a.m to 1 p.m. join the Oklahoma History Center for Milliners Class: Red Hats for Valentine’s, a day of fun and hat making. Learn the history of Edwardian milliners and create your own red hat for Valentine’s Day. The class will construct 1890s-style Edwardian hats. Class participants will work one on one with assistance to complete the project during the course. The cost for the class is $30 and includes all supplies, lunch, and a tour of the *Little Black Dress* exhibit.
For more information on the class or to register please contact us at firstname.lastname@example.org or by phone at (405) 522-3602.
OHS receives donation of pre-statehood newspapers
The Oklahoma Historical Society’s Research Center has received twenty thousand pages of Oklahoma newspapers previously thought to have been lost to history. The unique donation of historic Oklahoma newspapers was a gift from the Kansas Historical Society after a recent inventory discovered the newspapers in its collections.
“These titles are all from before Oklahoma statehood and are a wonderful addition to the OHS newspaper archives,” said Director of Research Chad Williams. New titles and issues include: *Cherokee Sentinel* (1894-95), *Daily Optic* (1889), *Hennessey Courier* (1890), *West and South* (1891), and the *Yukon Weekly Courier* (1891-92). Williams said, “The collection is in remarkable condition and will be digitized and added to the OHS online website ‘The Gateway to Oklahoma History’ where each page will be word searchable and freely available to researchers.”
The Gateway to Oklahoma History is an online repository sponsored by the OHS and the Ethics and Excellence in Journalism Foundation. Visiting the site allows you to browse more than 800,000 Oklahoma newspaper pages dating from the 1840s-1920s. To search the Gateway, visit http://gateway.okhistory.org/. For more information, contact the OHS Research Center at (405) 522-5207 or email@example.com.
An example of a newspaper available on the Gateway.
Oklahoma movie *The Daughter of Dawn* selected for Library of Congress 2013 National Film Registry
The Library of Congress in Washington, DC, has selected *The Daughter of Dawn* as one of the films inducted to its 2013 National Film Registry, a collection of cinematic treasures that represent important cultural, artistic, and historic achievements in filmmaking. The eighty-minute, six-reel silent movie was shot during the summer of 1920 in Oklahoma’s Wichita Mountains Wildlife Refuge outside Lawton.
“This film is an American treasure both as an early art form in the history of cinema and as a window into the material culture of Oklahoma’s Kiowa and Comanche tribes,” said Dr. Bob Blackburn, OHS executive director. “The National Film Registry spotlights the importance of preserving America’s unparalleled film heritage. We are proud to have the film represent our great state, its people, and the beautiful landscape of southwestern Oklahoma.” The story and legacy of *The Daughter of Dawn* will then be permanently housed at the Oklahoma Museum of Popular Culture (OKPOP), a new museum being developed by the OHS that will be located in downtown Tulsa.
“While there are many movies directed, produced, and edited by, or starring Oklahomans, *The Daughter of Dawn* is the first narrative feature filmed in Oklahoma to be included in the National Film Registry,” said Jeff Moore, OKPOP project director. “The Library of Congress deemed this film important enough to be included in the national registry and the OKPOP Museum will share this incredible story for future generations.”
There were only a few of showings when *The Daughter of Dawn* was completed in 1920. Newspaper articles indicate that it was shown in Los Angeles, Kansas City, and Tulsa among a handful of places. Historians believed that the film was lost, just like a vast majority of films from this era. In fact, the survival rate for a motion picture from the 1920s is about 20 percent, with the majority of silent films being lost, damaged, or decayed.
The dramatic events behind the recovery of *The Daughter of Dawn* began with a phone call to Brian Hearn, film curator at the Oklahoma City Museum of Art, from a private investigator in North Carolina, who had been given five reels of film from a client in lieu of payment. Knowing that the film needed to be preserved and returned to Oklahoma, Hearn contacted Bill Moore, the now-retired film archivist at the Oklahoma Historical Society. Through support from the Lawton community, the OHS was able to acquire the reels in 2007.
“Once we had the reels, we worked with film historians and preservationists to restore it to near original condition,” Blackburn said. “After restoration, we decided the final product deserved original music to accompany the eighty minutes of moving images.”
The OHS commissioned classical composer Dr. David Yeagley, a member of the Comanche Nation, to compose the score. Dr. Blackburn reached out to President Robert Henry and Dean Mark Parker of Oklahoma City University, and in 2012 the university’s Symphony Orchestra, under the direction of Ben Nilles, recorded the music.
The film is rare in that it has an all-American Indian cast of nearly three hundred Kiowas and Comanches. The plot involves two young men, White Eagle (White Parker, son of Quanah Parker) and Black Wolf (Jack Sankey-doty), who are romantically interested in Dawn (Esther LeBarre), daughter of the chief (Hunting Horse). Dawn and White Eagle are in love but the chief says she also must consider Black Wolf for marriage. Lastly, Red Wing (Wanada Parker, daughter of Quanah Parker) is in love with Black Wolf.
The Kiowas and Comanches, who had been on the reservation less than fifty years, brought with them their own tipis, horses, clothing, and material culture. The film is significant because it depicts life on the southern plains, showing a buffalo hunt, fight scenes, and ceremonial dances that were considered illegal by the US government, but were allowed because they were part of the movie.
For each title named to the registry, the Library of Congress ensures that the film is preserved for future generations, either through the library’s motion picture preservation program or through collaborative ventures with other archives, motion picture studios, and independent filmmakers.
When constructed, OKPOP will be a 75,000-square-foot, four-story building dedicated to the creative spirit of Oklahoma’s people and the influence of Oklahoma artists on popular culture around the world. Pending approval from the Oklahoma Legislature, the OKPOP Museum could open as early as 2017.
Oklahoma military death index available
The John and Eleanor Kirkpatrick Research Center now has records of Oklahomans killed or missing in military action available online. The compilation of records was originally a project of the OHS editorial department during World War II. Under the guidance of Muriel H. Wright, volunteers clipped from newspapers from all over the state when mention was made that a service man or woman had been killed or was missing in action.
The snippets of data were in some cases either typed on to a 4” x 6” index card or taped to a card and placed in a the official “War Memorial” collection. A modest attempt was made to do the same for the Korean War.
In the 1980s OHS Archives Director Mary Lee Boyle enlisted the assistance of the Oklahoma Department of Veterans Affairs, Mike Mullins of the Vietnam Veterans Association, and students from Francis Tuttle Vocational Technical School to update and make available as complete a list as possible from various records held by the OHS, plus what files were available from Veterans Affairs.
Every effort was made to find information regarding those service personnel who paid the ultimate sacrifice. It is possible some names will be missing from these lists, for that the staff humbly apologizes.
The lists are available at http://www.okhistory.org/research/mildeaths. For information, contact the Research Center at (405) 522-5225 or firstname.lastname@example.org.
Territorial incorporation records available online
The incorporation records for Oklahoma and Indian Territories have been digitized in a joint project with the Oklahoma Historical Society and the Oklahoma Secretary of State’s Office. The ledger books were generated by the territorial secretary as new businesses and municipalities began conducting business. There are twenty-seven volumes of Oklahoma Territory Incorporation Records and fifteen volumes for Indian Territory. Some examples of the entries found in the ledgers include: “Agreement and Incorporation,” “Incorporation Amendment,” “Appointment of Agent, Dissolution,” as well as lease and mortgage transactions. The entries begin in 1890 and continue until statehood in 1907.
The ledgers are available online at http://www.okhistory.org/research/ledgers. For help or more information, contact the John and Eleanor Kirkpatrick Research Center at (405) 522-5225 or email@example.com.
New members, cont’d.
Individual
Penny Buchanan, Walters
Brian Carr, Lindsay
A J Chandelies, Salina
Angela Chase, Oklahoma
Lori Christ, Oklahoma City
Harold Doshier, Leedey
Toni Doughty, Mount Washington, KY
Larry Ebahotubbi, Broken Bow
Gerald Evjen, Locust Grove
Pat Gallowan, Broken Arrow
Larry Gibson, Bismarke, ND
Judy Glover, Broken Bow
Jacob Goins, Tulsa
Richard Greyson, Oklahoma City
Sherri Hall, Hominy
Wendell Harberts, Edmond
Shelly Harvey, Yukon
Ronald Hise, Ardmore
Trey Hobbs, Wright City
Jerry Holdt, Clinton
Jessica Hough, Broken Bow
Dickey Howard, Enid
Derek Hubbard, Broken Bow
Michael Karr, Tulsa
Robert Kershaw, Muskogee
Juanita Krause, Edmond
Lois Lanier, Fort Towson
Jason Martin, Tulsa
Carol Martinez, Blackwell
Cleo Mccleve, Clinton
Larry Miller, Edmond
Barton Morrison, Reston, VA
Katherine Mraz, Muskogee
Yolanda Munoz, Tulsa
Cathleen Norman, Palmer Lake, CO
Lewis Parnell, Muskogee
Dustin Roper, Ardmore
Heather Roquemore, Ponca City
Guadalupe Ruiz, Hennessey
Vickie Sheffer, Tahlequah
Marvin Smith, Tulsa
Sill Snodgrass, Chouteau
Robert Terry, Duncan
Ann Thompson, Oklahoma City
Kristin Tschida, Lawton
Ashley Washington, Wright
Larry Washom, Claremore
Richard Watson, Skiatook
Richard Watson, Fort Towson
Ellen Wheatley, Oklahoma City
Courtney Williams, Collinsville
Mrs. George Williams, Tulsa
Marti Williams, Seminole
Timothy Wood, Seminole
Tanya Worbes, Altus
Brittany Young, Ada
Jason Zwick, Woodward
Organizational
Northwestern Oklahoma State University, Alva
Rose State College LRC, Midwest City
Tourism Information Center, Erick
Follow the OHS on Facebook and Twitter
Want more information about events, exhibits, programs, archives, workshops, photos, and interesting stories daily? Follow us on Facebook at https://www.facebook.com/okhistory and Twitter at @okhistory.
Twenty-year members renew in December
Listed below, with the date they joined the OHS, are people and organizations that, when they renewed their memberships in December, have been members twenty or more years. Their long-term loyalty is most sincerely appreciated!
Darthmouth College, Hanover, NH, October 1, 1972
University of Texas, Arlington, TX, October 1, 1972
Edmond Library, Edmond, October 1, 1972
University of Houston, Houston, TX, October 1, 1972
Miami University Library, Oxford, OH, October 1, 1972
State University of NY at Albany, Albany, NY, October 1, 1972
Iowa State University, Ames, IA, October 1, 1972
Midwest City Library, Midwest City, October 1, 1972
University of Tennessee Library, Knoxville, TN, October 1, 1972
BYU / Harold B Lee Library, Provo, UT, October 1, 1972
Colorado College, Colorado Springs, CO, November 1, 1972
Kansas State University Library, Manhattan, KS, November 1, 1972
Texas A&M University, College Station, TX, November 1, 1972
Fort Hays State University, Hays, KS, November 1, 1972
Emory University, Atlanta, GA, December 1, 1972
Western Kentucky University, Bowling Green, KY, December 1, 1972
Northern Illinois University, DeKalb, IL, December 1, 1972
Carl Albert State College, Poteau, January 2, 1973
Muskogee Public Library, Muskogee, September 1, 1973
Wichita State University Library, Wichita, KS, November 1, 1973
University of Central Oklahoma, Edmond, December 9, 1973
University of Maryland, College Park, MD, December 1, 1974
Western Oklahoma State College, Altus, December 1974
University of Chicago, Chicago, IL, December 1, 1974
University of Tulsa-McFarlin Library, Tulsa, February 1, 1975
Eufaula Memorial Library, Eufaula, March 1, 1975
Brandeis University Library, Waltham MA, March 1, 1975
Western Carolina University, Cullowhee, NC, May 1, 1975
Arkansas State University, State University, AR, January 1, 1976
University of Wyoming Libraries, Laramie, WY, September 1976
Stephen F Austin State University, Nacogdoches, TX, November 1, 1976
Marjorie Breidenbach, Broken Arrow, December 1, 1976
Old Greer County Museum, Mangum, June 1, 1977
Mary Blochowiak, Edmond, June 3, 1978
Southern Nazarene University Library, Bethany, March 1, 1979
Woodward Public Library, Woodward, June1, 1979
University of Central Florida, Orlando, FL, January 1, 1981
University of Kentucky, Lexington, KY, December 1, 1981
California State University, Chico, CA, December 1, 1981
Dallas Public Library, Dallas, TX, December 1, 1981
Laquitta Ladner, Burneyville, April 1, 1982
University of California, Davis, CA, June 22, 1982
Stanford University, Stanford, CA, November 2, 1982
Southwestern Oklahoma State University, Weatherford, December 1, 1982
University of Mississippi, University, MS, March 1, 1983
Denver Public Library, Denver CO, February 1, 1984
Tablequah Public Library, Tablequah, December 1, 1984
Northeastern OK St University-John Vaughn Library, Tablequah, December 1, 1984
University of Texas, Austin, TX December 1, 1984
Saint Louis Public Library, Saint Louis, MO, January 2, 1985
Arizona State University, Tempe, AZ, December 2, 1985
University of Oxford, Oxford EN, December 9, 1985
Linda Starr, Norman, December 23, 1985
Purdue University, West Lafayette, IN, January 1, 1986
Oklahoma City Community College, Oklahoma City, January 1, 1986
Assemblies Baptist University, Shawnee, January 1, 1986
California State University, Sacramento, CA, January 1, 1986
Joseph Scheller, Oklahoma City, March 31, 1986
Atoka County Historical Society, Atoka, August 21, 1986
Stephen Parker, Oklahoma City, September 22, 1986
Vann Greer, Oklahoma City, October 27, 1986
Joe Ford, Lawton, October 31, 1986
Mary McCormick, Seminole, November 20, 1986
Becky Meyer, Norman, November 24, 1986
K. A. Klopfenstein, Fort Smith, AR, December 9, 1986
Stillwater Public Library, Stillwater, December 11, 1986
Geraldine Gesell, Knoxville, TN, January 8, 1987
University of Georgia Library, Athens, GA, January 28, 1987
Texas Christian University, Fort Worth, TX, May 7, 1987
Margareth and Corie Delashaw, Marietta, November 3, 1987
J F Henderson Library, Westville, December 7, 1987
Northeastern Oklahoma A&M College, Miami, January 19, 1988
Janice Johnson, Edmond, June 13, 1988
Oklahoma State University, Stillwater, November 9, 1988
Towana Spivey, Duncan, November 21, 1988
Shawnee Public Library, Shawnee, December 6, 1988
Norman Public Library, Norman, December 6, 1988
Donald and Grace Boulton, Oklahoma City, December 15, 1988
Cecil Smith, Austin, TX, January 5, 1989
Southern Methodist University, Dallas, TX, February 9, 1989
Mary Fisher, Tulsa, October 11, 1989
Van and Liz Hughes, Edmond, November 22, 1989
Jeanne Shirley, Del City, November 28, 1989
Ann Lemert, Cedar Vale, KS, December 4, 1989
David Smith, Anoka, December 19, 1989
University of Missouri, Saint Louis, MO, March 26, 1990
Roger Hardaway, Alva, December 17, 1990
Ann Alepaugh, Oklahoma City, December 18, 1990
Dennis Peterson, Spiro, March 12, 1991
Missouri State University, Springfield, MO November 23, 1991
George Verstraete, Oklahoma City, November 25, 1991
Nella Maude Martin, Tulsa, December 3, 1991
Wendell & Rebecca Morton, Stillwater, December 13, 1991
Sharon Peck, Watts, December 31, 1991
Washburn University, Topeka, KS, May 14, 1992
Noble Public Library, Noble, November 10, 1992
Geraldine Sauer, Weatherford, December 11, 1992
Ann Drummond Woolley, Ada, December 31, 1993
St. Gregory’s University, Shawnee, February 23, 1993
Janice Clifton, Ada and Shawnee Brittain, Oklahoma City, April 20, 1993
John Rodenburg, Springfield, IL, August 26, 1993
Gilbert and LaVonne Carlton, Denver, CO, November 2, 1993
Calendar correction
In the January issue of the Mistletoe Leaves the calendar was mistakenly labeled 2013. The calendar of events is for the beginning half of this year, 2014.
Murrell Home living history
The George M. Murrell Home Historic Site is offering a monthly living history program. The 1845 Cherokee plantation home will host a different historical demonstration or activity every third Saturday of the month. The event will occur on February 15 from 10 a.m. to 4 p.m.
Museum visitors will see interpreters in period dress performing tasks in a living history capacity. Guests can expect to see a variety of demonstrations and talk to historians while participating in some of the activities. Topics will cover all aspects of Cherokee plantation life from traditional crafts, cooking, and gardening to animal demonstrations, building trades, and cultural activities.
The living history program is for families and visitors of all ages. Admission to the programs is free, and no reservations are needed.
The Murrell Home is located three miles south of Tahlequah at 19479 East Murrell Home Road in Park Hill. For specific activities each month, like the Murrell Home on Facebook at www.facebook.com/murrelhome. For more information, call (918) 456-2751.
Sojourner Truth Live at the OHC
Join the Oklahoma History Center on Thursday, February 27, or Friday, February 28, for Sojourner Truth Live. Born a slave, Sojourner Truth was a preacher, suffragist, abolitionist, and more.
Sojourner Truth, real name Isabella Baumfree, escaped from slavery in New York with her infant daughter in 1826. After obtaining her freedom she began working as an abolitionist, women’s rights activist, and pacifist. Through the publication of her memoirs, Truth rose to prominence along with other escaped slaves Frederick Douglass and Harriet Tubman.
With an emphasis on her most famous speech “Ain’t I a Woman,” this program will introduce the audience to a variety of themes through historical interpretation. Thursday the museum will open at 6 p.m. with the performance beginning at 7 p.m. On Friday the museum will host an afternoon matinee at 2:30 p.m. In addition, the museum will host a special student program on Friday morning at 10:30 a.m. This program is designed for eighth to twelfth grade students. Registration is required for all programs. For more information or to make reservations contact OHC Education at firstname.lastname@example.org or (405) 522-3602.
The Loving Story film screening for Black History Month
On February 6 the OHC will be hosting a screening of the Emmy-nominated documentary *The Loving Story* as part of an initiative from the National Endowment for the Humanities and the Gilder Lehrman Institute of American History titled “Created Equal: America’s Civil Rights Struggle.”
The film chronicles the dramatic story of Richard and Mildred Loving, an interracial couple living in Virginia in the 1950s, and their landmark Supreme Court case, *Loving v. Virginia*, that changed history.
There is not an age limit but parental guidance is suggested. The event runs from 7 to 9 p.m. and registration is not required. The screening is free with museum admission. For more information, contact OHC Education at email@example.com or (405) 522-3602.
|
MENTALITY
As we have seen, all Eduardo’s thinking has not come from loose ideas, but from his lived experiences and realities marked by his own life and first-hand witness. Eduardo has always been a restless person, constantly seeking to know the reality of others, in search of the truth, he tried, through “his” truth, to reach the truth of others and thus, to fulfill the truth of God.
Eduardo used to write his experiences, impressions of what he concretely lived, and he would say “I know the reality of life through the perspective of those who do not go to confession.”
His thoughts are thinking lived out and life thought out. So, it is not surprising that practically the whole of his thoughts, are authentic “precepts” that ignite the heart, far before the intelligence.
For those who first know the Cursillos and later the thinking of Eduardo, and for those who will first know Eduardo and later the Cursillos, the same conclusion is reached, the thinking of Eduardo and the Cursillos of Christianity are one and the same reality.
The thoughts of Eduardo and the Cursillos are not a coincidence, they are the result of care, a determined and firm will and desire to take the Good News to all the realities of his daily life.
One of the ways to get to know his thinking is to know his writings, to start selecting some pieces, some of the themes, combined with some ideas published in books and finally a set of phrases that somehow even today indicate much in why the Cursillos are what they are, “A reality not yet realized”, as Eduardo said so many times. Those notecards, writings, books, and phrases could and should serve to make the Cursillos an accomplished reality. By knowing his thinking, this is possible.
Eduardo Bonnín Aguiló was, as he himself said, an “Apprentice Christian”, who dedicated his life to the proclamation of God’s love, valuing people, and going beyond friendship. Eduardo devoted his entire life to the Cursillos. Therefore, we can say that the basis of his thinking and the development of the mentality, the method and purpose of the Cursillos is in this “new” novelty, which we can call Eduardo’s tripod: Christ, person, and friendship.
**Eduardo was consecrated to Christ, the person, and friendship!**
Along this line, the thinking of Eduardo Bonnín is reproduced and transcribed, based on each one of these subjects, followed by others that complete the thinking of Eduardo.
**CHRIST, PERSON, & FRIENDSHIP**
Christ: The Voice and Face of God
When God the Father sent His Son into the world for the redemption of mankind, He also gave us — through Him — the key to discovering the path that could lead each one of us to our most joyous fullness and fulfillment. Christ, in fact, came to us so that we could discover our identity, to illuminate our ability and possibilities and to help us recognize our limitations. In other words, Christ came to us so that we could start feeling and considering ourselves a person.
Christ is the precise, accurate and joyful point, from which the path of life becomes true and real, the point where the truth of life becomes a way that is also life. A life that is manifested in man through the dynamism of his faith, and it takes root in him through hope, and becomes effective through charity.
The reality of Christ is so vast, clear, and transparent, that it cannot remain unknown after having looked at it with clear eyes and a pure heart. In His human figure Jesus carries out the maximum values that man can discern in this world. His moral greatness is drowned within His intellectual depth, and both are, in turn, wrapped in the aura of great beauty and most ardent love.
Jesus Christ, the Messiah, is the only one who keeps us in equilibrium and delivers us from becoming a victim of the “messiah-isms” of the moment: whether it be science, comfort, security, information, technology, consumerism, progress…
Sometimes I think that, perhaps with the best of intentions, we are wrong to believe that Christ became a man and entered history to save the world. I do not think this was His idea — I humbly confess —, I think He became flesh and came to earth to save man, so that man could be happy through his faith in Him.
When Christ is at the tip of the forefront of a human being’s desire, they discover that they are listened to in the uniqueness of their desire, in the originality of their taste, in the creativity of their aspiration.
Christ tells the truth that He is, and He gives support to all other truths. He is the truth that makes all things true. Dostoevsky wrote:
“If they proved to me that the truth is outside of Christ, I would rather stay with Christ than with the truth.”
To stay motivated, we need to approach everything in a personal way. Only the person of Christ, and the Christ that each person is, can elicit a fascinating, attractive, and lasting motivation.
In the Christian perspective, the true, full, and final creation is the incarnation of the Son of God. The parables of the Gospel were proposed by the Lord to imply what He wanted to instill and demonstrate, not for them to be applied outside their situation and context. If a schoolteacher leaves the classroom to go find a student who got lost, chances are that when he returns, he will find an empty classroom.
The truth of Christ helps you discover your truth, penetrating all those layers that hide your most intimate reality, one by one, through the successive levels of your consciousness. The first level concerning the most obvious faults; the covert bad actions; the good deeds performed with bad procedures; the good resolutions adopted with insufficient conviction…
Christ must act in each of us that have been raised by Him. The risen Christ is a living, close and friendly person. Thanks to your living in conscious grace, you’re realizing that He knows you, He is looking for you and is offering you His love, and He wants to accompany you in your everyday life with the light of His word and the gentle thrust of his human tenderness.
To many non-professional people, many current inventions seem to be incredible. To unbelievers, the resurrection of Christ — the best of “inventions” — is unbelievable.
Unlike the teachers who want to demonstrate things, the witness of the resurrection of Christ, limits himself, to show in a spontaneous and natural way the truth of their life, rejoicing in the joy that stems from the fact that it is possible to love all men and women without exception, beginning with the closest ones. He will be gentle with the Gentiles, Jewish with Jews, he will weep with those who weep and laugh with those who laugh; not because he is an “opportunist” but someone who is committed to everyone, because he is committed to Christ.
The Christ we proclaim today is identical to the one we have always been proclaiming since the Cursillo Movement began in 1944. And this Christ is none other than the Christ of the Gospel and the Church; that is the living, normal and close Christ that we have always tried to embody, express and present with full conviction and joyous enthusiasm at our Cursillo weekends.
HE IS ALIVE, because we experience Him in ourselves and in the others. To the extent we consider Him our goal, our purpose and orientation, all of life, ours, and the life of everyone else gradually makes sense.
HE IS NORMAL because He accompanies us in the normality of life, in the ordinary things of everyday life, in the domestic chores, in our daily bread and salt. We can turn to Him in our most difficult hours, but also in times of joy and gladness, which He certainly wants to share with us.
HE IS CLOSE, because He has become one of us and has come to participate in our human condition, and because every time we increasingly marvel at the joyful reality that, by grace, Christ is not just with us or at our side, but in our most intimate depths. It is difficult to speak of God to men. It is better to put them in contact with Jesus Christ and let Him speak to them of the Father.
It is somewhat disturbing that Jesus of Nazareth is remembered more for how he died than for how he lived. The first thing fosters religion, the latter ferments faith. By fostering religion, you obtain money, and churches of stone are built. Fermenting faith doesn’t because sometimes the faith of the person who has been taught grows higher than that which the teacher has. If you teach a person the Lord’s Prayer, and on the next morning he doesn’t remember it, you can admonish him for forgetting it saying, “I am amazed at your forgetting it”, or something of the sort. But if someone has taught a person to have faith, and on the next day their faith is stronger than that of their teacher’s… well, they do not like it, it doesn’t go over well…!
At the Cursillo weekend a triple encounter is offered to each Cursillista: an encounter with himself, an encounter with the brothers and sisters and an encounter with Christ. But until the encounter with Christ occurs, the other two encounters remain in a provisional status.
The encounter with Christ, which Cursillo is seeking and is in pursuit of bringing about, is an encounter with the Christ of the Gospel, who, by Grace is alive, real, and close to each of us. As we gradually grasp this reality in all its truth, we speak of Him to others, because the mouth speaks from the abundance of the heart. We speak to Him in our prayer, and we let Him talk to us so that He may guide our life.
God sent His Word to the world, and this Word took a human form of life. When we talk about Jesus, we generally refer to His miracles - the Sermon on the Mount, the Last Supper or other events that mark out his earthly existence. But we must not forget the thousand and one little details that occurred daily in His life, or that can be read between the lines, because they also belong to Him. He was watching the birds in the sky,
He sometimes ate fish and bread, He looked at the younger son — the prodigal son in the parable — with mercy and understanding, even though he was a rake and a globetrotter, He used to walk a lot, and He got tired, and was able to sleep in a boat during a heavy storm ... the seemingly less important or more marginal things in the life of Christ become God’s word.
God shows His solidarity with men through Jesus Christ, by accepting and sharing their fate and destiny. Jesus has a human face. His person, his deeds and his words are the expression and word of God, the manifestation of God in history.
The characteristic and common differences between men help to enhance men’s mutual admiration if they are centered on Christ and by Christ.
“In His Gospel, Christ has shown the world the supreme goal and the supreme force that should guide men’s action: “love”. With the word of Christ, the human person reaches their highest level, and society finds its strongest and greatest union. “We believe, O Lord, in your word. We will try to follow it and live it out.” (Paul VI in Nazareth).
Let us help build a world in which, if Christ were to be born again, it would be guaranteed that He would reach the age of thirty (i.e. the right to life, to health and food); a world where He could be heard and listened to (freedom of expression and communication, right to work and to human and social development); a world where He could make Himself understood (culture, education); a world where, if possible, He would not be crucified.
The kingdom of God is within each of us. Make room for Him in your heart. “God does not dwell high above — says Juan Ramon Jiménez— but in what is deep and profound”. But Christians often try to place Him elsewhere.
This makes us remain in a state of being eternal seekers, rather than in a state of being conscious and, therefore, happy possessors.
During my life I have known people who, despite lacking everything were happy, and others who had everything they could ask for and were bored to death. This helps me understand the reason why the Lord says that His kingdom is not of this world, and why He places it where He is, where He wants to be and where He feels more comfortable, namely, in the interior of every person, so that, through His Grace, they can overcome their selfishness, pride and ambition and live a Christian life.
The devil, the temptation, is always abstract. The Lord is concrete, and He moves us to make concrete actions concerning specific people. Only what is real, effective, and concrete deserves our attention: a living, normal and close Christ, the concrete brothers and sisters and friends next to us. We make friends with the people living or working nearby, people in our environment. Proximity does not necessarily create friendship, but friendship does create closeness.
Christ must always be the point of reference for every believer who is trying to create friendship with somebody. Christ’s friendship had nothing angelical, disembodied, or dehumanized about it. In Christ, his whole being is a clear language of love and tenderness.
People are gradually discovering that everything that is natural, normal, and human happens to be meaningful, valuable, flavorful, and colorful. In connection with Christ all these values cause the emergence of a progressive astonishment aroused by everything that is genuine and true, and a growing admiration caused by what is real; as well as a crystal-clear joy produced by the echo of truth.
When we perceive the echo of truth we should not doubt: It is the Lord! A Christian person has experienced the breath of God that “when it passes us by, it leaves us with a longing for glory”.
It is wonderful that Christ has redeemed us. But perhaps the event of our redemption overshadows a reality that often goes unnoticed: when God became incarnate in Jesus Christ, He gave us the motivation, orientation, and the goal to live fully, making the most of our life. From any point of the compass, in any situation — troubled or not, He is always the Way, the Truth and Life. Being the Way, He is orientation; being the Truth, He is enlightenment; and being Life, He is dynamism, energy, vitality, and strength.
We have to endeavor and prevent the heroic Christ from displacing the domestic, current, everyday Christ, Who gets mixed up with the life of every person and gives meaning to all their actions and a new sheen to the reality of their existence.
When a person has met Christ, and he is gradually placing Him into their life with conviction, decisiveness, and perseverance, there is nothing left for continuing their life as it was before. They can no longer limit themselves to regretting the absurd things that happen in the world: violence, hatred, alcoholism, drugs... on the contrary, all these facts should make them come to that reflective conclusion of Martha and Mary when Jesus arrived at their home: “If you had been here, my brother would not have died.”
When faced with anything that we consider is not in accordance with the will and hopes of God, we Christians must stop to think and say: If Christ and His Grace had been there, wherever, in the heart of that man, that woman, that young man, the one who sells drugs, the one who exploits others ... none of that would have happened. Moreover, perhaps on reflection and to be more precise, we should say: If we Christians would have been able to make Christ known there, wherever, in that place or that other one, these very sad and terrible things that are happening to those brothers and sisters, would not have happened, would never happen.
We know well that the Cursillo Movement is one among many other Christian Movements out there, but it is perhaps the only one whose goal — although not exclusively — it is to approach the “far away”, not by offering them an imposed religiosity — which only aspires to be repaid by a gregarious, impersonal, and previously coined reaction — but by offering them a real encounter with the Christ of the Gospel and of the Church.
What we want is that the laity — which is formed by the vast majority of common men and women — may meet the living Christ of the Gospel, in the place where they are and in the simplest way possible, and that, feeling united with Him by grace, the direction of their life may change and they learn to delight in and savor their life, but without moving away from where they live.
(Reflections II, pp. 27-35)
Cursillo de Cursillos – Opportunities and Benefits
Eduardo Bonnín, Founder of Cursillo, traveled the five continents to spread Cursillo world-wide. During his travels, Eduardo was confirming that Cursillo was starting to show some misguided interpretations of the original ideas. Eduardo thought he had to do something so that such interpretations would not become irreversible deviations. He felt there was a need to design something for leaders and potential leaders of the Cursillo Movement. Therefore, “In Eduardo’s ‘lab of ideas’, he and some friends prepared the initial outlines for the Cursillo de Cursillos”. The first Cursillo de Cursillos (CDC) was held in Spain in 1957. (Eduardo Bonnín Aguiló 100 Years Biography-Mentality)
Simply stated, Cursillo de Cursillos is a course based on the Foundational Charism of Cursillo. The CDC has provided Cursillistas with a treasure of knowledge and a living experience of what is essential in the mentality, essence, purpose, and the methodology of the Movement. The CDC is offered to those Cursillistas who have the desire to be effective servant leaders in the world. It has provided many Cursillistas with an opportunity to discover the immense possibilities that Cursillo offers the person, the Church, and the world.
Cursillo de Cursillos has helped many Cursillistas delve into the foundational elements of the Movement in light of its Charism. This course follows a schedule and format like the Cursillo Weekend. The course begins on Thursday evening and concludes on Sunday noon. The rollos and Meditations are presented by a team of laity and clergy. Each rollo presented is followed by a dialogue within each table group. Sufficient time is allotted for questions and answers. Each day creates a different environment through the interaction of the Cursillistas in friendship. The weekend provides a relaxing atmosphere with plenty of time for breaks, reflection, personal contact, and daily Eucharist.
Besides an increased knowledge of the Charism of Cursillo, the Cursillistas have enjoyed the opportunity to strengthen friendships and make new friends while sharing their personal experiences in discipleship and leadership. Cursillistas have enjoyed the opportunity to nurture and deepen the three essential encounters with self, Christ, and others which were discovered during the Cursillo Weekend. Like the Cursillo Weekend, the CDC must be lived and experienced to take advantage of its opportunities and benefits.
Cursillistas have responded enthusiastically to the truth and simplicity of the Foundational Charism of Cursillo and through God’s grace, they are inspired to return to their School of Leaders, Ultreyas, and environments to live, witness, and communicate the Good News that God in Christ loves us. This inspiration or response is evident in the Cursillistas as they listen, reflect, share, and freely embrace the true Charism of Cursillo!
Cursillo de Cursillos is the most effective workshop/course available for Cursillistas wanting to learn about the Foundational Charism. The Diocesan Secretariats of the 12 regions in the United States are encouraged to contact their respective Regional Coordinator to request a Cursillo de Cursillos for their community. The goal of Cursillo is to communicate God’s love through friendship in the moveable square meter (environment) where God has placed us at this exact moment. Make the decision today to attend a Cursillo de Cursillos and allow the Charism to form you, inform you, and transform you. Christ is still counting on you!
In Christ’s Friendship!
The National Secretariat & Staff
Communicating God’s love through friendship, Eduardo’s visit with Lupita
Hello, my name is Concepción Ruiz, but everyone calls me Conchita. I lived my Cursillo in October 1977, in the Archdiocese of Los Angeles, California, and the following year we had the privilege of meeting Mr. Eduardo Bonnín, and from the beginning a great friendship grew between us.
I would love to tell you an anecdote of many that we spent at his side. Around 1995, in a Regional Meeting, I met a woman named Lupita. Joyful and in love with Our Lord since she had lived her Cursillo. She belonged to the Diocese of San Bernardino, California, and as time went by we learned that she had been diagnosed with terminal cancer and had little time left to live.
In those days Eduardo had been invited to a meeting in the San José Area to celebrate an event I don’t remember what was being held, and almost every time he came to California he liked to stay at my house (I am not bragging). He liked to stay with us and we would take him to the different places he was invited. It happened that Lupita found out and her dream was to meet Eduardo. She liked to write a lot and started to write a lot of little letters to Eduardo, and she convinced her doctor to give her permission to travel to San José to meet Eduardo, and she told him that she would ride in the back seat the whole time. San José is about a five-hour drive from Los Angeles. They were a very humble family, but among their friends they managed to get someone to lend them a big car and a camera to film their meeting. Well, everything was planned this way, but before the weekend our friend Luis Balmaseda, who had been the lay director of Los Angeles, had moved to San Bernardino and who was also a friend of Eduardo’s, invited us to dinner. The drive is about 2 hours from where we live, when we arrived we were talking and he told us about Lupita’s situation, which was quite serious, and since dinner would take a while Luis suggested that we go to visit her, we agreed and went to her house. She could not get up, but when she heard who was in her house, she got up, got dressed up and went out with so
much love to meet the one who for her was almost an impossible dream because of her health condition, but she did not lose faith or the hope that God would grant it to her. It was very moving to see her young son recording everything with the borrowed camera. She gave Eduardo a big hug and then they sat down to talk a little far from us, and she gave him all the letters she had written to him. We didn’t stay long because her health was very delicate. We said goodbye and went to Luis’ house for dinner. Then we went to the school and while we were there they told us that she had just passed away. And Eduardo’s words were: IF GOD GAVE ME THE OPPORTUNITY TO MAKE THIS TRIP JUST TO MEET LUPITA, IT WAS WORTH IT. This is just one of many beautiful experiences that we had with Eduardo in the more than thirty years of living with him, and for me, whether they beatify him or not, I will tell you that I met a Saint.
De Colores,
Conchita Ruiz
Thank you so much for attending previous National Encounters. I hope you enjoyed every moment of the unforgettable event packed with friendship, love and grace from the Lord!
I’d like to invite you again to celebrate the 65th Cursillo anniversary with us at the 32nd National Cursillo Encounter, which will be held at Chapman University in Orange, CA from July 21-24, 2022.
The National Encounter Committee and Cursillistas in Region XI are enthusiastically preparing for this special National Encounter, which is expected to be a fully packed event with more than 900 Cursillistas, both clergy and laypersons, from the United States’ Cursillo multiple language groups of English, Spanish, Vietnamese, Filipino, Portuguese, Korean, and Chinese!
The registration fee is currently $375 per person and it will increase to $415 after June 15. Please register early to secure your seat at this special Encounter. For more information about the encounter registration, agenda, FAQ etc., please see the links below: https://www.natl-cursillo.org/encounter2022/(English) (Spanish)(Vietnamese).
It is expected to be a fully packed National Encounter as we celebrate the 65th Anniversary of Cursillo in the United States. The National Secretariat and National Staff are looking forward to seeing you and sharing with you at 32nd National Encounter!
De Colores!
Nadia Lopez
National Cursillo Service Administrator
CELEBRATING 65 YEARS OF THE CURSILLO MOVEMENT IN THE UNITED STATES & THE 32ND NATIONAL ENCOUNTER
DATES: JULY 21-24, 2022
REGISTER TO SECURE YOUR SEAT TODAY @ www.natl-cursillo.org/encounter2022/
NEARBY AIRPORT: JOHN WAYNE AIRPORT, SANTA ANA, ORANGE CALIFORNIA
ENCOUNTER LOCATION: CHAPMAN UNIVERSITY, ORANGE CALIFORNIA
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Policy Mechanisms to support the large-scale deployment of Carbon Capture and Storage (CCS)
9th May 2018
Element Energy Limited
Bishop Bateman Court,
Suite 1, Thompson's Lane,
Cambridge, CB5 8AQ
Tel: 01223 852499
Fax: 01223 353475
Vivid Economics Ltd
26-28 Ely Place
London EC1N 6TD
Tel: +44 844 8000 254
# Contents
1 Executive summary .......................................................... 1
2 Introduction ........................................................................... 6
2.1 Objectives ........................................................................ 6
2.2 Scope of work .................................................................. 6
2.3 Approach to the work ...................................................... 6
2.4 What is new and how this work builds on previous work .... 6
2.5 Structure of the report ..................................................... 8
3 Overcoming the causes of inaction on CCS ............................ 9
3.1 The failure to achieve concerted action on CCS ............... 9
3.2 The conditions for collaboration ..................................... 11
4 CCS deployment roadmap ..................................................... 16
4.1 The need for scale-up and roll-out phases of deployment ... 16
4.2 Scale-up: definition and objectives .................................. 17
4.3 Roll-out: definition and objectives ................................... 18
5 Assessment of policy instruments .......................................... 18
5.1 Selection and function of policy instruments .................... 18
5.2 Phasing of policy instruments ......................................... 21
5.3 Policy assessment ......................................................... 23
5.4 Decision making rules and CCS policy ............................ 33
5.5 Distribution of costs ...................................................... 34
5.6 Risks and financeability ............................................... 35
5.7 Infrastructure ............................................................... 37
6 Policy case studies: regional assessment ................................ 39
6.1 Introduction .................................................................... 39
6.2 India .............................................................................. 40
6.3 USA .............................................................................. 41
6.4 Saudi Arabia ................................................................... 42
6.5 China ............................................................................. 42
6.6 Europe ........................................................................... 43
7 Detailed Discussion ............................................................. 45
7.1 Introduction .................................................................... 45
7.2 CCS obligation ................................................................ 45
7.3 Environmental performance standard ............................. 56
7.4 Public procurement ....................................................... 58
7.5 Tax credits ...................................................................... 59
8 References ........................................................................... 61
Authors: Element Energy and Vivid Economics
For comments or queries please contact:
email@example.com t: +44 (0)1223 852499
firstname.lastname@example.org t: +44 (0)330 119 0982
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**Element Energy**
Element Energy is a leading low carbon energy consultancy working in a range of sectors including carbon capture and storage, low carbon transport, low carbon buildings, renewable power generation, energy networks, and energy storage. Element Energy works with a broad range of private and public-sector clients to address challenges across the low carbon energy sector, and provides insight and analysis across all parts of the CCUS chain.
**Vivid Economics**
Vivid is a specialist consultancy working globally at the nexus of business strategy and public policy, providing clients with robust evidence-based analysis communicated effectively to clients and their target audiences. It has a wealth of experience across major sectors, especially energy, natural resources, industry, transport, cities and urban infrastructure; as well as public and private finance in these sectors.
This study was prepared on request by the Oil and Gas Climate Initiative (OGCI). The views expressed in this report, including its conclusions and recommendations, do not necessarily represent the views of OGCI or its member companies. Whilst every effort has been made to ensure the accuracy of this report, neither OGCI, its member companies nor Element Energy and Vivid Economics warrant its accuracy or will, regardless of its or their negligence, assume liability for any foreseeable or unforeseeable use made of this report which liability is hereby excluded.
1 Executive summary
The brief
Element Energy and Vivid Economics have assessed policy mechanisms that could accelerate the deployment of Carbon Capture and Storage (CCS) to the scale required to meet climate change targets. The report begins by considering why, despite the central role that CCS plays in many deep decarbonisation trajectories, CCS has failed to build momentum. Having identified the problems, the work lays out policy and market mechanisms that could stimulate investment across the stages of deployment, acknowledges regional circumstances, and suggests principles that could help governments and firms to collaborate. Note that in this report CCS includes CCUS (carbon capture, utilisation and storage) in those cases where storage is permanent.
The situation
For the most part, CCS has not progressed beyond the demonstration stage, with stakeholders hesitant to commit the resources necessary to scale-up and roll-out deployment of the technology. This hesitant progress reflects several characteristics: the large financial magnitude of individual investments, the creation of new networks, the relatively high level of perceived technology and real commercial and policy risks, together with the often tentative commitments of governments to deep decarbonisation investments. Furthermore, the deployment so far has not yet established a learning curve of cost reduction. By recognising that CCS deployment is a shared beneficial endeavour, public and private sectors can collaborate to achieve deployment. There is experience in other low carbon technologies where such joint commitments have supported the deployment of technologies at scale, using commercial business models.
Carbon pricing appears insufficient to deliver CCS commercially. This is due to a number of reasons. First, CCS is not the lowest cost abatement option available today in a number of sectors, but it is expected to be needed as part of the least cost deep decarbonisation programme in those sectors in the future. For example, in the power sector some renewables are lower cost than CCS today. Second, carbon prices today are not high enough to incentivise CCS. A high carbon price in the future is too distant and uncertain to incentivise the near term CCS development that is necessary to prepare the way for widespread deployment in the future. Last, a carbon price only addresses the externality of CO₂ emissions, whereas there are a number of other market failures, such as counterparty risk and natural monopolies, which also merit intervention.
Deployment of CCS will reduce the cost of achieving climate targets. The precise scale of contribution that CCS will make to addressing climate change remains uncertain, but a common finding across technical and modelling studies such as IPCC AR5 and the IEA CCS scenarios is that CCS is vital to reducing emissions at lowest cost. In industry, CCS is the only way to decarbonise some sectors.
In order for CCS to be contributing at scale in the period 2030-2035, immediate action is needed. Unfortunately, momentum in CCS deployment is currently low. A principal cause is that the dialogue between stakeholders has articulated the costs of CCS, without sufficiently articulating its value. There is need to demonstrate CCS across a range of applications, and though there have been notable project successes, the abandonment of some CCS support initiatives together with some high profile project cost and delivery over-runs has made investment in CCS appear high risk in some jurisdictions. Support of CCS now carries reputational risk for both politicians and for managers within the private sector, principally where offers of public support have failed to reach
contractual close in the past. Meanwhile, governments can meet near term policy targets, contribute to longer term decarbonisation goals, and enjoy unit cost reductions from renewable energy, at low risk.
**The choice of policy instruments**
The work began with a comprehensive set of policies that were assessed against three criteria:
- **Feasibility**, that the policy passes a minimum standard of acceptability to private and public investors.
- **Efficiency**, minimising cost or making maximum use of efficient pore space; and
- **Effectiveness**, ability to deliver a fleet of operating CCS projects.
Four policies were shortlisted. They are: CCS obligation with certificates; emissions performance standard (EPS) with certificates; public procurement and tax credits.
An assessment of the four policy instruments examined their potential strengths and weaknesses. The assessment considered their performance on both a stand-alone basis and in a regional context and found some to be *flexible*, spanning the needs of the scale-up and roll-out phases, and working in several regions; *equitable*, in that both public and private sectors could gain; and *feasible*, in that there are precedents which confer confidence.
**The timing of action**
A scale-up phase of deployment is required to counter a prevailing view that CCS initiatives are risky and the technology is not available in the near term. It is not enough for the technology to be technically available. Market participants must become familiar with a new technology and the contractual arrangements supporting its deployment. The scale-up phase proposed here comprises a limited number of full-scale projects, focussed on improving cost certainty and proving deliverability globally in key application sectors, such as flexible gas-fired power (in regions with high and increasing renewable energy penetration), coal-fired power in baseload applications, iron and steel, cement, and chemicals. A successful track record in the scale-up phase builds trust and reduces risk. Scale-up projects are templates for generic CCS applications with significant cost elements typical of subsequent projects. The roll-out phase which follows has a focus on standardisation and cost effectiveness. The different purposes of these two phases, *risk reduction* followed by *efficiency*, demand distinct policy treatments.
**The viable policy instruments to deliver CCS in the scale-up and roll-out phases**
The viable policy instruments to deliver CCS in the roll-out phase include an obligation, public procurement and tax credits; the choice will be region-specific. It is worth considering the roll-out phase first, because it is much larger in scale, and whatever policy instruments are chosen for the roll-out phase will inform the choice of instruments for the scale-up phase. First, a CCS obligation could deliver CCS efficiently and be gradually implemented from scale-up to roll-out, but requires complementary measures to unlock finance. Second, government can directly procure CCS projects using a competitive bidding process, but this can impose a fiscal burden on the public purse. Third, tax credits could provide an incentive, and are used with some success in the US, though they carry a policy risk due to the fiscal burden on government and the relative political ease with which they can be changed. An EPS cannot be a primary mechanism, because it does not specifically incentivise CCS within the most important sector: the power market. The example of the US Clean Power Plan regulations shows that standards can require new coal-fired plant to fit CCS, but in this example investors may choose to
build other low carbon power generation without CCS. An EPS could be a complementary instrument, for example to tax credits.
A CCS obligation could be a policy instrument for delivering efficiency in the rollout phase for specific regions and market structures. The assessment of the CCS obligation shows that the obligation ensures a target for CO₂ stored can be met and the market element creates efficiency by allowing obligated parties with high CCS costs to fund lower cost CCS opportunities at other sites. However, these strengths do not imply a CCS obligation is the appropriate policy solution in all regions as the weaknesses of the obligation scheme, such as its administrative complexity, may outweigh its strengths in some locations. Public procurement is another leading option. The two can also work together at the scale-up phase, to build trust, using the obligation as a means of tuning the allocation of the costs of procurement. Indeed, market mechanisms cannot work alone in the scale-up phase, because they depend on sufficient market scale. Nevertheless, from the start it is valuable to have a clear future, sustained policy commitment, pathway and set of instruments.
Public procurement could offer strong incentives for CCS projects in the scale-up phase. The inefficiency that may be expected from public procurement, that might be acceptable in the early stages of CCS deployment, could be addressed during the roll-out phase through transition away from public procurement to a market based mechanism. Not all jurisdictions will wish to make this transition and some may not possess the scale or capabilities to do it.
Tax credits show promise in mitigating first-of-a-kind costs and could have wider use. An example is their use in conjunction with a tradeable obligation scheme, when CCS costs are expected to fall over time. Tax credits for initial capital expenditure can make the initial capital outlay more manageable, with the obligation and certificate revenue covering operating costs. Without tax credits that begin generously and taper down over time, the certificate price might fall steeply over time, making financing difficult. Tax credits could have a wider, longer-term role to play in enhancing the commercial returns to investment along the CCS chain even after the first generation of plant have been built.
Care has to be taken in the design of policy instruments to avoid unintended consequences. A poorly-designed instrument could encourage carbon-intensive emitters to increase their share of production, to the detriment of the total quantity of emissions released, when a well-designed scheme would not. This problem is easily avoided by paying only for the CO₂ that is stored below the emissions of a benchmark carbon-efficient production technology.
Design features such as price floors and ceilings as well as complementary instruments such as advance market commitments may mitigate policy risk and provide initial liquidity. Following the well-established economic principle of using one policy per market failure, a package of measures emerges in which several instruments each addresses one aspect in which the market or another policy might fail.
There is no one-size-fits-all package. Jurisdictions may choose policy mixes based on several considerations. Jurisdictions will have their own preferences, considering: policy culture; market size; market structure; endowment of institutional capability, technical skills and pore (storage) space. These regional circumstances are illustrated in four places. In India, public procurement suits the state-owned enterprises and absence of market mechanisms. The same is true in China, although China is actively testing carbon pricing market mechanisms. Saudi Arabia’s high market concentration and state ownership makes public procurement seem most feasible. In contrast, the culture and practice of
North America and Europe suit market mechanisms, suggesting a CCS obligation with tradeable certificates, supplemented by tax credits.
**Government can support investment by taking on long term CO₂ storage liabilities which are highly challenging to privately adopt or insure.** Certainly the long-term post-closure liabilities could be transferred to government, and the geological leakage risks during the filling of the store could perhaps be managed through a limited liability mechanism. It may be more equitable for CO₂ storage post-closure costs to be covered by an independently managed fund into which storage site operators and government pay over time, rather than accumulating costs for future taxpayers.
**The conditions for collaboration**
Successful cooperation relies on the expectation of a future agreement. The conditions for a future collaboration are mutual self-interest, urgency, experience of past successful arrangements of a similar nature, and a mechanism to encourage compliance over time. The next steps for parties are to determine the key terms of such collaborations.
**The debate around the value gained by developing CCS remains immature but appropriate decision making tools are available.** The question is whether there is greater value from backing CCS or from not backing it. Recognising this, governments can compare future costs and policy arrangements to deliver a 2°C goal using CCS with scenarios in the absence of CCS. They can then apply an appropriate decision making analytical framework, for example, the minimum regret or maxi-min rules, which suit a cautious decision-maker by avoiding the worst outcomes. In doing so, they might have more success in informing decisions.
**The cost of CCS deployment will have to be shared, and here too, agreement over principles could lay the foundation for subsequent discussion of details.** The principles of distribution of costs are to seek the widest funding base (affordability), make the polluter pay, place the incentive closest to the mitigation decision, ask for contributions from beneficiaries and assign risks to those who have most control of the risks and the appetite to bear them. Applying these principles, all parties must contribute to costs, but the burden shifts over time onto consumers. Industry and government pay more at the outset, reflecting that business is developing an option that maintains the value of its underground and over-ground assets and that government is acting to create an option for future consumers. Those future consumers will benefit and they will pay the majority of future costs. In practice, cost can be shifted to the private sector via a levy or, in the case of an obligation, a declining level of government certificates purchase.
**Government has an important role in reducing or adopting risks from the private sector and coordinating delivery as CCS scales up, although effort can shift towards the private sector over time, achieving more efficient outcomes.** By signalling the transfer of these roles to the private sector in advance, alongside overall policy direction and timelines, governments help to build confidence and strengthen the pool of projects under development.
| Term | Definition |
|-------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Carbon capture and storage (CCS) | The process of capturing CO₂ and transporting and storing it so that it is not released into the atmosphere. |
| CCS certificates | Tradeable certificates representing a certified t/CO₂ stored. |
| Consumers | Consumers of final goods and services in the economy. |
| Emissions performance standards (EPS) | A policy instrument which sets maximum emission standards for specified emitters. |
| Obligations | A policy instrument which obliges a party, for the purposes of this report, to surrender a number of CCS certificates each year. |
| Policy instruments | Interventions by the government in the economy to achieve certain objectives. |
| Private sector | The for-profit sector of the economy not part of state control. |
| Public procurement | The purchasing of goods or services by the government. Note that this refers to the government performing the act of purchase; it may levy the private sector for the necessary financial resources. |
| Public sector | The sector of the economy controlled by the state. |
| Roll-out phase | Roll-out succeeds the scale-up phase. The technology builds sufficient track record to access capital at reasonable market rates. Furthermore, a sustained CCS industry supply chain capable of delivering sufficient installation rates is built up. |
| Scale-up phase | During the scale-up phase of technology development, a technology moves from demonstration to commercial scale projects. For CCS, the scale-up phase consists of around 15 to 20 CCS projects with an indicative capital investment of $30 billion. |
| Storage liability | The liability for any environmental or other damages arising from storing CO₂. |
| Tax credits | A policy instrument which provides reductions in the tax liability of a tax payer for fulfilling defined criteria. |
2 Introduction
2.1 Objectives
CCS has strategic value in contributing to a low carbon energy supply though progress towards its acceptance to date has been slow. In the last 15 years, the annual global CO₂ storage rate doubled to a 2017 value of around 37Mt/year. However, most policy-driven greenhouse gas emissions trajectories require CCS to deliver 1,000-2,000Mt/year by 2030, a hundred-fold increase over the next 15 years\(^1\).
A shortlist of policies has been evaluated which might be effective in supporting CCS deployment at this scale. This report, examining key CCS policies which might be effective from both a government and an industry perspective, supports the accelerated deployment of CCS technology and make a meaningful contribution to climate stability.
2.2 Scope of work
There is a substantial existing literature on CCS policy which this report acknowledges and builds upon. The premise of the work is that the policies currently in place across the world have not supported deployment at a rate sufficient to contribute to climate stability, for example, the ETS in Europe has been in place for over a decade without incentivising meaningful CCS deployment. Historically, carbon prices have fallen well short of levels required to cover the additional costs of CCS and so have not supported deployment of the technology. For example, over 10 years the EU ETS price has decreased from around 25 to 5 €/tCO₂, whereas CCS power applications require around $80/tCO₂ for commercial viability\(^2\). So the challenge taken up in this work is to find ways to strengthen policies. Since CCS may be deployed globally and in a number of sectors, the scope of analysis is international, multi-sectoral and multi-fuel.
2.3 Approach to the work
Government and the private sector already recognise that CCS deployment is a shared endeavour. Yet the distribution of responsibilities between them has not yet been resolved. It is critical to understanding the slow progress of CCS. Therefore, this work deliberately examines the policy constraints and opportunities from both public and private perspectives, exploring which options and processes might lead to agreement. The work gains insights from analogies with renewable energy supply (RES) technologies, in particular the rationale for and performance of policies in that sector.
2.4 What is new and how this work builds on previous work
While there is an extensive literature on CCS policy mechanisms, the policies which deliver accelerated deployment of CCS have yet to emerge. It would be an error to think that all private and public parties believe that the case for large scale CCS deployment is clear. Although there is strong evidence in favour of the case for CCS, its current relatively high unit costs and perceived novelty have discouraged commitment. To date, policies have focussed on individual CCS projects and associated infrastructure. These individual projects have tended to be large and complex and hence challenging to deliver.
This report explains that the vital case for CCS has yet to be made, and concludes that the technology is in a post-demonstration, pre-commercial state with stakeholders unwilling to commit resources to increase its scale. Taking public and
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\(^1\) Energy Technology Perspectives 2017, 2DS and BSDS scenarios. [www.iea.org](http://www.iea.org)
\(^2\) CCS Cost trends, Rubin et al. 2016
private stakeholder perspectives, this work identifies core issues behind the slow development of the technology, and focuses on policy instruments and processes which address these issues.
**Even during early deployment, it is critical to identify a path towards full and large scale deployment.** Clarity of direction helps players coordinate and reduces risk when making commitments. The stages along this path have distinct characteristics. This work examines the effectiveness of market mechanisms during the earlier scale-up phase and later roll-out phase of the technology.
**Previous work has been limited to a high level comparative analysis of CCS policies.** This study undertakes a more detailed analysis of a short list of policies, incorporating regional suitability, the question of who pays, and the issue of value and risk. It also identifies the conditions for collaboration between public and private stakeholders, allowing their combined resources to support the deployment of CCS in an equitable and sustained manner. Table 1 provides an overview of the contributions this study adds to the evolving debate on CCS.
**Recent studies of CCS policy highlight a difference from renewable energy.** Renewable power generation technologies are often deployed solely using incentives for individual projects, such as feed-in tariffs. However, CCS involves building systems of capture, networks and storage, so an approach based on rewarding individual projects is not sufficient. Previous work notes the chain of inter-dependent investment from capture to storage lumpiness of CCS investments (PÖYRY 2013). The UK Government’s statutory advisors recommended a part-chain approach whereby the support for capture is separated from the support for transport and storage (CCC 2015). The CCC’s intention was for developers at each stage to manage their own risks, thinking that this would promote shared infrastructure.
**In 2016 paper, a parliamentary advisory group to the UK Government recommended the establishment of a public company** (Parliamentary Advisory Group on Carbon Capture and Storage, 2016). This group suggested that the CCS Development Company (CCDC) should manage risk across the CCS chain and develop of transport and storage infrastructure. The CCDC would sequence deployment such that multiple projects could connect to network hubs.
**The Norwegian based Zero emissions resource platform argued for a CCS certificate system** (ZERO 2013). In this model, this market based mechanism would be combined with an environmental performance standard which prohibits emissions intensive technologies. A simpler form of the certificates proposal has also been suggested, in which certificates link the extraction of carbon to an obligation to store a proportion of emissions (Stuart Haszeldine 2016).
Table 1 Key contributions of the study
| Section | New evidence | Supporting studies |
|----------------------------------------------|------------------------------------------------------------------------------|------------------------------------------------------------------------------------|
| S3. Overcoming the causes of inaction of CCS | CCS pre-commercial loop | (PÖYRY, 2016) for policy timeline (IEA, 2012) for policy gateways |
| | Conditions for collaboration | |
| S4. CCS deployment roadmap | CCS policy pathways and phases | |
| S5. -5.3 and 6 Assessment of policy instruments | Shortlisting of viable policies and deep dive assessment | Existing high-level policy assessments include (Parliamentary Advisory Group on Carbon Capture and Storage (CCS), 2016) and (ZERO, 2013) |
| | Suggestion and analysis of innovative policies (e.g. tax credits with broadened tax base; EPS with tradeable credits) | |
| S5.4 Recognition of value | Decision-making under uncertainty | |
| S5.5 and 6 Distribution of costs | Assessment of costs | (Haszeldine, 2016) |
| 5.6 and 6 Risks and financeability | Measures to unlock investment | Liabilities and risks are analysed by (PÖYRY, 2013) |
| 5.7 Infrastructure | Options for public and private infrastructure delivery | (ZERO, 2013) make the distinction between full and part chain projects and necessary complementary measures |
| 6. Regional case studies | Applicability of different policies in different regional contexts | (ZERO, 2013) analyses the difference between CCS in developed and developing countries |
| 7. In depth analysis | New insights on the details of policy instrument design | |
2.5 Structure of the report
Section 3 explores the root causes of inaction on CCS, identifying four distinct challenges from which emerge the preconditions for effective CCS policy. Section 4 describes a phased approach, with a tightly focussed scale-up phase followed by a roll-out phase. Policies that are effective during the roll-out stage may also have a role to play during the scale-up phase. Section 5 notes the process of reviewing a broad suite of policies and selecting four. Section 5 assesses these shortlisted policies in detail, covering aspects of costs and value, risk and financeability, and infrastructure. In Section 6, a series of regional illustrations shows how policy preferences may reflect political, market and natural resource contexts.
3 Overcoming the causes of inaction on CCS
3.1 The failure to achieve concerted action on CCS
CCS deployment needs to accelerate significantly if it is to play a role in combating climate change. A number of global energy models indicate that to achieve a 2°C climate scenario requires storage of approximately 1,000-2,000 MT CO₂ per annum in 2030\(^3\). This is the equivalent of fitting approximately 30GW of power capacity with CCS each year, comparable to the peak annual coal or nuclear construction rate following the 1970s oil crisis. The CO₂ capture and storage rate in 2016 is estimated at 37 MtCO₂ per annum\(^4\).
The growth rate in CCS languishes far below the required level, having only doubled from a miniscule base in 15 years. The sector suffers from a high rate of attrition in moving from project initiatives to deployment. The sector is highly exposed to policy risk; notable examples including the UK CCS competition and the European NER300 initiatives, neither of which delivered any projects. While a number of operational large scale CCS projects have been realised successfully, such as Sleipner, Quest, Port Arthur, and Petra Nova, it is unfortunate that first of a kind coal power CCS projects such as at the Kemper county facility and Boundary Dam have seen significant cost and/or time over-runs, affecting stakeholder confidence that projects can be delivered on time, to budget and to specification.
CCS technology is proven and in use around the world (GCCSI, 2017). Seventeen large-scale projects are in operation and four due to become operational by the end of 2018. There are a further 16 projects in advanced planning. The world’s first large-scale CCS project in the power sector, at SaskPower’s Boundary Dam facility in Saskatchewan, Canada, has been in operation since 2015. The world’s first steel plant with large-scale CCS was launched in Abu Dhabi in 2016. The Petra Nova coal power CCS plant started up in 2017.
Urgency of action on CCS cannot be overstated. Integrated assessment models show that, to achieve a 2°C scenario, decarbonisation of the power sector must begin immediately, resulting in approximately 75 per cent reduction in power sector emissions by 2040\(^5\). CCS is expected to contribute 15-20 per cent of those reductions. To achieve this, the IEA estimates a near 100-fold increase in CCS capacity is required by 2030.
Economic models suggest that CCS is crucial to meeting global climate targets. The IEA’s Energy Technology Perspectives has repeatedly found that CCS is an essential part of meeting internationally agreed climate targets (IEA, 2014; IEA, 2016, IEA 2017). In the IEA’s 2°C scenarios, around 14 per cent of global electricity is provided by CCS in 2050. The IPCC’s Fifth Assessment Report (2014), which considered over 900 mitigation scenarios, found that most climate models could not meet emissions reduction targets without CCS. These global findings have been replicated at the regional and national level for the UK (UKERC, 2013; CCC, 2010). A substantial number of the model runs are unable to produce a 2°C scenario if CCS is not available (Krey et al., 2013).
Thousands of CCS installations are needed to achieve climate target but only tens are in operation or currently planned. A recent study in Nature Climate Change (2017) assesses the technology deployment requirements in order to meet the 2°C target. The study suggests that the absence of CCS is one of the biggest challenges to meeting the
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\(^3\)Energy Technology Perspectives 2017, 2DS and BSDS scenarios; www.iea.org
\(^4\)‘The Global Status of CCS: 2016, Summary Report’; www.globalccsinstitute.com
\(^5\) IEA technology perspectives, 2016
target. This study is important as it takes into account the latest information on the rapid cost reduction and deployment of wind and solar. Even given these advances, CCS remains vital.
The IPCC (2015) suggests that without CCS, the cost of meeting climate targets would increase by between 30 and 300 per cent. This is supported by the IEA (2012) which estimates that cost of meeting 2°C inflates by at least 40 per cent in a no CCS scenario. The absence of CCS increases costs for three reasons:
- Other sectors would have to pursue more expensive mitigation options. For example, in the power sector, very high rates of renewable deployment are required, and in the industrial sector moving to electricity for high temperature heat in production processes.
- If used in combination with bioenergy, CCS generates negative emissions thereby avoiding higher cost mitigation options.
- Models assume that CCS allows for protracted use of fossil fuels, continuing access to this source of low cost energy.
While the value-based argument favours CCS, it appears high cost relative to some other technologies. A meta-analysis of CCS cost estimates presented costs in terms of both the levelised cost of energy (LCOE) and the cost of avoided carbon (Bassi, et al, 2013) found that:
- LCOEs, used in studies of the use of CCS in the power system, average 100 Euros/MWh for gas, and average around 115 Euros/MWh for coal. Higher costs for coal are a result of higher volumes of CO₂ to be stored.
- The cost of avoided carbon in studies examining emissions reductions across the economy, was estimated for gas at between 65-125 Euros/tCO₂, and for coal at 35-91 Euros/tCO₂.
- In industry, the cost of avoided carbon varies widely by sector, with low costs for industries that have a pure stream of CO₂, for example, around 7-15 euros/tCO₂ for LNG production, and much higher costs for sectors where emissions sources are dispersed or the stream of CO₂ is less pure, for example, in refineries 38-58 euros/tCO₂.
- CCS cost estimates have been increasing over time, based on a meta-analysis of around 50 studies conducted globally (Gross et al., 2013).
The widely-held view of developers of CCS demonstration projects is that CCS technology has been demonstrated and projects can be delivered. CCS developers agree that CCS has moved beyond the technical demonstration stage, as is evidenced by the operational status of an increasing number of large scale facilities. CCS projects, including fully integrated ones, lie within the scale and complexity of integrated oil and gas projects which are routinely delivered to time, budget and specification.
The stalling of CCS deployment is a consequence of the unresolved tension between public and private stakeholder positions; current policies are insufficient for CCS to play any role of significance in combatting climate change. The public sector prefers to wait and see how cost effective CCS will be. Commercial stakeholders hold back investment in a technology with no committed market support and vulnerability to policy risk. This is the state today.
3.2 The conditions for collaboration
Major investment in CCS involves commitment from both governments and energy intensive industries. Substantial up-front investment and ongoing operating commitments are foreseen. These commitments rely on trust, urgency, understanding of future intent, and a strong bond of mutual endeavour. They allow parties to embark on the process of translating interests into a set of enforceable public institutional arrangements and private assets. Yet, none of these foundations will be in place unless two conditions are satisfied.
The two conditions for collaboration between governments and industry are mutual interest and urgency. Furthermore, precedent, although not necessary, is a useful third element.
Mutual interest is necessary because without it there is no potential for collaboration. Citizens, through governments acting on their behalf, and firms have to perceive clear gains in order to invest effort in pursuing a collaboration. Neither party can act alone, but they can act together. Private firms cannot act alone because the benefits are public in nature, not private. The government cannot act alone because the emitting assets and technical know-how is private. Given the limited resources of governments, it is inevitable that the majority of the resources for CCS will have to come from consumers and from firms’ shareholders.
Mutual interest may not be a sufficient condition for collaboration. If one of the parties feels that the other side is unwilling to make a reasonable offer, they may withdraw from the negotiating process. So, sometimes it is easier to begin by agreeing the process of dialogue rather than the outcome itself. In some of the most difficult and critical situations, arbitration is used to define the outcome and establish helpful incentives. The parties agree to a process of binding arbitration and in one of the most successful of the arbitration rules, pendulum arbitration, one of their final offers is imposed by an independent arbiter. The point
here is that governments and firms may wish to consider not only the scope for mutual interest but also the importance of the choice of process for moving discussion forward.
**Urgency is necessary because without it dialogue will be deferred.** In order for an outcome to be achieved at one time, the parties have to prefer to conclude a dialogue at that time than at a later time. For governments to make commitments now, the value to the public of a CCS commitment now has to be higher than one that is deferred. For firms, the value, for the firms themselves, of a commitment now must be higher than the value of one made later. For each side to commence dialogue, it has to be clear that the incentive for the other side is also to progress collaboration at this time. Hence, there is some preliminary work for both sides to understand their own situation and the interests of the other party.
**Although not strictly necessary for collaboration, the existence of a suitable precedent can significantly smooth the path.** A precedent means some previous or similar collaboration which both sides might interpret as establishing a principle or expected outcome. Precedents are helpful because they show what third parties have, in the past, found to be a reasonable division of value. It is easier to defend an outcome which others have previously accepted than to be open to criticism for error. In addition, by identifying precedents, time may be saved in the dialogue.
### 3.2.1 The value of CCS
Among stakeholders there is active debate on the costs of CCS, but the debate around the value of CCS remains immature. Unlike wind or solar power, which also produce electricity, CCS for decarbonisation is solely employed for its CO₂ removal. In the process, costs increase and production efficiency decreases, but the value of decarbonisation, particularly the deep levels of decarbonisation that CCS offers, is not widely understood.
**Recognition of the value case is a precondition to supporting investment and identifying an equitable agreement between government, consumers and firms.** It is difficult to imagine CCS developing at the scale required until there is recognition of the value of its deployment. Integrated energy system models agree that, under a 450ppm climate scenario, CCS allows fossil fuel use to be maintained at current levels (approximately 400 EJ/year\(^6\)) out to 2050. Without CCS, annual oil use may drop by one third, from 120 to 80 EJ/year, and gas use by two thirds, from 135 to 52 EJ/year, by 2050\(^7\). Coal use has already seen a dramatic decline, and in the above scenarios, without CCS, its contribution to the energy system in 2050 is small\(^8\). If the large emitting industries accept that they will face some of the same pressures facing the coal industry now, then CCS may have significant value in maintaining asset values as well as offering society value in access to large low-carbon energy resources. With CCS, a 2°C scenario can be achieved, while maintaining access to hydrocarbons would contribute security, diversification and economic stability during a transition to decarbonised energy.
In order for the public sector to support CCS, it will have to understand the value proposition. A challenge for the public sector in committing to strong decarbonisation policy is the cost, in the short term, it imposes either on its own budgets or on the private sector. This includes the effects on tax receipts from key sectors such as oil and gas. Governments will hope to understand the value to society in return for the commitments they make. Furthermore, they expect their own contributions to leverage much greater contributions from the private sector. In particular, governments may wish to determine the future role of
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\(^6\) Imperial College, *Can Technology Unlock Unburnable Carbon*, 2016, Figure ES1
\(^7\) Imperial College, *Can Technology Unlock Unburnable Carbon*, 2016.
\(^8\) This also aligns with WEO predictions of a 30 per cent decrease in coal use by 2030.
CCS within their own decarbonisation trajectories and explore how investments now might avoid larger decarbonisation costs later (associated with deployment of less cost-effective technologies). The role of CCS in avoiding large decarbonisation costs in the long term is a key aspect of the value of CCS, particularly from the point of view of consumers. CCS enables access to large amounts of low carbon energy, reducing prices of a large amount of consumer goods compared to a decarbonisation scenario with no CCS.
3.2.2 The role of CCS in power and industrial processes
It would be unwise to assume that the future role of CCS is secure. The energy system is dynamic and its future is uncertain. The recent delays in CCS deployment took place while the costs of RES fell rapidly. Recent integrated assessment modelling predicts a smaller role for CCS\(^9\) than similar modelling a few years ago. Some model predictions are that CCS provides approximately 12 per cent of decarbonisation by 2050; if its predicted role falls further it may not be seen as a core decarbonisation technology.
The comparison of CCS and alternatives will change as the power sector evolves. For many regions, decarbonisation means high levels of renewable energy deployment. Increasingly, thermal plant runs in a flexible way as it balances renewable output. However, many current operational and financial models of CCS do not recognise the erosion of baseload run hours. It is no longer appropriate to compare costs on a simple levelised $/MWh basis, but in addition it is correct to include the value of low carbon balancing and capacity services. Increasing RES deployment will rely more heavily on balancing and firming technologies, and the costs of these should be included when considering relative viability. Rather than competing with RES on a $/MWh basis, in many regions CCS will complement renewables, and potentially compete with technologies such as batteries or demand side response. At times of low RES generation, electricity prices may increase, and generators may choose to run without CCS and pay the CO\(_2\) costs. Regions where RES availability is highly seasonal will need more CCS. In contrast, in equatorial regions, with abundant solar and stable diurnal patterns, PV and electricity storage will be more competitive and will demand a smaller contribution from CCS. Regions with high penetration of seasonally variable RES may require flexible gas CCS. Regions where coal use is increasing, such as India, are likely to require continued thermal baseload for some time and coal CCS may have a baseload role there.
In industry, CCS is vital but there are significant unsolved barriers. CCS is the only deep decarbonisation solution available to industrial sectors such as iron and steel and cement production. However, process heterogeneity limits the scope to standardise CCS, and erosion of international competitiveness remains a politically unsolved barrier. Furthermore, modelling suggests that industry will decarbonise more slowly than power. This, combined with decarbonisation achieved through fuel substitution, including electrification, may allow industrial firms to delay investment decisions on CCS.
CCS suffers from the lack of a unified voice to argue its case. Other sectors, such as nuclear power, have been more successful at arguing their case, probably in part because they have a unified industry voice. Also, CCS, in common with many new technologies will be rejected by a sizeable fraction of the population, and a clear articulation of its benefits may balance this. Although CCS embraces a spectrum of process types at capture, as well as the distinct processes of transport and storage, the sector could unite around a limited number of clear issues and thus increase its influence.
\(^9\) IEA technology modelling between 2008 and 2016 decreased the share of CCS in decarbonisation in 2050 from 19 per cent to 12 per cent and increased the share of RES from 21 per cent to 32 per cent.
3.2.3 CCS availability to firms as an abatement option
CCS is technically proven and has passed through the demonstration stage. Stakeholders agreed at interview that CCS technology had matured, so that it now sits beyond the demonstration stage and all its elements have been proven technically. Learning from related sectors shows that stable market demand can accelerate cost reduction, research and development\(^{10}\) and drive cost reductions and performance improvements.
Support for CCS initiatives carries political and reputational risk. Though technically proven, CCS carries political and reputational risk\(^{11}\). Examples of recent failures include:
- UK CCS competition (under tight budget constraints, UK Treasury made a determination that this was not ‘value for money’)\(^{12}\);
- NER300 (where a focus on lowest Euro/tonne drove selection to large, complex coal projects which could not be delivered);
- Projects where budgets and delivery timelines have been significantly exceeded, such as in Kemper county\(^{13}\).
As a result, there is prevalent view that CCS projects are complex and vulnerable to cost over-runs. This is unfortunate given there are successful case studies available (Petra Nova, Quest, Port Arthur).
The public sector believes it has options other than CCS. The government can meet near term climate policy targets, contribute to longer term decarbonisation goals and to impressive cost reduction trajectories by supporting RES deployment, and do so with low reputational risk. For example, in Germany, a feed-in tariff law (EEG) means RES have dispatch priority, and coal-fired power displaces power from gas-fired power stations. It has not been shown that this is a robust strategy for long term decarbonisation. Yet no government has committed to policies that deliver deep decarbonisation, consistent with a 2°C scenario, within which a technology such as CCS may be viable and necessary.
There is an acute need for CCS track record in power and industry. Having emerged from the demonstration phase, the CCS industry can focus on deliverability, achieving reliable cost estimation and minimising operational risk. One way to do this is to focus early efforts on a limited set of archetype projects, where core elements can be repeated, improving confidence in deliverability and costs. These should reflect the expected roll-out of CCS application to ensure they are relevant. The chemical, pipeline, and oil and gas industries have the skillsets to complete this initial step quickly.
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\(^{10}\)Patent activity on NO\(_x\) emission control technology peaked in the 15 years after best available legislation was introduced. ‘Technology Innovations and Experience Curves for Nitrogen Oxides Control Technologies’, Yeh et al. J. Air and Waste management Association 55:1827 – 1838.
\(^{11}\) ‘European politicians are also now wary of advocating a technology that appears to have failed to deliver on its promises’ CCS Institute.
\(^{12}\) This decision has since been heavily criticised, with the UK increasing the risk of not meeting its climate targets.
\(^{13}\) The facility started operation in 2017, 3 years late, and three times over budget and operations were suspended in Q3 2017.
3.2.4 Making the case for immediate action
Short-termism or myopia means that investors, managers and politicians place less weight on the future than society would wish them to. For many reasons, institutions often under-invest in assets which offer long term benefits. This is reflected in the behaviour of elected governments, shareholders and firm managers.
A clearly articulated value case can overcome short-termism or myopia. One protection against myopia is a clear exposition of future scenarios. For example, showing the role of CCS in enabling consumers to rely on coal, oil and gas as sources of energy while meeting climate change targets. Without CCS, models of vigorous policy effort suggest oil and gas consumption might drop by 30 per cent over the next 20 years. In the power sector, models indicate emissions falling by 80 per cent in 20 years.
4 CCS deployment roadmap
4.1 The need for scale-up and roll-out phases of deployment
An analysis of low carbon technology deployment identifies four distinct phases. Using the development of offshore wind in the UK as an example, technologies move towards commercial financeability through several distinct phases. Early stage demonstration focuses on proving that a novel technology works in practice. Scale-up develops archetypal projects near or at full-scale, proving viability and deliverability. The number of projects at this stage is still relatively few. At roll-out, the objectives are to establish a sustainable industry and to build capacity, via a pipeline of projects, multiple developers, and a mature understanding of risks and contracting structures. Once this is established, a mature and stable industry can attract commercial finance on reasonable terms.
Figure 2 Stages of development of offshore wind energy
| Offshore wind stages |
|----------------------|
| **1. Demonstration**
Government funding for turbine demonstration projects e.g. UK Offshore Catapult supporting novel offshore foundations |
| **2. Scaling up**
Increase in physical scale: turbine and farm size, projects in deeper water and further offshore |
| **3. Roll-out**
Establish a project pipeline. Multiple mature project developers (i.e. capable of incurring development costs and risks) |
| **4. Commercially financeable**
Projects receive commercial terms for finance |
CCS has progressed through the demonstration phase but has stalled at scale-up. Only the USA has established projects beyond a demonstration phase. All stakeholders consulted, the wider CCS community, and the public sector, agreed that the sector had completed the demonstration phase. Key elements such as large-scale capture and storage have been proven to work, and there are no areas of fundamental technical uncertainty. The sector is in the scale-up phase but has stalled because there are too many initiatives abandoned (UK competition) or projects over budget (Kemper County). There are regional variations in terms of progress but as a whole CCS development is far slower than projected. The sector has yet to prove its ability to manage the risks associated with delivery of projects. Much of the public sector is struggling with the rationale behind the significant funding required for scale-up, evidenced by the failure of so many current initiatives to proceed.
Figure 3 CCS has passed through the technical demonstration stage, but has yet to become established at the scale-up phase (model is conceptual; some regions will lead others)
| CCS Stages |
|------------|
| **1. Demonstration**
Objective: Technically prove CCS, technical risk is high |
| **2. Scaling up**
Objective: Batch of full scale projects proving viability deliverability globally |
| **3. Roll-out**
Objective: Sufficient track record to access capital, capacity building |
| **4. Commercially financeable**
Objective: Competes for capital on same terms as established investments |
Distinguishing the scale-up phase from the roll-out phase helps to highlight the role of market mechanisms. During scale-up, there is no demand for CCS, because the scale-up stage is needed to prove to stakeholders that the technology can supply to a future market. In roll-out, market mechanisms can come into play, supporting the transition towards a commercial level of deployment.
4.2 Scale-up: definition and objectives
The **scale-up phase** consists of a batch of full-scale projects improving cost certainty and proving deliverability globally in key application sectors in power and industry. They should generate confidence that the technology is a realistic, low risk decarbonisation option and through applications demonstrate the vital role of CCS in meeting climate objectives. The projects maybe templates for key CCS applications with core cost elements transferrable to subsequent projects. To avoid concerns about first mover disadvantage, suitable projects could be sited in any region globally, and maximum learning across regions could be a key objective.
The scale-up phase consists of around 15 to 20 projects with an indicative value of $30B. The International Energy Agency CCS Roadmap from 2013 was built upon the set of CCS initiatives from that time, and as a result, its scope was broad, incorporating all technologies, sectors and applications. The limited progress since then indicates the strategy was not appropriate. The scale-up and roll-out phases in this report are similar in duration and objectives to the ‘Demonstration’ and ‘Early Deployment’ phases described by the IEA in its publications. However, scale-up has a greater focus on controlling and proving costs and lasts a shorter time.
Scale-up projects address all four of the challenges identified in Section 3. By focussing efforts on a limited number of key applications, scale-up projects help all stakeholders determine the value of CCS in these vital applications. By delivering on time and to cost, these projects increase stakeholder confidence, reduce risk, and mature the technology to the point of being a realistic option for policymakers to back. By limiting the number of facilities to a focused set, a rapid deployment can be achieved. Existing facilities which demonstrate on-time on-budget delivery, and successful operation are potential reference plants (for example the $1B Petra Nova project which was delivered on time and budget).
During scale-up, deliverability is more important than choosing lowest unit cost. As with other low carbon technologies, once confidence and cost certainty improves, successive generations of technologies can be expected to deliver cost and performance improvements. At an early stage, selecting the right projects that deliver confidence is more important than a project that promises least cost CO$_2$ storage, but at elevated risk of cost and programme over-runs. Even at this early stage however, it is vital to identify a feasible technology pathway towards these technology performance improvements.
A coalition of the willing could contribute the support necessary at scale-up. Before market mechanisms can support CCS, the scale-up stage will require support from enlightened stakeholders, public and private. The fleet of scale-up plants may need to be deployed in jurisdictions worldwide where such support exists. Scale-up could trial voluntary versions of the market mechanisms that would operate subsequently at roll-out.
The chemical, pipeline, and oil and gas sectors have the skills and experience to implement rapid scale-up. From the consultation exercise, there was broad agreement that the chemical, pipeline, oil and gas sectors have the skills and experience to deliver scale-up projects rapidly. These industries have a good track record of managing large complex projects at scale and at rapid replication. Though scale-up is indicated to extend out to 10 years, projects could be delivered in less time if they are given priority.
A signal of policy intent is required at scale-up. Though a market mechanism may not support scale-up, because it is too early in deployment to expect to see an operational market, nevertheless a signal of policy intent is required at scale-up, to support the initial
investment. This mirrors the need to identify a feasible technology improvement pathway from the start.
4.3 Roll-out: definition and objectives
Roll-out phase: this phase has the objective of building sufficient track record to access capital at reasonable market rates and it creates a sustained CCS industry supply chain capable of delivering sufficient installation rates.
Commitment increases over the period to $50 to 100 billion p.a. With roll-out expected to last 15 to 20 years, the end of roll-out would occur in the 2040s. Model estimates suggest hundreds of full-scale projects being built annually by the end of this period.
In roll-out, the focus increasingly turns towards cost effectiveness. While scale-up is focussed on establishing the CCS industry, roll-out establishes the technology as a competitive decarbonisation option. Although forward looking projects can be setup with clustering in mind during scale-up, focus during scale-up is on delivery and not cost effectiveness. In contrast, roll-out includes a shift in focus towards cost effectiveness and demonstrates economies of scale that come from clustering of projects, and realising value through oversized pipeline infrastructure and sharing of sinks.
5 Assessment of policy instruments
This section presents the assessment of four shortlisted policy instruments designed to encourage CCS deployment during the roll-out phase. Section 5.1 reviews the rationale for policy intervention and the procedure for policy instrument selection. It also provides an overview of the selected policy instruments. The focus of the policy assessment is on policy instruments for the roll-out phase; Section 5.2 presents a discussion of the phasing of policy implementation and argues why roll-out policy instruments are critical to consider now, and how they influence policy choice for the scale-up phase. Section 5.3 then proceeds with a brief overview of all policy instruments, before assessing each instrument individually.
5.1 Selection and function of policy instruments
Policymakers typically justify economic policy interventions as attempts to correct market failures; the primary market failure in the case of CCS is the carbon externality. However, addressing the carbon externality alone is not sufficient to drive emissions down to target levels because of a range of further market failures and barriers to investment. For example, there are market failures in transport and storage infrastructure which have to be corrected. These include natural monopolies, and incomplete contracts in the form of counterparty risk (Pöyry, 2013). Table 2 provides an overview of market failures associated with CCS and potential policies to address these.
Table 2 Overview of policy types and objectives
| Market failure or barrier to investment | Policy instruments |
|----------------------------------------|---------------------|
| Carbon externality | • Emissions trading scheme (ETS)
| • CCS obligation
| • Tax credits or subsidies
| • Sector-specific carbon tax
| • Public procurement
| • Emissions performance standard |
| Barriers to infrastructure investment | **Ownership structure**
| • Government-owned company
| • Public body
| • Private
| **Natural monopoly regulation**
| • Price regulation
| • Quantity guarantees |
| Complementary measures | **Storage liabilities**
| • Liabilities underwritten by government
| • Collective insurance arrangements
| **Storage preparation and maintenance**
| • Storage appraisal
| • Taxpayer-funded post-operation maintenance
| • Independent fund for post-operation maintenance
| **Financial support**
| • Credit guarantees
| • Co-investment equity
| • Debt provision
| • Insurance products
| **Planning consents**
| • Siting arrangements for pipelines
| • Access arrangements |
The four policy instruments analysed here were selected for their relative effectiveness, efficiency and feasibility in supporting the build of CCS. The four selected policy instruments, from a long list of candidate instruments, are graphically summarised in Figure 4, and discussed in detail in Section 5.3. As a preamble, the following provides a headline summary for each policy:
- **Obligation with CCS certificates**: Emitters or fuel suppliers are obligated by law to ensure a certain amount of CO₂ is captured and stored. Certificates are awarded for storage and can be used to meet the obligation and traded freely.
- **Emission performance standards with CCS certificates**. An EPS sets minimum emission standards by which emitters must abide. The tradeable certificates function similarly to the obligation scheme and can be used to meet the standard.
- **Public procurement** entails the government directly procuring CCS. It does not imply the government necessarily funds CCS.
- **Tax credits** are reductions in the tax liability of firms if they perform CCS. Credits can be provided for stored carbon but also for capital investment.
Figure 4 Overview of four policies chosen for further analysis
**Obligation with CCS certificates**
- Obligated parties can fit CCS themselves or trade to purchase cheaper certificates.
- Government may provide a buyout price, creating a floor for certificate value.
- Penalties for not meeting obligation create a price ceiling.
- Government may compensate for price increases.
**EPS with CCS certificates**
- Obligated parties can invest in emissions reductions or trade to purchase certificates.
- Raised product prices.
- Penalties for not meeting regulation create a price ceiling.
- Government may provide a buyout price, creating a floor for certificate value.
- Government may provide compensation for price increases.
**Public procurement**
- Contracts for CCS projects.
- Funding through tax, levies, or allowance sales.
**Tradeable tax credits**
- Tax credits for CCS.
- Funding through tax and/or levies.
- Purchase credits from third parties.
---
**Fuel suppliers or emitters**
- Consumers
**Government**
- Abatement opportunities
**Storage providers**
- Direction of money flow
5.2 Phasing of policy instruments
Phasing is needed because market based mechanisms may not be effective during scale-up. Without a sufficient number and scale of suppliers of CO₂, transport and storage services, a market mechanism will not function well because of the large uncertainty surrounding price and volume. The risk premium demanded by suppliers of first-of-a-kind installations is likely to be higher than any offer, incentivised by obligations or other market instruments, and the market might fail. There are two reasons behind this. First, there are few projects and so there are few transactions. With a thin and illiquid market, in other words with low trade volumes, price formation is inefficient and prices volatile. It is difficult for both buyers and sellers to ascertain what the fair market price is. Second, first-of-a-kind costs are usually significantly higher than the costs of subsequent projects, which means that certificate prices fall over time, making it possible that first-of-a-kind assets will become stranded.
During scale-up, the private sector cannot efficiently bear the risks associated with CCS and hence government may absorb the majority of these risks to encourage CCS deployment. Although technical risk can be further reduced during the scale-up phase, the scale-up phase is necessary to establish and demonstrate the financing, commercial and administrative arrangements surrounding CCS and create the capacity, coordination and trust between emitters, transport and storage providers. So long as these practices are immature, private actors will perceive unacceptable levels of risk.
It is necessary to prepare the roll-out policies during the scale-up phase, in order to plan a smooth transition to a long term CCS market. A clear, early picture of a future CCS market is critical for financing reasons as it allows:
- Private actors to anticipate market conditions and hence investment needs, which is crucial for investor confidence and also a practical necessity given the long lead times of investment in the power and industrial sectors.
- Government to potentially justify public investment during the scale-up phase, some of which may be recouped through the sale of CCS assets during the roll-out phase.
In addition, with a clear future policy design, the scale-up phase can be used to lay and test the foundations of a future market based policy, such as a certification system for stored CO₂. In practical terms, the implementation of a market policy may take five years from inception.
Scale-up and roll-out have distinct objectives and policy needs: Policy support in the early scale-up phase should be focussed on primary objectives of derisking the application of the technology in key markets. To do this, there should be a focus on delivering a limited set of successful archetype projects in a short time. To avoid unnecessary delays, a 10-year time-frame is indicated for scale-up; a focus on deliverability, and leveraging skills of the chemical, pipeline, and oil and gas sectors, would allow this period to be reduced. The transition into roll-out is given by a number of elements such as cost and developed storage capacity, which in combination provide sufficient certainty for private investment. Towards the end of this period, successful confidence building is indicated by the public sector structuring its longer term commitment, by a standardised framework for contracts and liabilities, a pipeline of projects and by the build-up of industrial capacity necessary to deliver these. An indicative timeline for scale-up and roll-out is given below.
Figure 5 Timeline for CCS delivery
**Market mechanisms**
- **Power and industry projects:** Public-led delivery supported by private sector e.g. fund of coalition of the willing
- **Transition to formal scheme:** E.g. establish administrative arrangements for certificate scheme
- Government signalling the long term direction of travel for CCS (market size, types of projects)
- Some nations pursue private-led deployment through obligation or tax credits
**Funding**
- 10-15 projects, $2-3B p.a. for 10 years
- FID on all projects
- Financing structures clarified
- Commitment increases to $50-100B p.a. over the period
- Financing available
- Consumer-funded
**Liabilities and risks**
- Public sector retains long term liabilities
- Model “templates” for liabilities/contracts created
- Standard “templates” for liabilities / contracts available
- Operational data allows transfer of some liabilities to private sector
**Infrastructure & coordination**
- Government maturing / proving regional sink capacity
- Government coordinating strategic T&S infrastructure
- Regional T&S construction
- T&S Expansion – Hub creation
Scale-up: max. 10 years → Roll-out 15-20 years →
5.3 Policy assessment
The following policy assessment focuses on roll-out phase policies. This is partly since market mechanisms are unlikely to function well during scale-up. The focus on the roll-out phase provides a medium and long term direction for CCS development. The transition to a roll-out policy can already be set in motion during the scale-up phase, so the future roll-out policy in part determines policy during the scale-up phase. Hence, alongside each roll-out policy assessment sits a brief comment on the transition between scale-up and roll-out. To complete the picture, the assessment considers the important role public procurement may play.
The policies are assessed along six dimensions, capturing practical elements around the efficiency, effectiveness and feasibility of a policy. The criteria are defined in Table 3.
Table 3 Rating criteria for policy assessment
| Dimension | Definition |
|----------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Strength of incentive | The revenue available for delivering carbon storage and its certainty. Price and volume risk are considered in this category, as well as technology risk if the policy encompasses technologies other than CCS. |
| Financeability and risk | The level of risk the private sector bears. The risks include:
- Development;
- Construction;
- Market; and
- Counterparty.
Policy risk is critical to financeability, but is assessed separately. |
| Policy risk | The risk of government reneging on future commitments. Key aspects include whether the policy imposes a significant cost on government, whether total cost can be controlled, and the legislative ease with which the policy can be changed. |
| Track record | Whether similar policies have spurred capital investment in other sectors. |
| Efficiency | Efficiency is high if key performance metrics (such as the $/tCO₂ cost of delivering CCS) is low.\(^1\) |
| Competitiveness and affordability concerns | Competitiveness concerns arise if high costs are borne by carbon-intensive trade-exposed sectors. Affordability concerns arise if CCS costs raise prices of goods consumed by poor consumers. The distribution of costs is assessed assuming there are no mitigating instruments available to make the distribution of costs less regressive. |
Note: 1 Economic arguments suggest that, because of the uncertain costs of CCS, it is efficient for the policy instruments to become more price based as scale builds (Hepburn, 2006).
Each policy is analysed in turn in sections 5.3.1 to 5.3.4, with a description of:
- key strengths and weaknesses of the scheme;
- a transition path from scale-up to roll-out;
- design details;
- policy implementation risks.
5.3.1 Obligation with tradeable CCS certificates
The obligation scheme is rated favourably compared to the other policies, with particular strengths in policy track record and efficiency. The following paragraphs highlight key strengths and weaknesses along criteria described in Table 3, with the assessment presented in Table 4 and Figure 6. A more detailed discussion is laid out in Section 7.2.
A tradeable obligation scheme allows price discovery and can be effective and efficient in a large market. By allowing trading of CCS certificates, CCS investment is channelled to where it is most productive. That is, obligated parties who face relatively high costs per tonne of CO₂ can elect to purchase certificates from operators who can perform CCS at lower cost, improving the efficiency of CCS deployment. In addition, past and current obligation schemes have proven effective in spurring significant renewable energy investment in a number of countries, including the US and UK. However, the proposed market mechanism will function well only if the certificate market enjoys a degree of liquidity, which it would lack during the scale-up phase.
Table 4 Assessment of obligation with CCS certificates
| Key features |
|------------------------------------------------------------------------------|
| 1 The incentive acts through an uncertain certificate price, although elements such as a price floor and ceiling can reduce uncertainty. In part chain projects, storage providers face volume risk as they are dependent on CO₂ flow from emitters. This risk also exists for projects where operators capture, transport and storage, but is internalised within the firm. |
| 2 Government does not absorb any risks through this mechanism. |
| 3 Tradeable obligations have track record in securing high capex renewable energy investment in a number of countries including the US and UK. |
| 4 Obligations involve the creation of markets and long term legal requirements, which makes reneging on the policy more difficult and costly for government. Instead of abandoning the whole scheme, the main policy risks arise around |
| - The level of the obligation, which drives the certificate price and hence return on investment. Government may be tempted, usually in the face of industrial lobbying, to weaken the price by loosening the obligation. One solution is to introduce a price floor. |
| - The level of financial support from the government, through for instance buying up certificates. Unless contractually obliged, government may be tempted to wind down a certificate buying program more quickly than initially indicated. |
| 5 For large volumes, the market mechanism is likely to allocate resources more efficiently than government. However, a pure quantity instrument may perform less well than a price instrument. |
| 6 An obligation on emitters may raise affordability concerns relating to power consumers and competitively-exposed industrials. These concerns may be smaller for an obligation on fuel suppliers. |
Without further policy support, the obligation scheme places significant risk on the private sector. The scheme rates poorly on financeability. This is because investment revenues depend upon the certificate price, which is uncertain. There are two primary ways for government to reduce this uncertainty:
Government can act as an intermediary for contracts between certificate buyers and sellers, in order to provide volume certainty, see Section 5.6. A further benefit is that this may reduce counterparty risk.
Government can implement a price floor and ceiling for certificates to reduce price uncertainty, see Section 5.6.
**An obligation scheme might be phased in gradually during the scale-up phase.** During scale-up, certification procedures for CO$_2$ stored could be implemented. The government may then start to write payments per certificate into its scale-up procurement contracts, and gradually taper its own demand for certificates as it increases demand from suppliers or emitters by raising the obligation on them.
**There is also an opportunity for government to act as a supplier of certificates, using the CCS infrastructure it procured in scale-up to recoup some of its initial investment.** If the government procures a number of projects during scale-up, it can sell the certificates generated by the stored CO$_2$ to an obligated party, which may be, for example, a power station or fuel supplier. The prospect of these revenues defrays the final cost to government of initial funding during the scale-up phase.
**The placement of the obligation is a key design consideration for an obligation scheme.** Either emitters, such as power generators and industrial facilities, can be obligated, or the obligation can be placed on fuel suppliers. A third option, placement on storers, is less favoured, see Section 7.2.4. In both the emitter and supplier obligations, the obligation might be defined in terms of a percentage of CO$_2$ associated with the fuel. Placing the obligation on fuel suppliers could have three benefits over an obligation on emitters:
- A number of fuel suppliers, particularly some O&G companies, have the technical capability to build and operate full chain CCS projects, performing the capture, transport and storage aspects of CCS, but not all fuel suppliers have this capability.
- If the obligation is placed on *all fuel supplied*, instead of fuel supplied to emitters who can install CCS, the costs of the obligation would fall on a larger base and the burden of CCS would be spread more thinly.
- It may be administratively simpler since there are far fewer suppliers than emitters. However, in some jurisdictions, such as those where an ETS has been implemented, existing administrative processes for emitters would make the additional administrative burden slight.
**On the other hand, placing the obligation on the emitters has an advantage over placing the obligation on fuel suppliers.** The CCS capture plant is associated with the previously emitting plant. For this reason, it is contractually simpler to apply the obligation to the emitter: it reduces counterparty risk. For example, in the situation where the obligation is placed on the fuel suppliers, a fuel supplier may contract a particular steel plant for a supply of CO$_2$. However, if that steel plant reduces production as a result of a decline in the price of steel, and hence its supply of CO$_2$, the fuel supplier remains obligated for the same amount of CO$_2$ but now cannot fulfil its obligation. In contrast, if the obligation is on emitters, the steel plant’s obligation would have been less because it burned less fuel when it decreased production.
5.3.2 EPS with tradeable CCS certificates
The proposed emissions performance standard (EPS) scheme rates relatively poorly on strength of incentive, financeability and policy track record. The paragraphs below discuss these relative weaknesses along criteria described in Table 3, with Figure 7 and Table 5 presenting the full assessment.
An EPS is technology neutral and therefore unlikely to incentivise CCS to the same degree as the other proposed schemes. As shown in Figure 7, the EPS rates poorly on the strength of incentive as the scheme not only involves price and volume uncertainty in the certificate market, similar to the CCS obligation, but also incentivises other technologies, such as renewable power, rather than CCS. This scheme thus sits in between an economy wide emission reduction scheme such as an ETS, without the full efficiency benefits of a broad scope ETS, and the other CCS specific policies, without the benefit of effectively developing CCS by focussing efforts on one policy, discussed in this report.
Table 5 Assessment of EPS with CCS certificates
| Key features |
|------------------------------------------------------------------------------|
| 1 Price and volume uncertainty in the certificate market reduce the incentive to abate, in similar fashion to the obligation scheme. In addition, alternative technologies to meet the EPS can lead to less CCS being deployed. |
| 2 Government does not socialise any risks through this mechanism. |
| 3 An EPS for CO₂ has been implemented in a number of jurisdictions. It has not been combined with CCS certificates anywhere. While it has successfully deterred investment in unabated coal-fired power plants, it has not encouraged CCS investment. For other gasses such as NOx and SOx an EPS has been effective in reducing emissions from thermal generation; however, SO₂ and NO₂ abatement is arguable easier and these standards did not need to encourage significantly different technologies such as CCS. |
| 4 Although government can renege, it has no strong reason to do so since its financial burden is light. |
| 5 In a large market, the mechanism is likely to allocate resources more efficiently than government. This is a quantity mechanism, which may be less efficient than a price mechanism. |
| 6 An EPS imposes costs on emitters, potentially creating affordability issues in power and competitiveness issues in industry. |
The EPS can be defined in terms of average gCO₂/kWh for the power grid, whereas for the industrial sector the standard may be industry specific, such as kgCO₂/tonne product, similar to the ETS benchmarks.
- For the power sector, the power producers can perform CCS or purchase CCS certificates to bring the average gCO₂/kWh of their generating portfolio below the emissions standard. This requirement can be met through use of CCS or fuel switching or through deployment of renewable energy. The standard is placed on the portfolio level instead of on the facility level to avoid creating excessive costs for individual installations.
- In industry, the defined standards might be modelled on the emissions trading scheme benchmarks and be product based. For example, the allowable CO₂ intensity for steel production could be defined as tCO₂/t crude steel produced. The definition of benchmarks is a significant administrative undertaking.
There is an alternative definition of EPS which only applies to fossil power generators. In this version, new or both new and existing fossil fuelled power plant have to comply with an emissions intensity standard. The portfolio over which the standard operates is over all fossil plant rather than all power plant. It can only be met by making fossil plant more efficient, switching fuels and fitting CCS. Thus, if the standard is tight enough it demands the use of CCS.
Both definitions of EPS can involve a market element. Like the obligation with tradeable CCS certificates, the market aspect yields efficiency benefits, together with potential drawbacks for financeability. The market would function in the same way as proposed for the obligation scheme, with demand created by the ability of generators to use CCS certificates to meet their EPS. However, because the EPS creates demand for a wider range of emissions abatement options, making it more efficient in securing abatement, it may create less demand for CCS certificates.
Although EPS schemes have been implemented in a number of jurisdictions, they have not been used to encourage investment in low emissions technologies. The EPS scores poorly on policy track record for this purpose, as shown in Figure 7. Instead of spurring investment in, for example renewable energy, EPS schemes have to date mainly functioned as a deterrent from building new unabated coal-fired power plants.
Similar to an obligation scheme, an EPS can be ramped up by gradually increasing the stringency of the EPS to increase certificate demand. This would increase the demand for CCS certificates over time. Initially the demand could be met by CCS installations built during the scale-up phase, providing an opportunity to recoup some investment. With an increasingly stringent EPS, demand for certificates would incentivise additional CCS to be deployed.
**Figure 7 Assessment scores of EPS with CCS certificates**
1. Strength of incentive
2. Financeability and risk
3. Policy track record
4. Policy risk
5. Efficiency
6. Competitiveness and affordability
5.3.3 Public procurement
Public procurement offers strong incentives for CCS deployment and lends itself well to the socialisation of risks. These strengths, together with concerns about the risk of government reneging and the financing burden for government, are discussed below along criteria described in Table 3. Figure 8 and Table 6 summarise the full assessment.
The incentive for CCS deployment is strong insofar as the government designs contracts which minimise or eliminate volume and price risk for CCS developers. For example, government can offer contracts in terms of a set $/tCO₂ payments to eliminate price risk and can offer availability payments to transport and storage providers, reducing volume risk. Government is a reliable counterparty (in most countries) and can offer contracting structures to reduce development risk, as described in more detail in Table 6.
Table 6 Assessment of public procurement
| Key features |
|------------------------------------------------------------------------------|
| 1 Contracts provide a strong revenue incentive with minimal revenue uncertainty as government can build in guaranteed payments for availability and a set price per t/CO₂. |
| 2 Government can socialise development and construction risk by offering payment upon delivery of CCS infrastructure. By acting as a counterparty itself, it minimises counterparty risk. |
| 3 Public procurement is a common tool for large infrastructure developments and has successfully spurred investment. However, there have also been examples of failed or cancelled projects, including in CCS. |
| 4 Once committed to contracts, government has no opportunity to renege. However, the potentially high cost to government, depending on funding structure, may lead it to abandon or scale back at programme level. |
| 5 In a large market, government is unlikely to be sufficiently informed to allocate resources to the most cost effective projects, though this might be mitigated through the use of auctions. |
| 6 The degree of competitiveness and affordability issues depend on how government funds its procurement, for which it has a number of options. |
Although public procurement provides strong incentives for CCS deployment, it is likely to be inefficient, especially at scale. While there are potential economies of scale, particularly in transport, which can be achieved with government-led coordination, a market mechanism is likely to deliver greater efficiency than government procurement. This is because, particularly as the market for CCS grows, government will likely hold insufficient information to find the least cost options.
Even though the government directly procures CCS, it may not fund it. The government could fund contracts through general taxation but it also has options to levy, for example, fuel consumers (emitters) or suppliers. For more detail on funding options and the general distribution of costs, see Section 5.4.
The method of procurement can significantly affect the efficiency of this policy instrument, and may be varied from scale-up to roll-out. During scale-up, government procurement is likely to involve bespoke, project specific contracts which socialise a high degree of risk. These could target individual opportunities for CCS, for example establishing a CCS hub around an industrial cluster. As the number of CCS projects grows, government might establish an auction system for contracts, ranked in terms of $/tCO₂ stored, which would return risk back to the private sector. Specifically, government may withdraw from shouldering development and construction risk as the CCS industry matures during scale-up. Auctions may encourage competition and through them, governments may find the lowest cost CCS opportunities, so long as there is no manipulation through strategic bidding. Even if government uses auctions, it would miss out on other aspects of efficiency, such as innovation in contracting that a dynamic market might deliver.
5.3.4 Tradeable tax credits
Tax credits perform well on efficiency, competitiveness and affordability, but the tradeable element remains unproven and government has an incentive to renege. The text below discusses these key strengths and weaknesses along criteria described in Table 3 are discussed below, with Figure 9 and Table 7 presenting the assessment.
Tax credits might provide a strong incentive for CCS take-up, so long as developers are able to sell on the credits. The key benefit of a tax credit, for the private sector, is the certainty of the price signal. Given the individual size of CCS projects, it might be that only large firms would be able to deduct the full value of tax credits off their own tax liability. Consequently, tax credits may be made tradeable, allowing CCS operators of any size to take advantage of the full incentive on offer. Such tax credit trading is not common practice; the foremost example of transferable tax credits is a number of US states. For example, the MGM Grand Casino in Las Vegas recently purchased, for close to face value, $20 million of tax credits Tesla had accrued from the State of Nevada for building its battery factory in the State (Jones, 2016). The volume of typical tax credit trades seen to date is smaller than would be required in a functioning CCS tax credit trading scheme.
Table 7- Assessment of tradeable tax credits
| Key features |
|------------------------------------------------------------------------------|
| 1 Tax credits provide a strong incentive, if set at a sufficient rate, and |
| price certainty. Volume risk is left with the CCS operator. |
| 2 Tax credits per t/CO₂ do not socialise any specific risks (except for |
| price risk). Tax credits on capital investment may reduce construction |
| and development risk as the net upfront costs to the developer are |
| reduced. |
| 3 Tax credits are widely used, but are typically intended to add to an |
| existing revenue stream and marginally increase investment, instead of in |
| the proposed context, where they would be the main revenue source and |
| investment incentive. For the scheme to work effectively, tax credit |
| trading would have to work effectively at large scale. This is currently |
| not commonplace. |
| 4 Government can easily change the tax code, and may be tempted to do so if |
| the credits reach a level of significant cost. Unless guaranteed by |
| contracts, any change in tax treatment can affect all current operating |
| projects. |
| 5 This is a price mechanism, which may be more efficient than a quantity |
| mechanism. It could scale to a large market. |
| 6 Competitiveness and affordability issues are dependent on how government |
| funds the tax credits. Without additional instruments government funded |
| procurement would not create affordability or competitiveness concerns for|
| consumers and competitively-exposed firms. |
The tax credits scheme could be a combination of operational credits provided per t/CO₂ and initial tax credits for capital investment. The combination could mitigate some of the initial construction and development risk for CCS developers. Tax credits for capital investment have been provided in a number of countries including Australia, Canada and the US totalling multiple billion USD (Price, 2014). The provision of tax credits per t/CO₂ stored has been at a smaller scale to date. For example, the US federal 45Q tax credit, which provides $20/tCO₂ for non-enhanced oil recovery storage and $10/tCO₂ for enhanced oil recovery storage, is predicted to have a total outlay of $700 million in the period between 2014 and 2018 (Banks & Boersma, 2015; Legal Information Institute, 2014); however, the US is currently considering raising the tax credit to $50/tCO₂ (Global CCS Institute, 2016c).
Tax credits are likely to be a relatively efficient instrument, but can be prohibitively costly for government. Tax credits are a price based instrument which, as mentioned in Table 3, economic theory suggests would be efficient in the delivery of CCS. The downside of tax credits is that government commits to a large amount of funding passing through its books. It could potentially recoup the cost of tax credits through specific levies on, for example, fuel consumers or suppliers. These costs to government, combined with the relative ease of changing tax codes, create a significant policy risk, as indicated in Figure 9, because governments are always under pressure to find expenditure savings.
Tax credits can be offered in the scale-up phase. The tax credit could serve as an element of the incentive for CCS deployment in the scale-up phase, and could also continue through the roll-out phase.
Uniform tax credits could perversely incentivise high emission projects. A tax credit is an abatement subsidy. High carbon intensity sources, such as coal-fired power stations, would command larger quantities of tax credits, relatively speaking, than lower carbon intensity sources, such as gas-fired power stations. Where both types of source compete in the same market, a tax credit could have the perverse effect of encouraging a shift towards
CCS-abated carbon-intensive sources, if the tax credit rate is sufficient to cover the full costs of CCS. In order to prevent this, the level of the tax credit could be made dependent on the source of the CO$_2$ emissions.
**Figure 9 Assessment scores of tradeable tax credits**
1. Strength of incentive
2. Financeability and risk
3. Policy track record
4. Policy risk
5. Efficiency
6. Competitiveness and affordability
5.4 Decision making rules and CCS policy
CCS contributes to decarbonisation in virtually all decarbonisation projections. CCS plays a role across the global, deep decarbonisation projections of many authors. Nevertheless, the scale of its deployment remains quite uncertain.
The ‘with without’ test shows the value of CCS. Like any cost benefit analysis, the value of CCS is given by comparing the costs of scenarios in which CCS is deployed and scenarios in which it is not deployed; the ‘with without’ test. For example, global integrated assessment models agree that CCS is an important component of the lowest cost decarbonisation pathway\(^{14}\). The aspect which makes this analysis unfamiliar to many governments and firms is uncertainty. This presents an obstacle. Uncertainty is a challenge for decision-makers, who have a standard set of assessment tools for dealing with certain, that is sure, events, and can also compute the costs and benefits of action where risks, that is probabilities, are known.
Decision science shows how to handle value under uncertainty. When the future value of CCS is poorly understood, the appropriate decision-making framework is less clear. In this context of ignorance, standard decision theory tends to propose two simple rules, which differ in the degree of caution they imply. ‘Maximin’ chooses the policy option that results in the least worst case. ‘Minimax regret’ chooses the policy that minimises regret, in terms of the difference between the best and worst cases. These two rules might be put to use to good effect in explaining the value of CCS\(^{15}\).
Maximin and minimax regret decision rules operate without reference to probabilities, instead they operate on a set of outcome values. Maximin selects the option that offers the least-bad worst case, so that if the worst case occurs, at least it is not as bad as it could have been. This is equivalent to having an infinite level of risk aversion in a context where probabilities are known, which shows why it is not generally recommended for decisions under risk. The mitigation cost of such extreme caution may well be high, as the choice with the best worst case may not be the best choice with other cases. Furthermore, the probability of the worst case occurring may be small.
Minimax regret selects the option that minimises the maximum regret. Regret is the difference between the best case and the worst case. If regret is minimised then the best opportunity our choices present is not ignored. In contrast to maximin, minimax regret is less cautious, because it trades off the severity of the worst case with the benefit of the best case. However, minimax regret still ignores the value of intermediate cases and the probabilities of the best and worst cases occurring. These decision rules apply caution in situations where probability information is lacking altogether. Decision rules under ambiguity are a work in progress in decision theory. As yet, there is no consensus on their application. However, the minimax regret rule offers a practical solution to the problem of valuing CCS policy action without embedding excessive caution in the analysis. It is feasible to prepare the regret tables and carry out the analysis using these decision rules, and to do so from the perspective of both government and firms.
---
\(^{14}\)IPCC, Fifth assessment report, Mitigation of climate change, 2014
https://www.ipcc.ch/pdf/assessment-report/ar5/wg3/ipcc_wg3_ar5_full.pdf
\(^{15}\)Vivid Economics (2011), ‘Aggregating, presenting and valuing climate change impacts’.
5.5 Distribution of costs
There may be political economy limits to the burden of costs which any group or party can bear. There are three groups on whom the costs of CCS can fall: taxpayers (through government), consumers and shareholders. There may be limits to the willingness of each of these parties to accept costs, driven by the trade-offs each group has to make. In particular, these limits concern the amount of expenditure government can divert from public services; the amount consumer energy prices can increase before political opposition becomes too great (impacting government’s willingness to impose more costs on energy consumers); and the amount of cost firms can absorb before significant swings in investment occur across jurisdictional or policy scheme borders. Some groups of firms, in some sectors, will be more susceptible to investment swings than other firms and sectors, because of the nature of their carbon intensity, profitability, customer price sensitivity and the competition that they face.
The polluter pays principle is well established in many jurisdictions. In Europe and North America, in particular, legislators claim to apply the polluter pays principle, requiring the burden of the costs of mitigating pollution to fall on the polluters themselves. The principle is championed by environmental NGOs but is rarely implemented in full by governments. For example, many polluting sectors in Europe have been granted so many EU Emissions Trading Scheme allowances in the past, that rather than bear costs from the scheme, they have enjoyed windfall profits at consumers’ expense. Even so, an offer which appears to conflict with the polluter pays principle may not be politically acceptable.
The policy options encompass a range of ways in which the burden of costs can be allocated between the three parties. They fall broadly into three approaches: a levy on consumers, emitters or suppliers; taxpayer funding; and obligations on emitters or suppliers. A levy on consumers can be imposed on final consumers of goods, or final consumers of fuels. It can also contain exemptions for specific types of consumer such as small consumers and households. A levy can be raised instead or in addition on emitters of carbon dioxide and/or suppliers of fuels. Some of these levies will involve new administrative arrangements in some jurisdictions and others will not. There is political capital involved in introducing new levies, especially on consumers. A levy can be used to pay for public procurement or to fund an obligation taken on by government. Treasury funding, in which the costs are paid for by general taxation, or are hypothecated from direct taxes on energy or carbon, can be used to cover the costs of tax credits, public procurement or an obligation taken on by government. In the case of both levies and Treasury funding, where the government takes on an obligation, it can cast that as an Advance Market Commitment, where the government promises to purchase a specific or minimum volume of carbon storage at a specific price. Models for advance market commitments have been developed for pharmaceuticals supply in less developed economies. Finally, obligations placed on firms assign the initial incidence of costs to them, as in the obligation and the emissions performance standard options. Any combination of these cost application options can be employed together, allowing a very flexible allocation of the costs, to achieve whatever initial cost incidence is desired.
All parties will have to contribute to costs. It is difficult to imagine an agreement where one party picks up the entire bill for CCS. Experience from renewable electricity is diverse. In Europe, the consumer has picked up most of the bill through first an obligation on suppliers and then a levy. As the bill has risen, energy-intensive trade-exposed firms in some jurisdictions have been relieved of their burden. In the US, the government has picked up much of the bill through tax credits.
It is likely that the distribution of burden will shift over time, away from government and towards consumers. There are several reasons for this. First, the public good aspects of research, development and deployment, which are heavily supported by government, become less important as the technology becomes more mature and the cost reduction rate over time declines. Second, as the rate of carbon capture increases through the adoption of the technology, a larger base is needed to fund it. Third, a possibility is that specific policies supporting CCS will, in the very long term, be replaced by general policies such as taxes and trading systems that operate through a carbon price. Except through the allocation of allowances for free, there is little scope for tailoring the incidence of these policies and their incidence falls mostly on consumers, except where there are competitiveness effects across borders. The changing pattern of incidence is shown in Figure 10.
Figure 10 All parties will have to contribute to costs, but the balance shifts over time towards consumers
| Scale-up phase | Roll-out phase | Long term |
|----------------|---------------|-----------|
| Government pays most, acting on behalf of consumers, and industry pays some, buying an option that maintains value of its assets. | Transition to more market-oriented schemes, shifting costs onto industry and consumers. | Costs almost exclusively on the industry and consumers. Government still supports infrastructure investment but may be paid to do so. |
5.6 Risks and financeability
CCS investments carry all the usual risks of asset construction projects plus several sector-specific risks. The usual risks such as construction risk, technology risk, changes in market prices of energy or manufactures, and operational risk all apply to CCS. In addition, CCS faces specific risks around the future value of policy support, the volume of demand for carbon dioxide transport and storage on individual pieces of infrastructure, and store leakage risk. The market can absorb some risks efficiently and not others. The market is certainly able to absorb the commercial and market risks. The commercial risks are common across these and many other types of investment. The market will learn to absorb technology risk as it gains experience with the assets. The market will be able to absorb policy risk, but at a price, so that it may not be efficient for government to transfer that risk to market participants. The price is high because, in principle, it is preferable for the party which can manage the risk to absorb it, which in this case is the government; and second, because if the market takes the risk, government faces no direct incentive to honour its policy commitment. Lastly, the market will fail to bear leakage risk. Although contracts might be written to transfer the risk, they will be incomplete because firms may not survive in the long-term to stand behind them. Thus, the public interest may be better served to place the leakage risk with the government in the long term.
A package of measures can cover difficult-to-transfer risks. Since most investment during scale-up is public, these measures are mostly applicable in the roll-out phase to support private investment, although they would be required to support private investment during scale-up as well. The candidates for mitigating policy risk are price floors and caps, together with minimum revenue or market size guarantees. Price caps and floors give greater certainty to asset owners of the value of carbon dioxide capture and storage. These price limits can enhance the functioning of a tradeable obligation or EPS, where the future price otherwise depends entirely on future policy demand and costs of supply and can be highly uncertain. Minimum revenue or market size guarantees also reduce policy risk and could potentially reduce counterparty risk and make contracting easier. For a storage or network operator who depends on the adoption of CCS by various customers, a specific market size or revenue guarantee would reduce the risk of asset stranding. For the market as a whole, a market level guarantee ensures that there will be a minimum aggregate level of market demand to contract with the supply that firms may develop. Contracting may be made easier if the government enters the market to write contracts and allows third parties to co-contract with it, reducing search and legal costs and giving greater reassurance that the contract will be honoured or enforced.
The socialisation of storage liabilities may make CCS easier to finance. There is no market for insurance of seepage or leakage risks because the conditions for insurance markets to function are absent. First, there is no established record of long term leakage rates and those rates are expected to be very low, making them hard to measure accurately. Second, though storage sites may be independent of each other and not linked, the mechanism for leakage at one site could apply to others. This prevents the risks from being pooled. Third, the risks are extremely long term and insurers may not persist long enough to honour insurance contracts.
Governments will have to adopt storage liabilities. Like coal and nuclear liabilities, there is no substitute for government taking on long-term storage liabilities. There are two options for how they are funded. One is for the taxpayer to fund them outright and the other is for a fund to be set up, managed by government, into which storage site operators pay over time. Following previous precedent, the government is likely to collect contributions from operators and either establish a ring-fenced account or a fund, or receive the monies into its general purse.
Governments may offer risk transfer instruments for novel markets. It may be difficult for developers to secure finance to build carbon dioxide networks and stores, because of the novelty of the market, or because of a mixture of the novelty of market, technology and business model. One scenario is that only large existing companies with the balance sheet strength to absorb these risks enter the market. Another scenario is that government steps in with additional share equity or with credit guarantees, either of which might satisfy the concerns of creditors as to the financial viability of the financial vehicle. In this way, it might encourage independent network and storage operators to enter the market. Such an intervention carries the risk of crowding out other entrants, so it would be worthwhile carrying out some market testing before embarking on such a proposal.
Table 8 Risk allocation and mitigation options
| Policy | Risk allocation | Options for risk mitigation |
|-----------------|------------------------------------------------------|----------------------------|
| Private-led delivery | Government carbon price risk
Private sector volume of sales construction development | price floor
price ceiling
buyer of last resort
government-backed counterparty
advance market commitment
credit guarantee
equity support |
| Public-led delivery | Government carbon price risk revenue
Private sector construction development | credit guarantee
equity support
development compensation |
5.7 Infrastructure
A policy instrument solely focussed on providing revenue for stored carbon is likely to result in inefficient infrastructure investment. As with other infrastructure with network benefits, such as railways, electricity grids, or gas grids, the market is likely to inefficiently provide the infrastructure pushing up the overall price of CCS. This provides a rationale for public intervention and investment in transport and storage infrastructure *in addition* to the main CCS policy instruments described in Section 5. The options described below are compatible with any of the main policy instruments.
There are several options for the ownership of CCS transport and storage infrastructure. The ownership of the infrastructure is part of the policy question, because whatever risks are not transferred by ownership could be transferred through policy instruments instead. A consideration in the question of ownership is the effectiveness of risk transfer through policy instruments. The three ownership options are a public agency or government owned company; a public private partnership; and private ownership. Any of these are possible. In the first case, the government owned company may not be contractually protected from risks, but its shareholder, the government can make directions to the Company Board and can choose to accept the impact of those risks on the return on the company’s assets. In the second case, a public-private partnership, the return paid to the private party on its investment may be insulated in part or fully from some of the risks through the partnership contract. In the third case, the privately-owned company may be protected through policy instruments which could include specific risk transfer contracts.
Two of the possible risk transfer instruments are availability payments and a minimum revenue guarantee. The availability payments make some of the revenue of the infrastructure asset independent of the volume it carries or stores. The minimum revenue guarantee ensures that the investors are not exposed to volume risk below a minimum threshold, which would presumably be set to deliver a minimum reasonable return on capital, or, less generously, to secure repayment of creditors.
The case for policy intervention either through ownership or risk transfer instruments is strongest for part-chain projects. In part-chain projects, the capture, transport and storage are performed by more than one actor. Then, while the principal CCS instrument might be imposed on one actor, the other actors rely on contracts with the prime actor. This vertical separation in the supply chain could deter investment if it turns out to be difficult to coordinate timing of investment and if the value of the investment to one actor is not felt by the other actors.
**Table 9 Ownership remedies**
| Ownership structure | Example |
|--------------------------------------|------------------------------------------------------------------------|
| Public agency or public company | Proposal by UK CCS Advisory Committee |
| Public–private partnership | Control could be retained by government via a special share |
| Private ownership | Full-chain enhanced oil recovery projects |
**Table 10 Policy contract remedies**
| Revenue certainty | Example |
|---------------------------------------|------------------------------------------------------------------------|
| Availability payments | Analogous to capacity markets in electricity |
| Minimum level of revenue | Proposal in Norway to guarantee storage revenue |
6 Policy case studies: regional assessment
6.1 Introduction
The performance of CCS policies can vary between regions and at the same time jurisdictions have diverse preferences. All of the above policy instruments have their strengths and weaknesses, which can become more or less relevant depending on the national or regional context. Although the instruments can in principle be implemented on a supra-national scale, across multiple administrative areas, national or regional characteristics can influence policy choice. This variation is illustrated for India, Saudi Arabia, the US and China, capturing a diversity of national contexts. Though these illustrations highlight specific opportunities for CCS in particular applications and economies other opportunities will also be relevant.
Four characteristics are particularly relevant to CCS policy:
- **Storage or EOR endowment** reflects both the number of low cost CCS opportunities available and the availability of chemical, pipeline, and oil and gas sector expertise in the region.
- **Government preferences**, reflecting historic choices and track record on renewable energy and CCS support, together with cultural attitudes towards ownership and plan-led or liberalised market organisation.
- **CCS need**: market based policies add most value when allocating resources across a large heterogeneous market. If the cheapest CCS opportunities are focussed in one sector, market instruments may yield few benefits compared to command and control policies.
- **Development level**: The development level reflects the capability of national institutions. Strong institutions are able to implement and run market based instruments.
Figure 11 summarises how characteristics lying at the opposite ends of each dimension might affect CCS policy.
6.2 India
Public procurement is a suitable policy for India, potentially in conjunction with an EPS in power. This is because India has a particularly large CCS opportunity in the power sector and a history of public ownership. On the other hand, the Indian government also faces many calls on its limited resources. Figure 12 summarises India’s key characteristics, followed by a brief discussion of unique features for India relevant to the development of CCS.
The main opportunity for CCS deployment in India lies in new build coal-fired power plants. Electricity demand in India is forecast to more than triple by 2040, and to meet this need, India is expected to increase its coal fleet by around 250 GW (IEA, 2015)\(^{16}\). In comparison, Germany’s total generating capacity is 200 GW (Federal Ministry for Economic Affairs and Energy, 2016). The growth in coal burn provides an opportunity for relatively low cost implementation of carbon capture. India’s overall energy mix is coal heavy, and there are similar CCS opportunities in industries where coal is used; however, deployment may
\(^{16}\) This projection has been revised downwards recently in the new Draft national Electricity Plan (Dec 2016). See http://www.ceainc.in/reports/committee/nep/nep_dec.pdf
be more difficult in industry as, amongst other things, it involves retrofitting bespoke systems.
Government has traditionally been heavily involved in procurement of generating capacity in India, and can choose to procure additional coal capacity with CCS. The fast growth of demand is consistent with continued heavy state involvement in capacity procurement. In addition, the government might implement an emissions performance standard, in terms of gCO$_2$/kWh, for new build generating plants, to signal its intent, similar to some of the standards it has introduced to govern local air quality.
To date, India has done little to progress CCS deployment. Given the costs involved, India is likely to prioritise cheaper abatement opportunities in the short and medium term. The clean development mechanism and various other international climate funds might make a funding contribution in the future.
6.3 USA
The USA is a market oriented economy with a strong CCS track record and could support a market based scheme such as a CCS obligation with tradeable certificates. As summarised in Figure 13, the USA has access to significant EOR opportunities and a broad range of carbon capture opportunities in both power and industry. The heterogeneous nature of CCS opportunities implies gains from trade in CCS certificates. The possible size of USA certificate demand suggests the potential for market liquidity. In this environment, an obligation scheme with tradeable certificates could function well and deliver CCS efficiently. The following text briefly discusses the implementation of an obligation scheme in the context of the current CCS support arrangements in the USA.
Figure 13 USA country overview
- EOR opportunities
- Mix of power and industry projects
- Preference for private ownership
- High-income country with stable institutions
The USA has supported CCS deployment to a greater degree than any other nation and as a result possesses significant experience in implementing the necessary policy and contracting arrangements to support CCS. The Department of Energy (DOE) has a number of distinct CCS programs through which it has spent 7 billion USD (Folger, 2016) to support CCS. There are a variety of programs for R&D support, but support has also come through direct grants to specific CCS projects, such as grants of over $200 million to the soon to be operational 1MtCO$_2$/y industrial CCS project in Illinois (Global CCS Institute, 2016a), and the 45Q tax credit (Legal Information Institute, 2014). To date, the existing policy package has encouraged EOR, but it is generally acknowledged that a strong market incentive to deploy CCS is missing (Banks & Boersma, 2015). The current tax credit at USD 20 tCO$_2$ has stimulated little investment outside EOR. Various legislative proposals have been tabled to increase the value of tax credits available and to remove the cap on their issuance, for example the proposed Heitkamp-Whitehouse CCUS Act (DOE 2016).
A gradually increasing CCS obligation can be integrated with the existing policy package to form the core incentive for CCS deployment. One option is to implement the
CCS obligation at the state level to complement the existing federal programs with support through the tax code. This is similar to the current USA arrangement for renewable power deployment (Banks & Boersma, 2015).
6.4 Saudi Arabia
Saudi Arabia possesses technically capable state owned companies with control over resources in their respective markets, and would be a natural fit for public procurement of CCS. Although, as summarised in Figure 14, Saudi Arabia has the necessary institutional capabilities and sufficiently heterogeneous opportunities for CCS to consider a market based mechanism, the economic structure of the country is such that public procurement may be a natural option. Saudi Aramco (100 per cent state owned) the Saudi Electricity Company (80 per cent state owned), which has a monopoly on electricity generation, and Saudi Arabia Basic Industries Corporation (70 per cent state owned), the largest publicly listed company in Saudi Arabia, are all majority state owned. The state’s controlling stake in all these companies, and the monopolistic nature of the economy, suggest little opportunity for a market scheme. Public procurement of CCS appears the natural fit with the government potentially coordinating capture from power or industrial facilities and transport and storage through Saudi Aramco.
Figure 14 Saudi Arabia country overview
Future projects are likely to be similar in nature to the existing EOR project in Uthmaniayah, Saudi Arabia. Given the revenue obtained from EOR, most CCS projects in Saudi Arabia are likely to sequester their CO₂ through EOR. For example, the Uthmaniayah project injects 0.8 MtCO₂/a captured from a natural gas liquids recovery plant into the Uthmaniayah oil field, of which around 40 per cent is expected to be permanently sequestered (Aramco, 2015). The state, through Saudi Aramco, directly procured the contracts for the necessary capture technology from a number of international corporations and provided the transport and storage itself (Kable Intelligence, 2016).
6.5 China
Given the high degree of government involvement in sectors with CCS/CCUS opportunities, public procurement and tax credits may be suitable policies for CCS deployment in China. As summarised in Figure 15, China has a multitude of opportunities for CCS and CCUS in both industry and power; furthermore, it has the institutional capacity to implement complex market mechanisms as evidenced by the regional implementation of a number of ETS schemes (World Bank, Ecofys, & Vivid Economics, 2016). However, the significant presence of state owned enterprises in both the power and industrial sectors makes public procurement and tax credits accessible approaches; indeed, a pipeline of publicly procured projects is emerging in China (Global CCS Institute, 2016b). The following describes two large public procurement opportunities in China, exemplifying how China can utilise its state owned enterprises.
In power, a large near term opportunity for CCS deployment lies in large coal power stations. Similar to India, Chinese electricity demand will grow significantly over the coming decades. Despite large scale renewable energy and gas-fired power deployment, significant coal generating capacity will still be required, providing opportunities for low cost, large scale, CCS deployment (ADB, 2015). As nearly all electricity in China is generated by five state owned utilities with regional monopolies (Sioshansi, 2013), public procurement of CCS is a possible approach.
In industry, implementing CCS in the coal feedstock chemical industry is a large scale, low cost opportunity for CCS deployment. The coal chemical industry is significant both in terms of revenue and emissions in China, with annual emissions projected to grow to 1GtCO₂ per year by 2020 (ADB, 2015). CCUS applications (including using CO₂ as a chemicals feedstock or for producing oil) may come first, and once large scale CCUS projects reach commercially sustainability (indicating that all technology barriers have been overcome), policies to support CCS in other applications may follow.
In addition to the scale of the industry, public procurement is an attractive policy to deploy CCS in coal-chemicals as in some coal chemical plants separate CO₂ as part of the production process, creating a high purity and high pressure CO₂ gas stream, making carbon capture low cost compared to other industries, operating within state owned enterprises (KPMG, 2013).
6.6 Europe
Europe is a market oriented region with a strong carbon policy ambition and the world’s first large-scale greenhouse gas emissions trading scheme. The EU could support any of the policy instruments. As summarised in Figure 13, the EU has access to CO₂ storage and a broad range of carbon capture opportunities in both power and industry. The heterogeneous nature of CCS opportunities implies gains from trade in CCS certificates. There is also the technical and financial capacity to build and operate CCS systems in Europe. The possible size of EU certificate demand suggests the potential for market liquidity. In this environment, an obligation scheme with tradeable certificates could function well and deliver CCS efficiently. There is wide experience across industry with emissions trading. On the other hand, public procurement has been widely used in the EU renewables sector and latterly nuclear power, especially in the form of feed in tariffs. Tax credits are available for R&D and emissions performance standards have been employed for other pollutants and by some Member States, for carbon emissions from power. In summary, there is experience and potential across all four policy instruments in Europe.
The European Union passed a Directive on CCS in 2009 (2009/31/EC) which established a legal framework for storage of carbon dioxide. It also has a small number of operating CCS projects. Since the Directive came into force, a small number of applications have been made to explore for storage or to store carbon dioxide. Meanwhile, new fossil power stations, as required by law, have been setting aside land for capture plant and assessing their technical and economic feasibility. In the UK, new fossil power stations must go further and demonstrate the economic feasibility of CCS within the lifetime of the new plant. There is also intra-regional cooperation taking place, supported by governments, exploring locations for possible storage and network development, and many EU governments are supporting research and development. However, the original intention to use EU ETS receipts to fund large-scale demonstration projects, through the New Entrant Reserve 300 fund, has been a disappointment, failing to deliver any projects.
The European Union possesses the institutions to drive a scale-up and subsequent roll-out programme across the region. However, it lacks the political will to do so at present. This is in part due to a combination of fiscal austerity, in part public opposition in some countries, and in part because its immediate emissions targets can be met through renewable energy. In some areas of Germany, public concern has already been translated into laws passed to prohibit the storage of carbon dioxide underground.
7 Detailed Discussion
7.1 Introduction
To supplement the summary assessment presented in Section 5, this section offers further discussion of some of the more important detailed design elements of the four short-listed instruments. The CCS obligation, EPS and public procurement each deserve some further exploration as they present a number of implementation options. Tax credits are somewhat more straightforward and are already in use, so receive little additional elaboration here.
In addition, this section also shows how the incidence of the costs of a scale-up or roll-out programme might fall, under each of the instruments and some of their main design options. The analysis of the distribution of the burden divides the encumbered parties into fuel suppliers, energy intensive manufacturers and final consumers.
7.2 CCS obligation
7.2.1 Structure
The structure of the discussion follows the more important of the design elements laid out in Section 5. Of these elements, the placement of the obligation along the hydrocarbon supply chain and the breadth of the base of obligated parties influence the distributional outcome to the greatest degree. The mechanism’s efficiency – the extent to which it is able to drive investment – is affected by a set of market arrangements as well as by its flexibility and transparency. And finally, there is the geographic scope, which is relevant to its political feasibility. These are discussed in turn below.
### Table 11 Design Elements of a CCS Obligation
| Design elements | Options | Effect on |
|-----------------|-------------------------------------------------------------------------|---------------------------------------------------------------------------|
| Target | market value, tonnes stored | level of ambition, certainty in demand for storage, certainty in total cost |
| Geography | national, regional, global | political and legal feasibility |
| Base | all emissions (process and fuel), all hydrocarbons, all industrial and power use, non-trade exposed industrials and power, power only | distribution of cost |
| Placement | fuel suppliers, emitters (manufacturers, final consumers), CCS-capable installations | distribution of cost |
| Party | installation, site, person, minimum size threshold | administrative cost (consistency with other obligations) |
| Enforcement | penalty level | control of total cost, storage price uncertainty |
| Flexibility | certificates fungible over time (banking), certificates not fungible | end of year volatility, risk of supply-demand mismatch |
| Price floor | price floor, no price floor | control of total cost, storage price uncertainty |
| Market arrangements | exchange, government intermediary | market liquidity, depth of forward pricing |
| Guarantees | counterparty risk mitigation, no risk mitigation | buyer and seller risk |
| Transparency | no reporting, contract price reporting, storage capacity reporting | forward price uncertainty |
*Source: Vivid Economics*
#### 7.2.2 Target
The target for quantity of carbon dioxide stored could be set as an absolute physical amount per annum (or over a period), or as a relative amount. A relative amount would be a fraction of total relevant gross emissions, where the relevant emissions may be defined as a sector or collection of sectors and gross means emissions before storage. One difference between these two formulations of a target is that the absolute amount is known with certainty in advance and the relative amount is not known with certainty until after the target date has passed. This results in greater market size (demand) risk for the CCS supply chain in the latter case. Similarly, the cost or burden of the obligation will vary with carbon dioxide emissions in the relative target case and not with the absolute target.
In its technology pathways scenarios, the International Energy Agency imagines a contribution from CCS of 5.4 per cent in 2030 and 14 per cent of global emissions by 2050, see Table.
Table 12: Illustrative CCS target from the IEA
| Year | Emissions baseline for all sectors & regions (Gt) | Emissions captured for all sectors & regions (Gt) | Proportion of emissions captured (%) |
|------|--------------------------------------------------|-------------------------------------------------|-------------------------------------|
| 2020 | 38 | 0.2 | 0.6 |
| 2025 | 40 | 1.1 | 2.6 |
| 2030 | 43 | 2.3 | 5.4 |
| 2035 | 46 | 4.1 | 8.8 |
| 2040 | 49 | 5.6 | 11.5 |
| 2045 | 52 | 6.8 | 13.1 |
| 2050 | 56 | 7.8 | 14.0 |
Source: Element Energy based on OECD Environmental Outlook 2011 and IEA Technology Roadmap 2013. Note that these capture emission volumes are around ten times that of the scale-up phase.
The target illustration above is used to estimate costs faced by obligated parties in Table 13 below.
The target level can be announced in advance and may increase over time. It takes time for investment to respond to incentives, especially when investment has to be coordinated along a supply chain and regulatory permissions are needed. In these circumstances, one can make the incentive work for the widest possible set of investments by announcing the arrangements well in advance of the time they come into force. Having been announced in advance, there also comes the question of how quickly the target can be increased, to suit the growing capability of the sector to invest in new capacity. If the target increases too quickly, unit costs could rise steeply, if it increases too slowly, investors may be discouraged by the modest scale of market opportunities and having to wait longer to achieve larger scale and thus increase their efficiency and competitiveness.
A combined ETS and CCS scheme offers price differentiation between CCS and other general emissions reductions. In the same way that emissions reductions from renewables have been achieved using separate schemes, the Obligation offers price discrimination and certainty of pricing. It is no accident that to date, renewable energy, which is capital intensive, has benefited from its own incentive schemes, while general emissions trading schemes have driven fuel switching and greater energy efficiency, both of which are less capital intensive. This differentiation of incentives could evolve in the future into a single, harmonised arrangement with a single carbon price, at least for those low carbon technologies whose costs fall sufficiently to be stimulated by a modest carbon price. An alternative scenario sees the general carbon price rise to a level sufficient to stimulate CCS. This increase in price would have to be achieved over some time. As the general carbon price rises, the CCS obligation price falls (by the same amount). The CCS obligation price could eventually collapse to zero, at which point the scheme could be withdrawn. Analogously, the feed-in tariffs supporting renewable energy have been reduced over time as technology costs have fallen and some renewable energy scheme developers expect the combination of fossil fuel prices and carbon prices to be sufficient to stimulate demand, allowing specific renewable energy support measures to be retired.
As discussed below in sub-Section 7.2.7, there can be unintended consequences from rewarding the storage of carbon dioxide without accounting for the efficiency of the process to which CCS is applied. It may be that only a proportion of the tonnes of gas stored count towards the target.
### 7.2.3 Geographical scope
**The principal issue for political and legal consideration is the geographical scope.**
The obstacle here is the challenge of reaching agreement on the design elements across political jurisdictions. National level schemes are possible, but if the cost of the scheme rises to a high level, national level schemes can become increasingly difficult to sustain unilaterally, in open trading economies. Informal coordination of schemes is a possible solution, in which the rate of storage is comparable, the base and placement are alike, and the administrative arrangements are similar. The alternatives are to keep the cost of the scheme relatively low, to narrow the base of the scheme to avoid trade-exposed sectors, to compensate exposed sectors, or to enact border adjustments on trade-exposed goods. Of these options, emissions trading schemes have employed the first, second and third options, but not yet the last. All of these options are technically feasible, but so far there has been the threat of trade retaliation from some governments for the introduction of border adjustments, and no governments have been prepared to test the resolve of other governments to carry out their retaliatory threats.
*A regional level scheme is feasible in some locations.* A regional level scheme is feasible and might even be necessary where supra-national legislative structures already exist, such as in the European Union, where joint legislative structures exist, or between the USA and Canada, where trade agreements take the place of joint legislative structures. In other locations, without these administrative structures, it seems unlikely that it would be possible to reach supra-national political agreement in a reasonable timescale and especially difficult to implement arrangements for the periodic revision of the obligation, which would be needed in order to build the scale of obligation over time. Thus the scope for regional schemes seems limited to the places where the administrative mechanisms for tight economic cooperation already exist.
*A global scheme suffers from even greater difficulties than regional schemes.* A global scheme lacks any existing institutional structure to operate it or any precedent on which to model it. The nearest arrangements can be seen in the attempts to control emissions from aviation, shipping and refrigeration systems. They have succeeded in addressing environmental issues where the consequences are high and quite immediate, such as atmospheric ozone depletion and oil tanker spills, but they have had little success so far in curbing greenhouse gas emissions, because of differences in views across participating nations. The negotiations under the governing conventions are difficult and slow, taking many years, and CCS would be harder, given that it lacks any obvious United Nations or similar administrative apparatus under which negotiations could take place. The one existing international vehicle available, the Clean Development Mechanism, is not suitable because it has near-zero prices for the rights issued under it, which are known as Certified Emissions Reductions.
### 7.2.4 Placement of the obligation
**The obligation can only be placed on emitters, suppliers or government, while certificates can only be issued to storage providers.** The basic mechanics of how the obligation would operate if placed on the various parties are as follows. First, if it were placed on storers, each storer would be required to store a certain volume of CO₂. They would be issued with certificates on proof of storage and would be required to surrender these
certificates to honour their obligation. The fatal flaw in this option is that these storers do not currently exist. There are no companies engaged in storage who could be obligated, and no companies will enter the market because in the process they would place themselves under an onerous obligation. Second, if the obligation were placed on emitters, then each would face an obligation in proportion either to their emissions or their production of goods, almost certainly the former. They would surrender certificates showing proof of carbon dioxide stored, in satisfaction of their obligation. They would obtain these certificates from storage providers, in return for a payment. The storage providers would be issued certificates for free, or at least only at the cost of regulatory supervision and leasing of the pore space, by a regulatory authority, upon proof of having stored carbon dioxide. Third, a similar arrangement would exist if the obligation were placed on suppliers. They too would purchase certificates from storage providers. There are no options in which the certificates are issued directly to emitters or suppliers because proof of storage is needed; proof of capture is insufficient.
There are primary and secondary determinants of distributional impact. The primary determinant of impact is the level of ambition and the base. The level of ambition directly affects the cost imposed. A low level of ambition will not impose a high cost even if it falls quite narrowly across a small group of firms or individuals. The target, together with price stability mechanisms such as penalty rates and price floors reflect the level of ambition. A wider base results in costs being spread more thinly, over more participants.
The incidence of the obligation is neutral to the placement of the obligation upstream or downstream in the supply chain. Economic theory shows that the way the costs fall between energy suppliers, manufacturers and final consumers is neutral to the placement of the obligation, in the long run. This result is well known in the economic literature of taxation of perfectly competitive markets where the choice is between taxing producers or consumers. The result generalises to other sorts of obligation other than taxation, to market structures which are oligopolistic, and to supply chains with more layers. Proof of this generalisation has been known for a while but was first published in the literature in 2013 for oligopolistic markets, and Vivid Economics has proven it for oligopolistic supply chains in parallel to this work. The reader wishing to understand this further may refer to Weyl and Fabinger (2013) and note that the identity ‘cost pass-through rate plus demand pass-through rate equals unity’ leads to the neutrality principle. This neutrality of placement is an important result. It implies indifference to the placement of the obligation. There is a caveat that in the short run, in the order of a couple of years, prices may be sticky, and in the time it takes for prices to adjust a higher share of the burden may fall on the parts of the supply chain where the obligation is placed.
Wherever the obligation is placed, suppliers, downstream manufacturers and final consumers will each bear a fraction of the cost. The proportion of the cost they bear depends on the structure of the market (the number and size of rivals) and the behaviour of other firms (how aggressive or passive they are as competitors). It also depends on the downstream market structures and consumer price sensitivity. In general, upstream firms will be able to pass on a proportion of the costs of the obligation, and they will often pass on more than half of the direct cost. The circumstances in which they do not are limited to obligated firms who face strong competition from non-obligated firms. The rate of cost pass-through will vary by sector and the final product market. This is well established both in theory and empirical evidence which supports the theory.
Even when the obligation is placed on emitters (manufacturers and consumers) and upstream suppliers bear no direct costs, they still experience the same total costs as if they themselves had been obligated. The suppliers still face an indirect cost from a
reduction in sales as demand shrinks and their margins will suffer as they adjust their pricing to fulfil their objectives, be they profit or sales maximisation or some compromise between the two.
**The obligation can be placed on both suppliers and emitters.** There is no reason why the obligation could not be split and placed partly on suppliers and partly on emitters. It could even be placed partly on suppliers, partly on non-trade exposed, energy intensive emitters, and partly on all other emitters. While these tuned options would involve higher administrative costs, administrative costs are usually a small fraction of total costs, so they could still be attractive. In the past, governments have not participated in obligations, so while in theory governments could impose obligations upon themselves, and this should not be ruled out, they appear unlikely to do so.
**The distributional impacts vary by sector, but in general it seems likely that the majority of the costs will be borne by consumers.** Using Vivid Economics’ industrial market models it is possible to estimate cost pass-through rates for manufacturing sectors, a parameter that is needed for the distributional analysis. The results show that for most sectors the share paid by consumers is between 40 and 80 per cent, the share absorbed by the downstream manufacturer is between zero and 40 per cent and the share absorbed by the upstream supplier is probably around 20 per cent. Hence upstream suppliers should not be overly anxious about the costs falling on themselves of taking on a CCS obligation. The shares are influenced by exposure to competition through trade with jurisdictions not facing similar costs, market structure, firm behaviour and customer price sensitivity. Even in trade exposed sectors, consumers bear a substantial fraction of the cost.
**A downstream obligation may carry a higher administrative burden where there is no existing administrative infrastructure.** The administrative burden is higher downstream principally because there are a greater number of emitters than there are hydrocarbon suppliers. However, in many jurisdictions which would consider a CCS obligation, there are administrative systems already in place, for example, to support an Emissions Trading Scheme, and these would be sufficient to operate a CCS obligation. In this situation the additional administrative burden of a CCS obligation would be very low. The administrative burden of an upstream obligation should be low in all circumstances and might be reduced still further by making use of existing arrangements for collecting fuel taxes, where these are applied upstream.
**The geographic scope and compensation arrangements are a secondary determinant of distributional impact.** The geographic scope matters for the pass through of costs in some manufacturing sectors, in which a narrower geographic scope leads the sector to absorb more of the cost of the obligation in both the circumstances where it bears the obligation directly and in the case where the obligation is placed upstream. The geographic scope does not affect cost incidence on suppliers nor final consumers of fuels, so long as the obligation is placed on all fuels supplied within a jurisdiction, regardless of origin, and that the obligation is not placed on fuels which are exported from the jurisdiction. Of course, if compensation arrangements mitigate these trade effects, then the geographic scope may no longer influence the distribution of costs.
### 7.2.5 Sectoral coverage
**The obligation could be imposed on a wide or a narrow base.** The widest base is all hydrocarbons. Narrower bases exclude certain sectors, fuels or uses. There may be an argument for excluding sectors which are carbon intensive and trade exposed (such as steel and aluminium) if two conditions are satisfied. First, the costs falling on the sector are significant relative to sector profits; second, the obligation falls on part of a market only. If
both conditions are satisfied, the obligation could distort competition, pushing production into the unobligated part of the market. This is known as leakage. It is not possible to exclude sectors if the obligation is imposed upstream, but equivalent effects can be achieved by issuing compensation in the form of credits to specific sectors. There are precedents in renewable electricity obligations which have been imposed both on wide bases and with exemptions. The base can also be chosen for administrative simplicity. For example, if applied downstream, then the obligation might be limited to large emitters, as has been the case in emissions trading schemes. Even with an upstream obligation, there is precedent for small suppliers to receive exemptions, to reduce administrative costs. There is also the option of excluding installations where CCS is not feasible because of small scale, such as small boilers.
**It is possible to begin the obligation with a narrow base before extending coverage as time passes.** This also has precedent, for example in the EU ETS. There might be administrative cost savings in this approach if the total obligation is small at the beginning, and it can be politically helpful by reducing the scale of opposition at the introduction of the policy, and by creating a political constituency (those already obligated) who wish to see the base widened over time.
**There is another variant, which is to set different levels of obligation by sector or fuel use.** There might be reasons to do this on the basis of avoiding carbon leakage but the setting of discretionary levels of obligation by sector will open the policy up to lobbying and to challenge on grounds of discrimination. The creation of opportunity for lobbying means that more political capital is spent on securing agreement, leading to greater risk that the policy will not receive political support. Of these options, a wide base seems preferable and precedent indicates that energy intensive trade exposed sectors can be given some relief where they operate in markets which extend beyond the jurisdiction of the obligation.
**The size of the burden on individual sectors or firms is sensitive to the breadth of the obligation across sectors and the regions of the world which participate in delivering the target.** Simple arithmetic shows that as the obligation base is expanded from industry only to all carbon dioxide emissions, the obligation rate per tonne of carbon dioxide falls by a factor of four, see Table 13. Similarly, as the base is widened from OECD, Russia and UNFCCC Annex 1 to all countries, the obligation rate per tonne falls by a factor of three. Thus there is a range of about four times three, that is, twelve fold between the broadest obligation base globally and the narrowest base in industry in selected regions only, keeping the global target constant. In the period 2020 to 2030, the IEA’s technology pathway for CCS implies an obligation of about USD 9/tCO$_2$ if applied to all emissions in OECD, Russian and Annex 1 countries. The expected cost impact (e.g. on suppliers) can be determined by taking the appropriate fraction (from the distributional impact assessment) of the cost figures in table 13. Note that the 2013 IEA pathway initially requires a volume of CO$_2$ storage which is approximately ten times larger than the scale-up phase. Table 13 uses an indicative value of $100/tonne held constant throughout the period. This value could decrease in response to CCS technology improvements, and an increase in carbon prices.
We illustrate the impact of a certificate scheme using the US electricity sector as a case study. In the period 2020-2030, the total cost of a CCS obligation upon the US electricity sector is projected as $58B\textsuperscript{17}. This represents an average obligation cost of $1.30/MWh, which is an approximately 1-2 per cent increase in the average cost of electricity. In the period 2030-2050, the total cost of a CCS obligation upon the US electricity sector is $389B. This represents an average obligation cost of $4.70/MWh, which is approximately a 5 per cent increase in the average cost of electricity\textsuperscript{18}.
\textsuperscript{17} Global CCS storage levels consistent with IEA 2013 projections. Modelling assumes largest possible ‘base’ for obligations (all sectors, all regions) and so represents a lower bound on expected on-costs. Certificates held constant over the period at $100/tonne stored.
\textsuperscript{18} This simple model excludes two potentially important price dynamics. In future, increasing RES deployment could reduce the load factor of thermal plant, increasing electricity prices from these sources. Secondly, as explored elsewhere in this chapter, the use of a $/tonne abated metric (rather than $/tonne stored) increases the cost of a certificate dramatically when the CO$_2$ intensity of a CCS plant is similar to the grid-averaged CO$_2$ intensity. Both of these effects would be expected post 2030 and would increase the on-cost due to CCS.
7.2.6 Price stability and risk transfer
Both buyers of certificates and operators of CCS systems prefer certainty in certificate prices. Buyers like some certainty in future prices: it reduces the possible regret from having misjudged future market prices and overpaying for certificates. Similarly, developers find it easier to invest in CCS with some certainty in the certificate price, because it lowers the risk that their investment will underperform. There are several ways to stabilise certificate prices. Both parties are risk averse.
An effective method of reducing uncertainty in prices is to set price floors and ceilings. The government can set a price floor by promising to buy certificates at the price floor price. It can set a ceiling in one of two ways. It can either offer to sell CCS certificates at the ceiling price or it can allow obligated parties to buy out their obligations at the ceiling price. These measures ensure that the CCS certificate price always trades between the floor and ceiling prices.
End of year flexibility avoids end of year price volatility. Most trading schemes allow some flexibility at the end of each compliance period, allowing banking of a proportion of the obligated amount from one year to the next. This avoids the problem of price spikes and collapses at the end of obligation periods that can otherwise occur when supply and demand are not in balance at the end of the period.
Price transparency and exchange trading can reduce volatility by improving liquidity. When a buyer or seller places a trade on the market and the placement causes the market price to move, the market lacks liquidity. The characteristic of such thin, illiquid markets is volatile prices. Price volatility depresses trading and makes the market less efficient. In order to have a reasonable level of liquidity, there must be a sufficient number of trades passing through the market and this is usually associated with a sufficient number of market participants. It can also help if traded contracts are standardised, concentrating trading volumes in specific products, and if market rules demand that trades are made through an exchange and prices and volumes are published. This transparency helps investors in CCS and investors in certificate purchase contracts to identify the fair market price. Exchange markets exhibit economies of scale, so they may only be feasible once the CCS target reaches a certain level.
The price of a CCS certificate, or an EPS credit (introduced later) will be difficult to predict, especially over the investment appraisal life (typically 15 to 20 years) of a project. Even if they can be predicted, the future markets would not be sufficiently liquid to make the exchange long term contracts reliable or easy to price. Intermediation may be necessary to transform short term market prices into long term fixed contracts. If the risk appetite of the CCS project developers is low, they may need to transfer certificate price risk to a third party. Either a private party such as a trader or bank, or the government or a government agent could play this role, writing long term contracts to CCS developers, allowing them to secure finance to make capital investments, and selling certificates on short term contracts to buyers. The presence of persons in the market providing these services can be critical to the effective functioning of a market. It may take some time for these services to appear.
7.2.7 Unintended consequences
Interaction with general carbon trading and pricing schemes
A CCS obligation will interact with an emissions trading scheme. By avoiding the release of carbon dioxide emissions, a CCS obligation reduces the demand for ETS allowances and so depresses the ETS allowance price. At the same time, the depressed allowance price
reduces emission reductions from across ETS installations. Where an ETS and a CCS obligation operate in parallel, the CCS obligation may not cause *additional* carbon dioxide reductions. So, in parts of the world where emissions trading schemes are already established and effective, there might be no environmental benefit from the CCS obligation. The counter argument is that the emissions trading scheme could be tightened upon introduction of the Obligation, so that the ETS creates additional environmental benefit. For this tightening to take place, the administration introducing the CCS has to have political influence over the administration of the ETS.
*A poorly designed CCS obligation could, in some circumstances, deliver less emissions reduction than a well-designed scheme.* A CCS obligation funds a payment for carbon capture and storage. While one naturally thinks of CCS as taking carbon dioxide that would otherwise have been released and capturing it, when money is paid for CCS that money could also encourage the production of carbon dioxide for capture. For example, this effect could stimulate carbon dioxide production from carbon intensive industry at the expense of less carbon intensive industry. This is a perverse, unintended outcome and there is a remedy that would prevent it, in the form of a benchmark, explained below. But before the remedy is introduced, here are two examples without the remedy.
**First, a simple example in the power sector.** A coal-fired power station that is able to capture and store carbon at a cost below the market CCS obligation certificate price makes a profit on the CCS activity. Its profit margin consequently increases by fitting CCS. In fact, its profit margin increases by more than its rival, a natural gas plant, when it fits CCS. In response, it increases its power output and consumes more coal, displacing other forms of generation. Overall, the coal-fired plant has become relatively more competitive, its market share increases, and the effect of the CCS obligation has been to increase the amount of coal burned while reducing overall carbon dioxide emissions, see Figure. As shown by Rubin, when comparing the carbon dioxide savings from fitting CCS to CCGT, the costs are $106/tCO$_2$ avoided compared to CCGT and $41/tCO$_2$ avoided compared to fitting CCS to unabated pulverised coal. By virtue of producing and storing more carbon dioxide per unit of energy, a coal-fired plant can add CCS more cheaply than a gas-fired plant. As a result, certificates valued at a $/tCO$_2$ stored basis would reward power production from CCS-fitted coal-fired plant more strongly than from CCS-fitted gas-fired plant. Generalising this observation to any power or industrial process, a simple issuance of certificates for tonnes of carbon dioxide stored tends to reward capture from less efficient processes and dirtier fuels. The unintended consequences might be the additional use of lignite for power, high carbon dioxide content natural gas fields increasing production, and greater production from high carbon dioxide emitting plant.
Second, a simple example in gas production. A field producing natural gas with 50 per cent co-produced carbon dioxide and with a low cost of capturing and storing CO₂, makes a profit on each tonne of CO₂ captured. The profitability of the carbon intensive field is increased relative to less carbon intensive fields. As a result, it attracts more investment and expands production, increasing its market share. The CCS obligation has encouraged a production process that has higher unabated carbon intensity.
The preferred remedy for this problem is to reward CCS only for reductions in carbon dioxide intensity below a benchmark. Such benchmarks already exist for most emissions intensive sectors, in the system for allocating free emissions trading scheme allowances. If a benchmark is set at, for example, the top quartile or top decile for the lowest carbon intensity in a sector, then the certificates issued will reflect only carbon dioxide emissions improvements beyond that benchmark. The emissions abatement would be unambiguously additional if the benchmark were to be set at the average emissions intensity of a new power plant, and similar best available technology for new plant in other sectors. To work effectively, the benchmarks have to be chosen carefully. A benchmark covering all fossil power production would avoid the unintended effect, whereas separate benchmarks for coal- and gas-fired generation would not solve the problem. Figure 18 illustrates this arrangement.
An alternative remedy is to award multiple abatement credits to cleaner plants. Biomass CCS would be rewarded a higher multiple of credits than efficient gas-fired plant and coal would be awarded credits at a rate at or below par.
One note on the Obligation with which to close this discussion. If the obligation is formulated as a share of emissions, then plant equipped with CCS will benefit both from the sale of storage certificates and from not having to buy certificates to cover their emissions.
### 7.3 Environmental performance standard
#### 7.3.1 Placement
The emissions performance standard (EPS) can only be applied downstream at the point of combustion. It is not possible to apply it upstream, to fuel suppliers, because it uses a measure of carbon dioxide per unit of output and the physical production of output occurs solely downstream. Thus, in contrast to the obligation, there is no need to compare upstream and downstream versions.
#### 7.3.2 Trading
The EPS works by introducing a performance standard for the carbon intensity of production. If it fails to meet the standard, then it faces a penalty. The firm has to achieve the standard for individual plant, but the obligation is tradeable, so it can choose to comply across its portfolio of plant, or can choose to trade and satisfy the obligation by buying certificates from others. If it decides to trade, then in theory, it could either trade tonnes of carbon dioxide alone, or it could trade a block of emissions and output together, assigning both to another party, or it could assign some of its output to another party, without the omissions. In practice, it is advantageous to be assigning carbon dioxide rather than output:
carbon dioxide is fungible across many sectors whereas output is specific to the products made in one sector. There are two options: one is to assign carbon dioxide from carbon intensive firms to less carbon intensive firms, and the other is to allow firms that have low carbon intensity to issue credits which they can sell to high carbon intensity firms. Either is possible. These tradeable credits are specific to the EPS scheme. They are separate from the certificates discussed under the obligation.
If a firm decides to pool its assets, then it combines its assets together for the purposes of compliance with the EPS. This pooling could happen between non-associated firms too, but it seems unlikely to be attractive to choose to pool obligations unless the firms already have a close working relationship. Payments would be made as part of the pooling deal. It would be possible to pool assets either within a sector or across sectors because although the output units will not be fungible across sectors, carbon dioxide would be fungible.
As an aside, the trading of carbon dioxide makes the EPS similar to an emissions carbon trading scheme, with one major difference: when firms produce more output and associated emissions, provided that they do so at the standard, they incur no liability. While an emissions trading scheme imposes a cost on production, an emissions performance standard does not. Hence an EPS fails to discourage consumption of carbon intensive goods in favour of less carbon intensive goods.
7.3.3 Definition of standard
The standard is specific to a sector. It is defined per unit of output and the output metrics are specific to each sector, being units of electricity, steel, cement and so on. The standard could be set on a long term path, starting at the current average intensity and declining over time. As the standard becomes more stringent, it encourages higher cost emissions reductions and at some point may stimulate CCS.
An EPS operating in parallel to an ETS creates a parallel currency of carbon certificates. This stimulates similar mitigation measures such as fuel switching and renewable energy in both schemes, but with different targets. The operation of the EPS in parallel with an ETS makes it harder to identify the future price of ETS allowances and EPS certificates. The interaction between the two schemes makes the pricing of the tradeable instruments in each more uncertain. As with the CCS obligation, the EPS will not deliver a net reduction in carbon dioxide emissions when it is implemented alongside an ETS, so it would have no additionality, that is, no environmental value, unless the number of allowances issued under the ETS is reduced appropriately. In the absence of an ETS, however, it would offer environmental benefit.
An EPS can be effective in stimulating particular technologies, such as CCS, only if it is set tightly, such that it stimulates a raft of carbon reducing measures alongside CCS. This is the particular weakness of the EPS, from a CCS perspective. Unless there are reasons to support these non-CCS measures specifically, they could equally well have been stimulated through a general carbon trading or other carbon pricing scheme, which would be broader and hence more efficient. The EPS neither offers the narrow focus of the CCS Obligation nor the broad compass of the ETS. It is a compromise between the two.
In electricity generation, the scope of the sector could be set as fossil generation only. This would stimulate fuel switching, generation efficiency and CCS. Alternatively, the scope could be set as all generation, which would in addition stimulate renewable energy production. In neither case would there be any guarantee that CCS would be commissioned in response to the standard.
The EPS would encounter the same issues and remedies over geographical scope and price stability as a CCS obligation. It is much less likely to have the unintended consequence of stimulating carbon intensive production because it incorporates a standard which is the remedy for this unintended effect of the obligation.
7.4 Public procurement
Public procurement can be used alongside a CCS Obligation or EPS. Public procurement offers three distinctive features which are complementary to the two market mechanisms described above:
- a credit-worthy counterparty, insofar as the government is of good credit risk;
- a potential greater willingness to absorb long-term and poorly understood risks than markets; and,
- access to a financial contribution from a number of potential tax bases.
There are a number of ways in which public procurement can bring these attributes to bear.
The problem of credit-worthiness is most acute in the writing of contracts between infrastructure providers and emitters with capture plant. If and when CCS networks mature to a point where they have a diversified and atomised customer base, there will be a default rate across the portfolio contracts which infrastructure operators could price in to those contracts. The infrastructure operator’s business viability would not be vulnerable to default on individual or small numbers of contracts in the event of individual customer business failures or a recession triggering more widespread writing down of contract values. However, in the potentially lengthy build up to this diversified situation, the infrastructure operator will be exposed to default on individual contracts. Public procurement can provide a separation between the emitter’s credit risk and the infrastructure operator, or can underwrite those risks. Government or its agency can interpose between the emitter and infrastructure operator, by acting as a reseller and writing contracts with each. The infrastructure operator then has contracts with a sovereign rather than with multiple emitters. A similar effect can be achieved if the government writes guarantees on the contracts between emitters and the infrastructure operator. The government could take a fee for its services under either arrangement.
Governments are best placed to absorb policy and uncertain risks. Markets have developed the contractual arrangements and experience to handle common, market and technological risks. They struggle to handle policy and novel risks. There are several risks of this nature in CCS. First, there is the risk that the policy support, established by government through a CCS obligation, EPS, tax credits or other means, will be modified or withdrawn in the future. The sovereignty of governments allows them to change policy and statute in ways that can affect returns and recovery of capital by investors. Unlike policy and statute, when governments write contracts in the form of public procurement, the force of contract law applies and, so long as there is effective contract law and an independent judiciary, investors are entitled to seek compensation. Public procurement via contracts is an effective means of eliminating investors’ policy risk exposure.
The uncertain risks include development and construction risk and long-term leakage from stores. The capital cost of large scale projects is difficult to estimate precisely, especially where there is limited track record of previous projects. Investments in development of CCS projects and construction of CCS infrastructure are two examples where investors might find it difficult to judge how much a project could cost or, rather, what the potential for cost over-runs could be. At the end of the project, the likelihood of leakage
from a store after closure might be estimated from theoretical principles, but may be sufficiently novel to be indigestible to investors. In each of these cases, public procurement might help. In the case of development and construction risk, government can write risk-sharing contracts rather than fixed price contracts and in the case of long-term storage liabilities, government can accept the risk on its balance sheet, in exchange for a payment.
The economics of network businesses is sensitive to the number of participants and volumes using the network. In addition to policy risk, these businesses are sensitive to the recruitment of network subscribers. Many early stage networks receive public support to reduce investors’ exposure to this demand risk. This could include fixed payments for completion of accessible network or payments for available capacity. These payments reduce the share of network and storage revenue that depends on volumes of carbon dioxide carried by the network and stored. At the same time, it decreases the incentive to build the appropriate capacity in the best location, so if the government chooses to make payments of this type, it may also take an active interest in and influence over capacity investment plans.
There can also be a limit on aggregate capacity for specific risk exposure, which government can alleviate. In some situations, in particular where novel investments must be made on the balance sheets of existing firms, there can be limits to the total risk exposure that those existing firms can take on. Firms have a variety of claims on their profits, notably to pay dividends to shareholders and make other investments. If CCS were to be a significant drain on a firm’s current profits, it might not be able to find the full capital sum to invest in capture equipment or in a new network and storage business. This has been seen in other sectors, such as offshore wind and waste disposal. In these circumstances, government can co-invest, supplying co-equity or subordinated debt to augment the supply of equity available for CCS projects.
All of the above arrangements may be possible for governments to execute bilaterally, by negotiation if the numbers of contracts involved are small. However, within larger numbers of contracts, which may be achieved by the time the roll-out phase begins, competitions could be used to ensure governments receive the best prices for its participation, and government may play a more focussed role, taking on only the most difficult risks.
The government’s role opens up a range of new funding bases. The government may choose to fund its participation implicitly, using its balance sheet and tax-raising powers to underwrite its trading activities in the CCS market. Alternatively, it could decide to fund its capital contribution explicitly as a ring-fenced account and it could go further still and raise money explicitly to offer subsidised services to the CCS market. This latter option, of raising funds for subsidy allows governments to adjust the balance of burden between the private sector and general tax payer. Money could be raised by levy from the energy supply sector, or from emitters, for example. If the levy is collected by central government, it is likely to be classed by national accountants as a tax; if it is levied by a statutory licensee set up for that purpose this is less likely to be the case.
7.5 Tax credits
Tax credits have a long history of use to support renewable energy, particularly in the United States of America, where they have mobilised billions of dollars of investment. They are now being used in the USA to promote CCS. The interested reader can look at two published discussions (DoE 2016) and (Sherlock & Folger 2014). Tax credits have been set up to offset the costs of capital expenditure and to reward production of renewable
energy or storage of carbon dioxide. Of these two ways of applying the tax credits, the production tax credit appears to have been more effective in driving down costs and raising output than the capital expenditure tax credit. This finding suggests that, while tax credits offer great flexibility in being able to target specific costs, a production basis for payment is more effective.
Outside the energy field, tax credits have been commonly used in two specific ways: to encourage research and development and to encourage location in a particular place. It is probably no accident that these two applications have been common because they share a similarity in that each is addressing an externality, a benefit from the activity which the firm does not accrue itself. Research and development benefits society widely because knowledge is difficult to protect and leaks out to other firms and its benefit to firms is competed away, passing to customers. Knowing this, it makes sense to subsidise research and development to encourage more to take place. Location in particular places can also benefit wider society. For example, location in an economically depressed area can put the unemployed back to work, or co-location with other similar firms in a cluster can bring additional competitive strength to the other firms. CCS tax credits could be used in both these ways, to encourage greater research and development and to encourage the formation of clusters, by making tax credits available only in certain locations or by making them more generous in priority locations, in order to make the infrastructure configuration more efficient and to strengthen the supply chain and make it more competitive.
A further use for tax credits is to help with the issue of declining costs over time. The costs of many new technologies decline over time, in fact most technology costs fall as scale increases, as new techniques are introduced and as large firms move in, specialising in cost reduction and distribution. This creates a time consistency problem for economic support policies. As deployment moves from first of a kind, through next of a kind, to $n^{th}$ of a kind, the contract prices needed to pay for the projects decline. If the projects are all funded by a common instrument, such as a tradable obligation or performance standard, the early high cost projects will soon be competing for the issue of certificates with much lower cost, future projects. Tax credits offer a solution to this problem, by tapering the tax credit level from a high level of support for early projects, to a low level of support for later projects.
8 References
ADB. (2015). *Roadmap for Carbon Capture and storage Demonstration and Deployment in the People’s Republic of China*. Retrieved from https://www.adb.org/sites/default/files/publication/175347/roadmap-ccs-prc.pdf
Aramco, S. (2015). Launching the Kingdom’s first carbon capture project. Retrieved November 29, 2016, from http://www.saudiaramco.com/en/home/news-media/news/capturing-carbon.html
Banks, J., & Boersma, T. (2015). *Fostering Low Carbon Energy*. Retrieved from https://www.brookings.edu/wp-content/uploads/2016/06/low_carbon_energy_ccs_banks_boersma_FINAL.pdf
US Department of Energy (2016). Issue Brief: Carbon Capture, Utilization and Storage: Climate Change, Economic Competitiveness, and Energy Security, August
Federal Ministry for Economic Affairs and Energy. (2016). Facts and Figures. Retrieved November 29, 2016, from http://www.bmwi.de/EN/Topics/Energy/Electricity-Market-of-the-Future/facts-and-figures.html
Folger, P. (2016). *Funding for Carbon Capture and Sequestration (CCS) at DOE: In Brief*. Retrieved from https://www.fas.org/sgp/crs/misc/R44472.pdf
Folger, P., & Sherlock, M. (2014). Clean Coal Loan Guarantees and Tax Incentives: Issues in Brief, Congressional Research Service, August
Global CCS Institute. (2016a). Illinois Industrial Carbon Capture and Storage Project. Retrieved November 29, 2016, from https://www.globalccsinstitute.com/projects/illinois-industrial-carbon-capture-and-storage-project
Global CCS Institute. (2016b). Large Scale CCS projects. Retrieved November 29, 2016, from https://www.globalccsinstitute.com/projects/large-scale-ccs-projects
Global CCS Institute. (2016c). New bill would expand carbon capture US tax credit. Retrieved December 2, 2016, from https://www.globalccsinstitute.com/news/institute-updates/new-bill-would-expand-carbon-capture-us-tax-credit
Haszeldine, S. (2016). Can CCS and NET enable the continued use of fossil carbon fuels after CoP21? *Oxford Review of Economic Policy*. Retrieved from http://oxrep.oxfordjournals.org/content/32/2/304.short
Hepburn, C. (2006). Regulation by Prices, Quantities, or Both: A Review of Instrument Choice. *Oxford Review of Economic Policy*, 22(2), 226–247.
IEA. (2012). *A Policy Strategy for Carbon Capture and Storage*. Paris: OECD/IEA.
IEA. (2015). *India Energy Outlook*. Retrieved from https://www.iea.org/publications/freepublications/publication/IndiaEnergyOutlook_WE O2015.pdf
Jones, P. (2016). Tesla Sells $20 Million in Tax Credits to Las Vegas Casino. Retrieved November 29, 2016, from http://www.taxanalysts.org/content/tesla-sells-20-million-tax-credits-las-vegas-casino
Kable Intelligence. (2016). Saudi Aramco Khursaniyah Oil and Gas, Saudi Arabia. Retrieved November 29, 2016, from http://www.hydrocarbons-technology.com/projects/saudiaramco/
KPMG. (2013). *China’s chemical industry: The emergence of local champions*. Retrieved from
Legal Information Institute. (2014). U.S. Code §45Q. Retrieved November 29, 2016, from https://www.law.cornell.edu/uscode/text/26/45Q#
Parliamentary Advisory Group on Carbon Capture and Storage (CCS). (2016). *Lowest Cost Decarbonisation for the UK: The Critical Role of CCS*. Retrieved from http://www.ccassociation.org/news-and-events/reports-and-publications/parliamentary-advisory-group-on-ccs-report/
PÖYRY. (2013). *Options to incentivise UK CO2 transport and storage*.
PÖYRY. (2016). *A STRATEGIC APPROACH FOR DEVELOPING CCS IN THE UK*. Retrieved from https://www.theccc.org.uk/wp-content/uploads/2016/07/Popty_-_A_Strategic_Approach_For_Developing_CCS_in_the_UK.pdf
Price, J. (2014). *Effectiveness of Financial Incentives for Carbon Capture and Storage*. Retrieved from http://ieaghg.org/docs/General_Docs/Publications/Effectiveness_of_CCS_Incentives.pdf
Sioshansi, F. P. (2013). *Evolution of Global Electricity Markets: New Paradigms, New Challenges, New Approaches*.
World Bank, Ecofys, & Vivid Economics. (2016). *State and Trends of Carbon Pricing 2016*. Washington, DC.
ZERO. (2013). *Policy instruments for large-scale CCS*.
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Local Government
A PURPOSE-LED PROFESSIONAL SERVICES BUSINESS WITH LAW AT THE CORE
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Pinsent Masons has a core team of ten partners dedicated exclusively to the Local Government sector. This team is supported by 50+ partners and lawyers throughout the firm who support local government clients with their strategic projects.
We have worked with public sector clients over the last 30 years to deliver both strategic and transformational projects as well as transactional and operational requirements. Recognised in the industry for the innovative technologies and approaches we develop, we can help local government clients and in-house legal teams to keep projects and budgets on track, manage multi-stakeholder relationships and support agile working. We have delivered many regionally and nationally high-profile projects, including under intense media scrutiny, and are down-to-earth, practical and decisive. Our lawyers are equipped with the tools they need to work efficiently and securely with local authorities sector and we understand the range of priorities you will be seeking to meet.
Cutting edge concepts
We are at the forefront of cutting edge work for local government often being the ‘first port of call’ to develop new concepts.
Our market leading ‘Structured Solutions’ team is nationally recognised for its expertise in finding positive legal solutions for the delivery of services and assets for and by local authorities where traditional funding is limited. Successes for this concept have included joint ventures, Local Housing Companies, shared services and other new service delivery models.
We are renowned for our work in transformation through PPP:
- New public sector investment models
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We undertake a significant amount of work in:
- Procurement and UK subsidy control law
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Local Government
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JV’s
Our market leading Structured Solutions team designs and delivers effective structured solutions to local authority asset management, and surplus asset investment and development opportunities – from developing an outline proposal to working up a fully realised delivery model, including the formation or establishment of property vehicles, corporate entities and joint ventures with the private sector. We have also used property assets as an important funding tool for the delivery of infrastructure.
Recent examples include:
- **London Borough of Wandsworth** – acting for the Council on its Winstanley and York Road estate renewal project beside Clapham Junction station, in joint venture partnership with Taylor Wimpey, which will see over 2000 new homes delivered over c10 years.
- **Westminster City Council** – we have worked with the Council for over 10 years structuring and delivering affordable housing schemes across the borough, both with private sector partners and also through its wholly owned group of companies Westminster Builds.
- **London Borough of Brent** – advising Brent LBC on their South Kilburn regeneration scheme to include the redevelopment of existing residential tower blocks through the use of the council’s CPO powers in addition to the strategic acquisition of freeholder/leasehold interests allowing for a complex decant and re-housing programme.
Housing
We design and develop effective solutions for the redevelopment of local authority housing estates and housing land, with or without the private sector. We also design vehicles for private rental and affordable housing schemes or where the local authority is “self developing” either for private rental and/or affordable housing. We have an in-depth technical knowledge of the local authority housing regulatory regime especially regarding how the Housing Revenue Account regime works, what general consents are available, and how you can navigate your way through the rules.
We have expertise in landlord and tenant legislation relevant to estate redevelopment (especially around strategies for obtaining vacant possession and decant) and compulsory purchase of dwellings sold under the Right to Buy. We are also one of the principal corporate advisers to Homes England.
Recent examples include:
- **London Borough of Harrow** – advising the Council since 2018 on its £2.5bn regeneration project including the development of three core sites in Harrow, in a corporate joint venture with Wates Group. The project aims to deliver wider regeneration and growth in the borough, as well as delivering wider economic benefits and supporting housing delivery. The venture is expected to deliver up to 100,000 sqft of mixed use development and 1500 new homes, as well as community facilities and commercial workspace.
- **Manchester City Council** – advising the City in respect of the £1bn+ Northern Gateway investment partnership with Far East Consortium. This innovative partnership structure involves a joint venture arrangement that balances the Council’s need for strategic control against the investor’s requirement for generating returns.
- **Basingstoke and Hampshire** – advising the proposed LLP JV vehicle in the development of the Manydown scheme comprising approx 3000 homes with associated infrastructure and community facilities.
Development and Economic Growth
Local authority development (other than housing) tends to fall into two broad categories: (1) market driven (eg, retail, office, town centre) usually where the local authority either owns all or part of the site; and (2) more “interventionist” development, particularly where there is a whole or partial market failure. The latter often involves other regulatory considerations such as compliance with powers, UK subsidy control and a rigorous risk assessment.
Market-driven development can also include development relevant to local authority functions for example a leisure development (which could also involve for example, cross subsidy from housing).
“Intervention” development or regeneration tends to address more difficult sites where viability is challenging. This may involve the consideration of best value for land disposal and compliance with procurement and UK subsidy control law.
Recent examples include:
- **London Borough of Southwark** – we advised the Council on the creation of a new £2bn destination and town centre in joint venture with British Land.
- **Birmingham City Council** – we are advising the Council in relation to the procurement of a developer for its 71 hectare employment site at Peddimore, Sutton Coldfield. A focus on advanced manufacturing and industrial uses, combined with high quality design and landscaping, will combine to create a strategic development for the benefit of the region, yielding up to 10,000 new jobs.
- **Sunderland and South Tyneside Councils** – on the procurement of a development partner for the International Advanced Manufacturing Park, a 100Ha site adjacent to Nissan’s plant in Sunderland which will see the creation of up to 5200 new jobs.
Planning and CPO
Our UK Planning & Environment team, with over 70 specialist lawyers, are thought leaders and game changers in the market. We advise on major development projects and over 30 nationally significant infrastructure projects. Our cutting edge interpretation of new infrastructure, development planning and environment legislation helps clients influence policy and legislative outcomes. Our planning advice to local government covers development plans, planning applications, appeals and inquiries, planning and highways agreements, enforcement and Community Infrastructure Levy. Our compulsory purchase work includes site assembly for infrastructure, housing and other regeneration and public purposes including market-driven commercial elements of regeneration projects.
We also have a unique expertise promoting and/or petitioning against Private Bills for major infrastructure due to our Role A Parliamentary Agent within the team. We also advise on Transport and Works Act orders for local authority sponsored light rail schemes.
Recent examples include:
- **Leeds City Council** – two transformational city centre retail schemes – Land Securities’ Trinity and Hammerson’s Victoria. On both, we advised on compulsory purchase, road closures and planning/highway agreements. We are also advising on East Leeds Orbital Road, a new 7km dual carriageway to deliver 5,000 new homes in the City Region’s largest housing allocation.
- **Somerset Councils** – advising Sedgemoor District Council, West Somerset District Council and Somerset County Council on EDF’s nuclear new build at Hinkley Point C, one of Europe’s largest construction projects. We advised on all aspects of the project, including negotiating planning agreements which will deliver c£100 million of mitigation.
- **Transport for London** – Silvertown Tunnel Development Consent Order (DCO), included advice on sensitive and novel issues such as the assessment of air quality impacts; introduction of road user charges to fund the tunnel; and extensive environmental monitoring and mitigation arrangements. We advised on the interface between the DCO and procurement of the project including the provisions of the Project Agreement between TfL and the contractor.
Energy
With its roots in waste PPP for local authorities, our energy team advises on energy from waste, decentralised energy schemes (CHP) (primarily for new local authority or other developments, both housing and commercial) and local authority renewable energy schemes and Energy Services Companies (ESCos).
We focus on two broad areas, first, local authority energy efficiency and energy performance contracting and secondly, local authority energy generation.
Our work includes energy generation from renewable sources, ESCo energy solutions, energy performance contracting, Green Deal and Eco and collective energy switching.
We also have a market leading team focusing on the consenting and the delivery of innovative energy solutions including WSPD.
Recent examples include:
- **Ebbsfleet Development Corporation** – innovative structure where the Government cashflows the funding of energy infrastructure across the new Ebbsfleet Garden City, recovering costs from developers based on the connections required for their developments in due course. Our team has now helped bring forward over 1GW of capacity to infrastructure projects in the UK and have advised HM Treasury (IPA) on electrical infrastructure in support of many projects.
- **Greater Manchester Authorities** – led by Oldham MBC and Manchester City Council in relation to a joint venture with the Green Investment Bank for the delivery of Green projects.
- **Lincolnshire County Council** – advised the Council on the procurement of an EFW facility, which is the first such project to be funded entirely under the Prudential Borrowing regime. We developed the contract documentation and helped formulate the financial and procurement strategy.
Alternative Service Models
Developing alternative service delivery models for local authorities covers both general support and back office services and function-related activities (such as adult social care, leisure and education).
Our work includes contractual and joint venture models for public and private provision, including incremental models and frameworks. A significant part of our work concentrates on corporate entities for service delivery whether wholly owned, joint venture, not for profit or employee mutual. The latter builds on our work for the Cabinet Office on the mutualisation agenda.
Recent examples include:
- **London Borough of Lambeth** – in relation to co-operative models for local authority housing, regeneration and energy.
- **HM Treasury** – we were part of the team that wrote the HM Treasury PUK guidance on public sector joint ventures and partnering arrangements.
Transport Infrastructure
We provide advice to a wide range of stakeholders including to landowners, developers, investors and funders, regeneration partnerships, in addition to consenting advice to local and national transport authorities. We are distinguished from our competitors by size, specialist knowledge and UK-wide reach.
We are market leaders in advising those promoting or affected by Major Transport and Infrastructure schemes across the whole range of consenting mechanisms, ranging from Development Consent Orders (DCOs), Hybrid Bills to other means such as Transport and Works Act Orders (TWAOs) and Compulsory Purchase Orders (CPOs).
Recent examples include:
- Acting for the West Midlands Passenger Transport Executive (Centro) in connection with two extensions to the Midland Metro tramway system.
- Advised the London Borough of Southwark on the Thames Tideway Tunnel and the related Development Consent Order and NM Rothschild on the Bank Station Capacity Upgrade scheme and the related TWA Order.
- National Highways – we advised on the A303 Stonehenge Tunnel DCO. National Highways’ flagship RIS 2 proposals for the A303 tunnel and related highway works through the Stonehenge World Heritage Site, including on the successful DCO application and the subsequent judicial review. The DCO application was the most controversial and complex to date for the projects in National Highways’ Complex Infrastructure Programme, with an unprecedented number of examination submissions required around the impacts on this most sensitive and internationally designated location.
- We have advised Transport for London on a range of major infrastructure projects including the £1bn extension of the London Underground Northern Line from Kennington to Battersea via Nine Elms and the HS2 Phase 1 Bill.
- Advising Luton Borough Council on the promotion of a DCO for the upgrade of Junction 10a of the M1.
Local Government Law
Our cutting edge work in designing structured solutions for local authorities requires both an innovative and proactive approach to local authority powers. Our work covers both general (eg. formation of enterprises) and specific (eg. function related activities for example social care and housing). We also cover requirements for ministerial consents especially in relation to land disposals.
Our work also includes advising on the reasonableness, rationality and procedural propriety of local authority decisions and examining compliance with fiduciary duties and limitations on the delegation of powers.
As public to public joint working, partnerships, income generation and shared services are becoming increasingly important, new solutions are required to challenges from powers and delegations.
Recent examples include:
- Royal Borough of Kensington and Chelsea, Colchester Borough Council and numerous other local authorities, on powers to create wholly owned subsidiaries for investment in and development of housing and commercial property.
- London Borough of Croydon in relation to the £1.5bn Whitgift Retail Centre redevelopment in collaboration with Westfield and Hammerson – we have advised on issues including best consideration, subsidy control, procurement, appropriation of land, well-being benefits, planning, conservation area and environmental issues, road closure, blight claims, powers of entry, settlements with objectors, statutory compensation and indemnification of the local authority by the developer, rights to light, equalities impacts, Freedom of Information and Environmental Information requests, procedural and constitutional issues and drafting reports.
- East Midlands Development Corporation - advised the East Midlands local authorities on their proposals to establish a locally led development corporation to drive transformational growth. This included liaising with HM Government regarding pre-existing development corporation models and possibilities for a future framework, advising on the planning and consenting strategy in respect of the relevant sites, considering the interface with the proposed East Midlands Freeport and developing the optimum governance model based on the existing development corporation precedents.
Procurement and UK Subsidy Control
Public procurement and subsidy control legislation continue to be an important day-to-day subject for local authorities and is a challenging area in the era of new investment and service models. Ensuring continuing compliance with procurement legislation is an important part of our work for Local Government. We advise on whether procurement legislation is applicable, what procurement choices and procedures are suitable, whether Teckal exemptions can be relied upon, selection and evaluation criteria, ensuring ongoing compliance with procurement processes and procedures and the likelihood of any challenge arising.
As local authorities increasingly use their powers to operate in the market, compliance with UK Subsidy Control law assumes greater importance. Our team can identify whether subsidy is potentially present in a transaction and, if so, mitigate this through application of legal solutions or exemptions. Importantly, they regularly advise on how UK subsidy control law can be used to positively support local government’s ongoing development and regeneration agenda.
Recent examples include:
- **Manchester Northern Gateway** – Providing procurement advice and ongoing support to the Council of the City of Manchester in respect of a circa £1bn housing led investment to create approximately 10,000 new homes. This investment is the largest regeneration project ever run in Manchester.
- **Edinburgh University, City of Edinburgh Council, Scottish Enterprise, NHS Lothian** – the BioQuarter in Edinburgh has established itself as a flagship development within the Life Sciences sector. We are providing the partners with full end-to-end procurement support for its procurement. We provided strategic structuring advice, advised on pre-market engagement, developed the procurement documentation, provided training and advising on procurement issues throughout the process.
- **Cardiff Capital Region City Deal** – Providing subsidy control and procurement advice to the 10 constituent authorities of the City Deal in the first investment under the programme. We structured £37.9 million City Deal funding to establish a compound semiconductor foundry to act as the world-wide centre for the production of compound semi-conductors. The funding will lever £375m of private sector investment and create up to 2,000 highly skilled jobs.
Litigation
Advising on commercial disputes goes to the heart of what our litigation and regulatory team does. Our experienced commercial litigators advise on high value and complex cases for local authorities. We settle a significant number of cases, using our skills gained as mediators and/or as experienced negotiators. Nevertheless, where it is in the local authority’s interests to do so we will take a case to trial.
Our national corporate defence and regulatory team has a multi-disciplinary background consisting of health and safety practitioners, criminal law specialists, ex local authority regulatory prosecutions and inquiries lawyers and a trading law consultant. They specialise in advising on regulatory prosecutions and health and safety, contentious environmental, trading standards, food safety and labelling matters.
Recent examples include:
- **Royal Borough of Kensington and Chelsea** - We acted for RBKC in 2022 in its successful, landmark High Court action to obtain disclosure of certain payments data from accommodation booking platform Airbnb in order to identify cases of illegal subletting of social housing. This ground-breaking ruling will pave the way for social landlords across England to combat this form of social housing tenancy fraud more effectively using civil fraud court procedures.
- We are advising a London borough in relation to an ongoing dispute with a major contractor. The contractor performed a range of planned and preventative maintenance works for our client throughout the borough, over a number of years. The dispute is in relation to payment for the works: our work includes construction adjudication and defamation advice.
- **Coventry City Council** – advice in relation to insolvency matters relative to Coventry City football club.
Construction
As the best in the industry, our advisory and disputes lawyers provide all the expertise local authorities need to sensibly procure their developments and then manage, avoid and resolve contractual and legal issues which arise on construction projects.
We have the world’s largest team of specialist construction lawyers who advise on, engineering procurement and construction contracts, risk management and contract advice, construction litigation, adjudication and Dispute Review Boards and alternative dispute resolution.
Recent examples include:
- **Stockport Metropolitan Borough Council** – advising in relation to the transformation of an 18 acre derelict site into a modern 145,000 square foot industrial park, known as Aurora Stockport, as part of the Council’s wider £900m investment programme.
- **London Borough of Hackney** – advising on the construction aspects of a borough-wide regeneration programme, which is one of London’s largest schemes for building homes for social renting, shared ownership, and private sale and will see 2,760 homes delivered in the Borough.
- **Manchester City Council** – construction law advice on a strategic redevelopment programme at Water Street, Manchester, which will see 825 residential properties and a variety of mixed-use premises delivered at the site. Also advising in connection with the redevelopment programme at Pomona Wharf, Salford.
- **Manchester City Council** – advising in relation to the design and construction of 491 residential units, associated landscaping, car parking and commercial space at Wilburn Basin with a project value of circa £82m.
- **Liverpool City Council** – on the Kings Waterfront Arena and Conference Centre development.
- **A local authority** on the construction of a new Urban Village. This included the construction arrangements for the site wide infrastructure and roads. Because of market conditions relating to inflation, we advised a two stage tender: (1) NEC PSC contract for the pre-construction stage; (2) NEC option A contract for the infrastructure works.
## Key Contacts
### Head of Local Government
**Anne Bowden**
Partner
+44 113 294 5207
+44 7814 556 378
email@example.com
### JVs
**Scot Morrison**
Partner
+44 161 234 8344
+44 7884 236 212
firstname.lastname@example.org
### Housing
**Sarah Campey**
Senior Associate
+44 121 626 5747
+44 7818 054 192
email@example.com
### Development and Economic Growth
**Anne Bowden**
Partner
+44 113 294 5297
+44 7814 556 378
firstname.lastname@example.org
### Planning and CPO
**Jon Riley**
Partner
+44 113 294 5227
+44 7799 256 922
email@example.com
### Energy
**Peter Feehan**
Partner
+44 20 7490 6449
+44 7788 277 880
firstname.lastname@example.org
### Alternative Service Models
**Victoria Douglas**
Senior Associate
+44 161 250 0144
+44 7917 473 850
email@example.com
### Transport Infrastructure
**Robbie Owen**
Partner
+44 20 7490 6420
+44 3373 380 348
firstname.lastname@example.org
### Local Government Law
**Anna Forge**
Consultant
+44 20 7418 8265
+44 7912 930 162
email@example.com
### Procurement/Subsidy
**Elaine McLean**
Senior Associate
+44 141 567 8740
+44 7912 930 206
firstname.lastname@example.org
### Litigation
**Julian Sladdin**
Partner
+44 113 225 5427
+44 7876 577 157
email@example.com
### Construction
**Nigel Blundell**
Partner
+44 121 626 5737
+44 7876 797 202
firstname.lastname@example.org
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We thank both referees for their thoughtful reviews of our work, which have significantly improved the clarity of the manuscript. Below, we address each referee comment and highlight specific changes made to the manuscript. Our author changes are in blue, and the enumerated referee comments are in black.
Anonymous Referee #1
Received and published: 20 October 2019
This manuscript presents comprehensive molecular characterization of smoldering woodsmoke aerosols generated from controlled burning of different hardwood samples. Organic aerosol compositions were correlated with cell toxicity and visible light absorption measurements to probe their potential health and climate effects. While this manuscript is overall well-written, there are several major concerns regarding the study design that need to be addressed before publication.
(1) The selection of cell type and biological endpoint for toxicity testing does not seem to be relevant to the major route of exposure for woodsmoke aerosol exposure. The authors stated that for the cell toxicity bioassay, human epidermal keratinocytes (i.e., skin cells) were used to determine the toxicity of WSA, and the protein content from envelope formation was used as a quantitative biomarker from toxicant exposures. However, compared to dermal contact, inhalation should be more relevant. Use of pulmonary cell models to measure cytotoxicity (cell death or cell proliferation) would be more appropriate for this type of research. The authors should provide clear justifications for the usage of cell type and biological endpoint for toxicity testing.
We appreciate the intent of this recommendation, which is to provide a better approximation to reality. Keratinocytes are found normally in the upper respiratory tract (oropharynx, laryngeal pharynx), throughout the oral cavity and are seen in the trachea as a result of insult (e.g., chronic smoke inhalation); thus, they are relevant to inhalation exposure. Furthermore, keratinocytes have been shown to be a useful model for responses common to epithelial cells (Rhim, 1989; Neugebauer et al., 1996; Rogers et al., 2001).
It should be kept in mind that the respiratory tract is populated by about 40 different cell types, all with different properties. Except for white blood cells, none can be serially cultured in their normal state. Cell lines are available derived from the respiratory tract, but these are generally neoplastic and considerably deviated from normal. The commonly used BEAS-2B cell line, for example, is aneuploid and was derived from human bronchial epithelial cells by transformation with an adenovirus-SV40 hybrid virus (Reddel et al., 1988).
The human SIK line that we use is minimally deviated from normal (one chromosomal aberration (Rice et al., 1993)). The response we are using exploits a property of keratinocytes that is part of their normal terminal differentiation program occurring as the cells become permeable to trypan blue dye (Green, 1977). Moreover, the lung is not the only target tissue of air pollutants. Pollutants are taken up into the blood stream and distributed throughout the body with various target cells including keratinocytes of the esophagus and even epidermis. No assay will successfully reproduce the *in vivo* environment, but the one we use is as good as or better than others. Please note that the
Ah receptor assay does not use cells from the respiratory tract but is an excellent and relevant assay nevertheless.
We have added the following justification to Section 2.4:
“Keratinocytes can be found naturally in the upper respiratory tract, oral cavity, and formed in the trachea as a response to air pollution, cigarette smoke, and woodsmoke inhalation exposure (Plamenac et al., 1979b; Plamenac et al., 1979a; Lee et al., 1994; Moran-Mendoza et al., 2008). Moreover, they have been shown to be a useful model for responses common to epithelial cells (Rhim, 1989; Neugebauer et al., 1996; Rogers et al., 2001).”
(2) As discussed in section 3.1 (Line 188-201), the authors provided an exposure scenario, stating that a human adult would take ~2175 breaths to reach the cell toxicity EC50 value of Red Oak smoldering woodsmoke aerosols. Again, since epidermal keratinocytes (i.e., skin cells) were used to determine cell toxicity by measuring the protein content from envelope formation, the EC50 values derived from this assay are not appropriate parameters for an exposure assessment through inhalation. The authors should limit the inhalation-related discussion based on their EC50 values.
We have addressed this concern in (1) – it has been demonstrated in the literature that keratinocytes are valid models for comparing inhalation exposure. Although a single cell type cannot display the sensitivities of the numerous cell types that are exposed in the lung and elsewhere in the body, it permits calculating a benchmark suggestive of potential toxicity. We only offer a back-of-the-envelope calculation showing that the measured values are relevant. Extrapolating values based on “lung” cells are not necessarily more relevant to *in vivo* sensitivity. In view of all uncertainties, the estimate provided in the manuscript remains useful.
We added the following to Section 3.1., to offer perspective for extrapolating *in vitro* values:
“Although no assay will successfully reproduce the *in vivo* environment, i.e., exposure to approximately 40 different cell types in the respiratory tract, distribution of toxicants throughout the bloodstream to major organs, and either deactivation or activation by metabolism, these (and other) *in vitro* results are useful as an estimation of risk.”
(3) The toxicity bioassay was quantified colorimetrically at the wavelength of 495 nm. This wavelength overlaps with the visible brown carbon absorption. Did the author measure the absorption from aerosol sample extracts to account for the potential interference from brown carbon absorption at this wavelength?
The envelope assay involves isolating these protein structures by washing them in SDS solution before measuring their protein content. Thus, the smoke extracts are separated from the envelopes, so no interference occurs from their color.
We added the following clarification to Section 2.4:
“As the protein structures of SIK cultures exposed to WSA were isolated during the washing process, no interference from WSA absorption occurs in the colorimetric analysis.”
(4) Line 158: What were the positive controls used in the cell toxicity bioassay to simulate the maximum activity?
We added the following information to Section 2.4:
“Ionophore X5375, which is known to induce envelope formation in the large majority of cells (Rice and Green, 1979), was used as the positive control.”
(5) Line 245: The cell toxicity measured by the protein content from envelope formation was not a direct measure of cell death. How did the authors determine whether the WSA extracts kill cells?
We have stated that envelope formation is actually a measure of cell death, since it occurs when the cells become permeabilized:
Line 143: “The cross-linking can be induced by permeabilization of the cells, permitting a rise in cytosolic calcium ions that activates the membrane-bound transglutaminase TGM1 and results in cell death.”
(6) The rationale for measuring AhR and ER activity from woodsmoke aerosol exposure should be strengthen. What are the underlying hypotheses?
We added the following to the Introduction to strengthen our hypotheses:
“We measured the total cellular toxicity effects of smoldering WSA. In addition, the Ah receptor (AhR) and estrogen receptor (ER) are known to play critical regulatory roles in mediating the biological and toxicological effects of diverse environmental chemicals. As wood combustion produces PAH-like compounds and phenolic compounds, classes of chemicals that are known to activate the AhR and/or ER signaling pathways (Denison and Nagy, 2003; Krüger et al., 2008; Stejskalova et al., 2011; Li et al., 2012; Cipolletti et al., 2018), we measured the AhR and ER activities of smoldering WSA”
(7) Throughout the manuscript, a lot of discussions between molecular composition and biological endpoints (e.g., AhR activity) were based on correlations. The authors should be careful about drawing conclusions from this relationship since correlation does not imply causation. Validation work should be carried out.
We agree that care should be taken when drawing conclusions from correlations. It is unreasonable, however, to avoid reaching some conclusions altogether from a correlation study. We have been careful to discuss findings in terms of what is known and what is speculative (e.g., “potential chromophores” (Line 69); “it is not clear which compounds specifically effect (sic) cell toxicity” (Line 346)) and we discussed at length how some of our findings are unexpected or may be coincidental. Here are examples of explicit caveats.
a. Line 323: “A positive effect means that the signal of the peak directly …and a negative effect means anti-correlation, neither of which is necessarily causative.” (this sentence is followed by direct examples of why correlation is not necessarily causation in our work)
b. Line 320: “The occurrence of structural isomers is a limitation that may confound the statistics in this work…”
c. Line 388: “Even so, many of the correlations are not easily understood and could be due to coincidence or driven by unassigned isomers.”
We mentioned that the correlation portion of this work “identified multiple targets for further toxicological testing.” Validation work should be done in future studies but is outside the scope of the current study.
(8) For the brown carbon measurement, why did the author measure the visible light only (400-700 nm), but not the full range for tropospheric-relevant radiation (300-700 nm)? Note that most brown carbon constituents absorb light at near-UV wavelengths (300-400 nm) and to a lesser extent visible light.
We measured a broad UV-vis spectrum in the range of 200 – 800 nm, but only use the visible spectra to correlate with the HRMS data. We fully understand that BrC typically have high absorption at UV wavelengths and the corresponding author has previously published papers on BrC showing the full absorption spectra. However, this manuscript is focused only on understanding the molecular identities of the “brown” chromophores, i.e., “visible light absorption” is in the title and all of our MAC values are labeled as MACvis. As BrC is a mixture, there are many compounds in the aerosol that do not absorb light – in fact, it has been documented that the chromophoric fraction in some BrC is rather low but the chromophores are potent (Laskin et al., 2014). Doing the correlations with the inclusion of the UV portion of the absorption is expected to dilute the strength of the correlations to the visible-light-absorbing chromophores.
We added this sentence of clarification to Section 2.3. “As this work is focused on visible-light-absorbing chromophores, the UV portion of the brown carbon absorption was not examined.”
(9) Line 380-385: What fractions of sinapaldehyde and coniferaldehyde converted to their enol forms in the extract solutions?
Sinapaldehyde and coniferaldehyde don’t have accessible enol forms. In general, enol formation is highly unfavorable at atmospherically relevant temperatures (i.e., equilibrium is highly shifted toward keto form, e.g., (Keeffe et al., 1990), or organic chemistry textbooks), and for conjugated compounds like sinapaldehyde and coniferaldehyde, where a hypothetical enol formation removes aromaticity, this likelihood will be further reduced to zero. Our point is that with vanillylidene acetone, this tautomerization is possible due to its neighboring sigma carbon. We made the following changes (underlined) to be more clear.
“…but vanillylidene acetone can achieve some additional resonance with its keto-enol tautomerization (which tends not to happen in the ring because the aromatic phenol is highly favored) while sinapaldehyde and coniferaldehyde cannot.”
(10) Line 386: The authors could check on the pKa of these detected products and compare that to the pH of your solution.
We will clarify our discussion of the pH effects on line 386. The phenolates in question either occur either as isolated compounds in solution or as a member of a charge-transfer pair. As the pH of our solution is roughly 5, the free phenolate form of, say, coniferaldehyde (pKa ~ 8, Ragnar, Lindgren, and Nilvebrant, 2008) would be expected to be roughly 0.1% of the phenol form if equilibrium is reached in solution. However, as a member of a charge-transfer pair, the acid/base dissociation equilibrium is less important. A charge transfer pair can exist at a wide variety of pH because of the localized effects. Importantly, the pH-dependence of charge transfer pair to produce chromophores differs by their chemical structure. For example, the pH dependence of the chromophore from phenol + old yellow enzyme is strong for chlorophenol but weak for methoxybenzaldehyde (Abramovitz and Massey, 1976). Because of these differences, we stated in our conclusion that we “hypothesize that the mechanism of action is through charge transfer reactions to form phenolates.”
We have now inserted the solution pH value and revised the text in question (revisions underlined) to be more clear:
“It could be that Our solution may not be sufficiently basic (pH ~ 5) for the deprotonated form of some phenols to substantially exist in equilibrium (e.g., pKa for sinapaldehyde is 8.2, coniferaldehyde is 7.98, vanillin is 7.4, and bivanillin is 6.16, (Ragnar et al., 2000); however, localized charge-transfer interactions may facilitate the deprotonation of phenols at pH much lower than their pKa (Abramovitz and Massey, 1976).”
(11) Line 423-425: Does the formation of phenolate occur only in the aqueous solution?
No, phenolates can be observed in aerosols as well (Phillips et al., 2017; Lin et al., 2017) as most aerosols have some water on them. Furthermore, on aerosols, there may not be just one pH but a distribution of pHs throughout the phase-separated pockets so the phenols can exist separately from phenolates.
“In atmospheric aerosols, phenolates have been suggested to contribute substantially to brown carbon absorption as facilitated by their charge-transfer interactions (Phillips et al., 2017).”
(12) Line 12 and 86: did the author mean to say “hardwood” here?
No actually, we do mean “heartwood.” The woody material of a tree can usually be divided into “sapwood” (less dense, living, higher-moisture, outermost portion of a woody stem or branch) and “heartwood” (more dense, dead, drier, inner wood). Usually the sapwood is a lighter color than the heartwood, and is named as such due to the high amount of sap in the cells. Heartwood often comprises the majority of the cross-section and is used to make furniture.
This study investigated the molecular composition, optical and biological properties of woodsmoke aerosols. Correlations between some identified molecular formulas with MAC and bio endpoints were found. Overall, the analyses are sound, and the manuscript is well-written and easy to follow. I recommend that it can be published following some revisions.
(1) I have the same concern as Referee#1 comments (1) and (2) for the selection of cell type. The author should illustrate the rationale to use human epidermal keratinocytes.
Please see the response to Referee #1 comments (1) and (2) above.
Also, why such high passage number (25-35) were being used? Usually the cell passage number shouldn’t be higher than 20, otherwise the cell response results can be biased.
We are not aware of any specific limits on passage numbers of cell cultures in general (though they may be advocated for certain assays), but we do understand the concern about passage number. Since neoplastic cell lines evolve in culture, limits are commonly put on passage numbers to assure that the properties of the cells are not evolved far beyond those of the original passage. This is particularly germane if the passage numbers at the beginning of a study are quite different from those at the end. In this case we used passages of a narrow range to avoid such a problem. The SIK line is well characterized through numerous passages and is known to retain essentially normal function at the passage range employed. The cells have a single chromosomal aberration that permits continuous growth while altering their behavior only minimally (Rice et al, 1993). We observed that the cells were similarly sensitive to the measured effects of WSA exposure on envelope formation throughout the range of passages employed.
We added the following justification to Section 2.4:
“SIK cells have a single chromosomal aberration that permits continuous growth throughout the range of passages employed while altering their behaviour only minimally (Rice et al, 1993).”
(2) Line 149: cells were incubated with extracts of WSA for 48h. During the 48h incubation in water/acetonitrile solution, cells may not be alive although the author did not find envelope formation in negative control. Did the authors try other cell viability assays to test cell viability? Why the author used such a long incubation time?
The long incubation time was used to increase the sensitivity of the assay when sample amounts were limited (thereby avoiding sample batch effects). Envelope formation is a measure of sufficient cell damage to induce permeabilization, a normal feature of their terminal differentiation (death). We did not test for lesser damage that might permit the cells to survive. Envelope formation is known to depend on transglutaminase activity, which is induced during differentiation. Although the less differentiated cells in the basal layer may lack sufficient transglutaminase to make envelopes, some 90% develop them in the post-confluent stratified cultures assayed (Rice and Green, 1979).
We added the following clarification to Section 2.4:
“...to increase the assay sensitivity while conserving cell viability.”
(3) Line 263: no correlation between chromophoric species with cell toxicity does not necessarily mean they don’t contribute to produce cell toxicity, and vice versa. Indeed, there is a recent paper (Chen et al., es&t 2019) showing significant correlation between DTT activity and water-soluble brown carbon.
We do not mean to imply that there is no correlation between aerosol chromophoric species and toxicity in general. We only reach this conclusion for the chromophores generated in our samples, as there are a vast variety of chromophores in nature that may produce a cell toxicity response (such as PAHs, nitrophenols, quinones, metal-ligand pairs). Chen et al (2019) tested WSOM extracts of ambient aerosols collected from China, where the findings were suggested by the authors to be due to the contributions from PAHs, quinones, or metals that generate ROS through redox cycling or Fenton-like chemistry, which are not studied in this work.
We added the Chen (2019) reference and clarify our statements by making the following changes (underlined):
“Furthermore, the MACvis values do not correlate to either cell toxicity (Fig. S5b, adj. R² 0.03) or AhR activity (Fig. S5c, adj. R² -0.06), suggesting that chromophoric species in this work (e.g., specific conjugated compounds, charge transfer complexes, etc.) are not necessarily those producing these effects. In contrast, specific classes of chromophores from atmospheric aerosols in China have been found to have oxidative potential based on a chemical assay, which were suggested to be due to their PAH-like, quinone-like, or metallic constituents (Chen et al., 2019).”
(Abstract) “Finally, MACvis had no correlation with toxicity or receptor signaling, suggesting that key chromophores in this work are not biologically active on the endpoints tested.”
(4) There are a lot of correlation analysis in the manuscript. The authors should also do statistical analysis to show how significant the correlations are.
This is a good suggestion. In general, there is a relationship between the R² coefficient and the p value, an indicator of statistical significance. Although strict cutoffs are rarely used by statisticians, p < 0.05 is generally accepted as highly significant and for our data, the cutoff of p = 0.05 occurs around R² = 0.44 on average. We have done the significance analysis for all of the statistical fits in the present work using Matlab’s correlation coefficient function and found that 90% of the entries in Table 2 had p < 0.05, which indicates strong evidence against the null hypothesis. The remainder were primarily borderline cases (0.05 < p < 0.07), which indicates weaker evidence. We made the following changes:
a. We added the following text to the caption of Table 2: “Entries have p-values ≤ 0.05 (90%), or p < 0.1 (100%).”
b. We added the following text to the Results and Discussion section of the manuscript: “90% of the correlations shown in Table 2 have p-values ranging from 0.0002 to 0.05, while 100%
have $p < 0.1$. This suggests that the correlations have moderate-to-strong evidence against coincidence.”
(5) The authors should do some comparisons of their cell toxicity, AhR activity and ER activity results with other previous studies using the same assays. Only looking at the numbers in table 1 cannot get a sense how toxic the WSA are. The authors shall compare their results with other types of aerosols or other toxicants.
Originally, we limited the discussion mainly to aerosols that were derived from woodsmoke; however, we can see the referee’s point about the benefit of broader comparisons with other types of aerosols or other toxicants.
While we cannot compare the envelope-formation cell toxicity assay to other works because this is the first time this type of assay has been performed on atmospherically-relevant aerosols, we have added comparisons of AhR activity and ER activity for different size fractions of particulate matter (PM) to the Results and Discussion:
“Despite dissimilarities in chemical composition, it can be instructive to compare the total AhR and ER activity of smoldering WSA to those measured for ambient particulate matter. Utilizing similar cell-based bioassays, PM$_{1}$ collected from rural and urban traffic sites in Switzerland was found to have AhR activity of $0.5 - 2 \times 10^{-6}$ g TCDD EQs/g PM and ER activity of $2 - 23 \times 10^{-9}$ g E2 EQs/g PM (Wenger et al., 2009a; Wenger et al., 2009b). Similarly, PM$_{10}$ collected from downtown Toronto, Canada was found to have AhR activity of $0.04 - 1 \times 10^{-6}$ g TCDD EQs/g PM and ER activity of $\sim 10^{-6}$ g E2 EQs/g PM (Clemons et al., 1998). PM of various size fractions from different polluted sites in the Czech Republic had AhR activity of $0.001 - 1 \times 10^{-6}$ g TCDD EQs/g PM and ER activity of $0.1 - 20 \times 10^{-9}$ g E2 EQs/g PM (Novák et al., 2014). Organic PM in Wuhan, China was found to have ER activity of $\sim 2 - 8 \times 10^{-7}$ g E2 EQs/g, depending on whether the PM was collected on sunny or foggy days (Wang et al., 2004). In comparison, the AhR activities of smoldering WSA in this work are within the range of PM from urban and industrial sites, while the ER activities are similar to some types of urban/industrial PM but a factor of $10^{2-3}$ lower than others. Wenger et al. (2009) also found the total concentration of AhR agonists to be much higher than concentrations for the traditional AhR agonists such as PCDD/Fs, suggesting a diversity of AhR-active ligands in ambient PM and further supporting the notion that AhR can bind and be activated by a wide range of structurally diverse chemicals in the environment (Denison and Nagy, 2003; DeGroot et al., 2011; Stejskalova et al., 2011).”
(6) Minor comment: 1. Figure S3, scale the x-axis to 0.1 to 4 mg/mL would be better to present the concentration-dependent curves.
We have changed the scale in the figure as recommended by the reviewer.
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Relationship between the molecular composition, visible light absorption, and health-related properties of smoldering woodsmoke aerosols
Lam Kam Chan, Khanh Q. Nguyen, Noreen Karim, Yatian Yang†, Robert H. Rice, Guochun He, Michael S. Denison, and Tran B. Nguyen*
Department of Environmental Toxicology, University of California Davis, Davis, CA 95616
† Now at: Department of Biochemistry and Molecular Medicine, UC Davis School of Medicine, Sacramento, USA
Correspondence to: T.B. Nguyen (email@example.com)
Abstract. Organic aerosols generated from the smoldering combustion of wood critically impact air quality and health for billions of people worldwide; yet, the links between the chemical components and the optical or biological effects of woodsmoke aerosols (WSA) are still poorly understood. In this work, an untargeted analysis of the molecular composition of smoldering WSA, generated in a controlled environment from nine types of heartwood fuels (African Mahogany, Birch, Cherry, Maple, Pine, Poplar, Red Oak, Redwood, and Walnut) identified several hundred compounds using gas chromatography mass spectrometry (GC-MS) and nano-electrospray high-resolution mass spectrometry (HRMS) with tandem multistage mass spectrometry (MSⁿ). The effects of WSA on cell toxicity, aryl hydrocarbon receptor (AhR)- and estrogen receptor (ER)-dependent gene expression were characterized with cellular assays, and the visible mass absorption coefficients (MAC_vis) of WSA were measured with UV-visible spectroscopy. The WSA studied in this work have significant levels of biological and toxicological activity, with exposure levels in both an outdoor and indoor environment similar to or greater than those of other toxicants. A correlation between the HRMS molecular composition and aerosol properties found that phenolic compounds from the oxidative decomposition of lignin are the main drivers of aerosol effects, while the cellulose decomposition products play a secondary role, e.g., levoglucosan is anti-correlated with multiple effects. Polycyclic aromatic hydrocarbons (PAHs) are not expected to form at the combustion temperature in this work, nor were observed above the detection limit; thus, biological and optical properties of the smoldering WSA are not attributed to PAHs. Syringyl compounds tend to correlate with cell toxicity, while the more conjugated molecules (including several compounds assigned to dimers) have higher AhR activity and MAC_vis. The negative correlation between cell toxicity and AhR activity suggests that the toxicity of smoldering WSA to cells is not mediated by the AhR. Both mass-normalized biological outcomes have a statistically-significant dependence on the degree of combustion of the wood. In addition, our observations support that the visible light absorption of WSA is at least partially due to charge transfer effects in aerosols, as previously suggested. Finally, MAC_vis has no correlation with toxicity or receptor signaling, suggesting that key chromophores in this work are not biologically active on the endpoints tested.
1. Introduction
The combustion of wood from, for example, residential fireplaces, forest fires, and prescribed burns is a large source of fine particulate matter (PM$_{2.5}$) in the United States and much of the world (Rogge et al., 1998; EPA, 2003; Mazzoleni et al., 2007; Park et al., 2007; Swiston et al., 2008; Zhang et al., 2013), particularly in winter when woodsmoke aerosols (WSA) can account for the majority of organic carbon and up to 90% of PM$_{2.5}$ regionally (Rogge et al., 1998; Gorin et al., 2006; Kleeman et al., 2008; NYSERDA, 2008). In an indoor environment, the incomplete combustion of solid fuels (64 – 95% wood usage in rural India at, but also dung and crops (Menon, 1988)) is the main source of indoor air pollution exposure to roughly 3 billion people worldwide (WHO, 2011). This indoor WSA exposure occurs mostly in developing nations and mostly to women and children, possibly accounting for the highest burden of environmental disease globally (Ezzati and Kammen, 2002; WHO, 2002; Smith and Mehta, 2003).
Multiple factors impact the combustion chemistry, such as the wood composition (lignin/cellulose fractions, lignin H/G/S composition, natural monomers such as resins, waxes, sugars), water fraction, environmental conditions, and other factors, which in turn impact the aerosol composition and effects. During a typical fire, the high-intensity but short initial period of flaming combustion is correlated with CO$_2$ production and emissions that rise to higher altitudes. In contrast, the low-intensity but long period of smoldering combustion is correlated with CO and other products of incomplete combustion, and emissions that remain closer to the ground (Andreae and Merlet, 2001) where they are more likely inhaled. Smoldering combustion, which produces a higher quantity of particles and most of the organic species in a fire (Einfeld et al., 1991; Yokelson et al., 1997; Bertschi et al., 2003), is responsible for a majority of biomass consumption during prescribed burns, residential wood burning, cigarette smoke, and fires from tropical and temperate forests and deforestation areas (Standley and Simoneit, 1990; Ward et al., 1992; Yokelson et al., 1997; Simoneit et al., 2000; Ohlemiller, 2002; Rabelo et al., 2004). Due to the high toxicant production, the emissions from smoldering combustion are recommended to be used to assess health exposure (Morawska and Zhang, 2002). This work focuses on the organic aerosols generated from smoldering combustion of woods in a controlled laboratory setting.
The significant adverse health effects of WSA on endpoints such as mortality, morbidity, respiratory disease, cancer, among others, are well-documented and are characterized to be as serious, if not more so, than other sources of particulate matter (Lewis et al., 1988; Zelikoff et al., 2002; Boman et al., 2003; Kubátová et al., 2006; Orozco-Levi et al., 2006; Lewtas, 2007; Swiston et al., 2008; Danielsen et al., 2011). For example, organic extracts of particulate matter with high WSA content are approximately 30 times more potent than cigarette smoke condensate in a tumor induction assay (Cupitt et al., 1994). Yet, it is not clear whether the health-related effects of the WSA organics can be attributed to toxicants other than the well-studied polycyclic aromatic hydrocarbons (PAHs), such as the multifunctional aldehydes, ketones, phenols, organic nitrogen, organic acids, etc. (Hedberg et al., 2002) that are also present in WSA with largely unknown biological effects. Previous bulk analyses have shown that the emissions of total particulate matter and PAHs depend on the wood type and burn conditions (Maga and
High-resolution mass spectrometry (HRMS) analyses have offered insight into the complex molecular composition of aerosols from biomass combustion (Smith et al., 2008; Laskin et al., 2009; Lin et al., 2016; Lin et al., 2017; Fleming et al., 2018). However, the links between the chemical origin and macroscopic endpoints are still poorly understood. This work focuses on two critical gaps in knowledge surrounding woodsmoke (Naehler et al., 2007): the fundamental understanding of (1) how different types of woods and burn conditions affect the molecular composition and (2) relationships between the aerosol’s properties and its chemical composition.
We measured the total cellular toxicity effects of smoldering WSA. In addition, the Ah receptor (AhR) and estrogen receptor (ER) are known to play critical regulatory roles in mediating the biological and toxicological effects of diverse environmental chemicals. As wood combustion produces PAH-like compounds and phenolic compounds, classes of chemicals that are known to activate the AhR and/or ER signaling pathways (Denison and Nagy, 2003; Krüger et al., 2008; Stejskalova et al., 2011; Li et al., 2012; Cipolletti et al., 2018), we measured the AhR and ER activities of smoldering WSA. Alongside biological effects, we also studied the potential chromophores responsible for the visible light absorption of smoldering WSA. The combustion of wood (and other biomass) is known to produce “brown carbon” aerosols (Andreae and Gelencser, 2006), which absorb light in the troposphere and appear yellow or brown to the eye. Although most of the absorption of WSA and other biomass burning aerosols is due to elemental carbon (soot) in the atmosphere, the organic aerosols such as in smoldering WSA represent a secondary but not insignificant fraction (Kirchstetter and Thatcher, 2012; Washenfelder et al., 2015).
2. Experimental
2.1. Smoldering combustion woodsmoke aerosols
Woodsmoke aerosol (WSA) samples were prepared in a 40 L smoldering combustion chamber (Fig. 1) that is fitted with Teflon tubing. The relative humidity (RH) for the combustion was set to ~ 40%, as verified by a membrane humidity probe (Vaisala Inc.), chosen to be consistent with the RH range found in some indoor environments (Salonvaara et al., 2004; Irulegi et al., 2017), where residential wood burning may occur, and with the daytime RH that are correlated with wildfire events (highest burned areas at RH 38 - 42%) (Flannigan and Harrington, 1988; Piñol et al., 1998). Humidified ultra zero air in the chamber was achieved by combining a ~ 1.5 L min⁻¹ humid flow through a wet-wall humidifier with a ~ 2.5 L min⁻¹ dry flow from a high-pressure cylinder (Airgas UZA: 20 – 22% O₂ in N₂, 2 ppm H₂O, 1 ppm CO₂, 1 ppm CO, 0.1 ppm total hydrocarbons) through flow restrictors.
Heartwood samples of nine types of wood (African Mahogany, Birch, Cherry, Maple, Pine, Poplar, Red Oak, Redwood, and Walnut) were purchased from a lumber store local to Davis, CA and were cut into 4 cm x 2 cm x 1 cm blocks, using a blade cleaned with isopropanol between each use. The subset of wood species selected are a combination of softwoods (Redwood, Pine) and hardwoods that can be found in North American forests (Burns and Honkala, 1990) and often used for firewood or
for building homes and furniture. Approximately two wood blocks with an average mass of 2.5 g each were used for every burn with a combustion temperature of 330 °C, which produced a thick white smoke from the smoldering process. After 15 minutes of combustion, aerosols were collected from the center of the chamber, approximately 15 – 20 cm above the fuel source, for 25 minutes with a Polyvinylidene fluoride filter (Millipore Sigma, 0.65 µm pore size) and a flow rate of approximately 2 L min\(^{-1}\) (the remaining flow is discarded through the vent). An average of 85% by mass of the fuel source was burned. The temperature at the location immediately upstream of aerosol collection was approximately 25 °C. The tubing in contact with aerosols and filter collection apparatus was cleaned between each burn using isopropanol. Multiple (> 3) burns of each wood type were performed, with reproducible results.
The WSA samples were gravimetrically analyzed and, if not used immediately, vacuum-sealed in polyethylene filter holders and stored at −10°C. Prior to analyses, WSA were extracted in solvent using a mixture of 1:1 ultrapure water and acetonitrile with 30 minutes room-temperature agitation on an orbital shaker (IKA Inc.) at 1000 rpm. Each extraction used the required solvent to achieve a mass concentration of 5 mg mL\(^{-1}\), depending on the WSA mass collected, and were diluted for analyses as necessary.
### 2.2. Molecular composition analysis
Diluted WSA extracts (100 µg mL\(^{-1}\)) were analyzed for organic molecular composition using a linear-trap-quadrupole Orbitrap (LTQ-Orbitrap) mass spectrometer (Thermo Corp.) at a mass resolving power of ~ 100,000 m/Δm at m/z 200. The WSA extracts were directly infused into a capillary nano-electrospray ion source (ESI, 50 µm fused-silica capillary tip, 4 kV spray voltage, 275°C capillary temperature, 15 µL min\(^{-1}\) flow), and the spectra were taken at a mass range of m/z 50 – 1000 in the positive ion mode. Ionization mechanisms in the positive ion mode ESI include protonation ([M+H]\(^+\) ions) and/or sodiation ([M+Na]\(^+\) ions). An external 11-point mass calibration in the m/z range of 100 – 600 was performed using a variety of analytical standard solutions (ESI-L tuning mix, amine mixture, and others, (Supelco Inc.)) immediately prior to the MS analysis, such that the mass accuracy is adjusted to be approximately 1 ppm for standard compounds. Insights into molecular structure were obtained using collision induced dissociation (CID) multistage tandem mass spectrometry (MS\(^n\), stages 2 – 4) in the LTQ-Orbitrap for ions that have adequate signal. CID energy was tuned for each mass, so that the normalized precursor ion had 10 – 20% abundance, and neutral or radical losses were analyzed using the Thermo Xcalibur software suite.
The sample mass spectra with signal to noise ratio (S/N) > 3 were processed by subtracting the background mass spectra of the blank filter extracts, deconvoluted with a quadratic fit model and deisotoped using Decon2LS tools (freeware from PNNL), mass corrected with the external calibration curve, and assigned to molecular formulas using a custom Matlab protocol based on heuristic mass filtering rules (Kind and Fiehn, 2007) and Kendrick Mass (KM) defect analysis (Kendrick, 1963; Roach et al., 2011) with KM base of CH\(_2\). Correlations with HRMS peaks are performed using Matlab’s linear regression model fitlm. Least-squares fit results with coefficients (R\(^2\)) greater than 0.4 having slopes in either direction are reported.
The less polar, higher-volatility components of WSA were extracted using ethyl acetate at 100 µg mL\(^{-1}\) and analyzed with gas chromatography mass spectrometry (GC-MS) on an Agilent 6890 GC and 5973 MS detector using an HP-5MS column (30 m x 250 µm x 0.25 µm) and the following temperature program: 50°C (0.5 min hold), 12°C min\(^{-1}\) until 260°C (12 min hold). An EPA-610 method for PAHs (US EPA, 2005) and PAH certified calibration standard (TraceCERT, 16 components) were also used to verify if the WSA contained PAHs. The analytes were identified by their electron-ionization fragmentation at 70 eV – the spectra were compared to those from the GC-MS library from the National Institute of Standards and Technology.
### 2.3. Mass Absorption Coefficient
The visible light absorption of WSA extracts were measured using a dual beam UV-visible spectrophotometer (UV-1800, Shimadzu Corp.) and 1 cm quartz cuvettes at multiple extract concentrations. The per-gram light absorption of WSA extracts were calculated as a mass absorption coefficient (Moosmüller et al., 2011):
\[
MAC(\lambda) = \frac{A(\lambda) \times \ln(10)}{C \times L}
\]
where \(A(\lambda)\) is the wavelength-dependent absorbance of the WSA extract, \(C\) is the extract concentration (0.005 g mL\(^{-1}\)), and \(L\) is the pathlength of the light absorption (1 cm). To account for the wavelength dependence of MAC and compare between the WSA extracts in this study, we used an average MAC that was integrated in the visible region:
\[
MAC_{vis} = \frac{1}{700 nm - 400 nm} \int_{400 nm}^{700 nm} MAC(\lambda) d\lambda
\]
The absorption spectra (Fig. S1) of the WSA extracts in this study are consistent with other ambient brown carbon spectra, where a featureless tailing absorption is observed into the visible wavelengths. As this work is focused on visible-light-absorbing chromophores, the UV portion of the brown carbon absorption was not examined. \(MAC_{vis}\) values determined at multiple extract concentrations varied less than 5% (Fig. S2).
### 2.4. Cell Toxicity Bioassay
Human epidermal keratinocytes were used to determine the toxicity of WSA. Keratinocytes can be found naturally in the upper respiratory tract, oral cavity, and formed in the trachea as a response to air pollution, cigarette smoke, and woodsmoke inhalation exposure (Plamenac et al., 1979b; Plamenac et al., 1979a; Lee et al., 1994; Moran-Mendoza et al., 2008). Moreover, they have been shown to be a useful model for responses common to epithelial cells (Rhim, 1989; Neugebauer et al., 1996; Rogers et al., 2001). When exposed to toxic xenobiotic compounds, keratinocytes form an envelope of isopeptide cross-linked protein at the plasma membrane (Rice and Green, 1979). The cross-linking can be induced by permeabilization of the cells,
permitting a rise in cytosolic calcium ions that activates the membrane-bound transglutaminase TGM1 and results in cell death. The protein content from envelope formation serves as a quantitative biomarker of cell damage from toxic exposures.
Briefly, cells were cultured and assayed as follows: spontaneously immortalized keratinocytes (SIK, passages 25-35) were serially cultivated in a 2:1 mixture of Dulbecco-Vogt Eagle’s and Ham’s F-12 media supplemented with fetal bovine serum (FBS) (5%), hydrocortisone (0.4 μg/ml), epidermal growth factor (10 ng/ml), insulin (5 μg/ml), transferrin (5 μg/ml) and 0.18 mM adenine (Allen-Hoffmann and Rheinwald, 1984; Rice et al., 1993). SIK cultures have a single chromosomal aberration that permits continuous growth throughout the range of passages employed while altering their behaviour only minimally (Rice et al, 1993). After reaching confluence in 24 well plates, the cell cultures were incubated in a medium lacking epidermal growth factor for two days. Cultures were then incubated for 48 h with extracts of WSA (5 mg/mL in 1:1 v/v water/acetonitrile, 15 – 240 μL) in the concentration range of 0.23 to 3.75 mg/mL in a total well volume of 320 μL, to increase the assay sensitivity while conserving cell viability. After incubation, the medium was discarded, and the cultures were further incubated for 24 h in an aqueous solution of 2% sodium dodecyl sulfate, 20 mM dithiothreitol and 50 mM Tris buffer (pH 8) at 37°C. The envelopes from each well were isolated by centrifugation, rinsed 3 times in 0.1 % sodium dodecyl sulfate and assayed for relative protein content with bicinchoninic acid, quantified colorimetrically at a wavelength of 495 nm (Smith et al., 1985). As the protein structures of SIK cells exposed to WSA were isolated during the washing process, no interference from WSA absorption occurs in the colorimetric analysis. WSA extracts were assayed at each concentration in triplicate. Blank controls (extracted blank filter) and solvent controls did not result in envelope formation, nor inhibition of envelope formation. Ionophore X5375, which is known to induce envelope formation in the large majority of cells (Rice and Green, 1979), was used as the positive control.
The half maximal effective concentration (EC$_{50}$) of the WSA extract that induced a cell toxicity response halfway between the baseline and the maximum activity, was obtained using concentration-response curves fitted in Origin software with adjusted R$^2 > 0.94$. The EC$_{50}$ uncertainties were propagated from fit uncertainties and the standard deviations of triplicate analyses. Individual concentration-response curves and fits for the WSA extracts are shown in Figure S3.
2.4. Aryl hydrocarbon Receptor (AhR) and Estrogen Receptor (ER) bioassays
Screening of WSA extracts for AhR- or ER-active compounds were carried out using recombinant mouse hepatoma (H1L6.1c2) cells containing a stably integrated AhR-responsive luciferase reporter gene plasmid (pGudLuc6.1) and human breast carcinoma (VM7Luc4E2) cells containing a stably integrated ER-responsive luciferase reporter gene plasmid (pGudLuc7ere), as previously described (He et al., 2014; Brennan et al., 2016). Briefly, for AhR analysis, H1L6.1c2 cells in growth medium (alpha minimal essential media (aMEM) containing 10% FBS) were plated (75,000 cells/well) into white, clear-bottomed 96-well tissue culture plates and incubated at 37°C for 24 h prior to the addition of WSA extracts. For ER analysis, VM7Luc4E2 cells were switched from maintenance medium (aMEM containing 10% FBS) to estrogen-stripped
medium (phenol red-free aMEM containing 10% charcoal-stripped FBS), incubated for 3 days at 37°C before plating into white, clear-bottomed 96-well tissue culture plates at a density of 75,000 cells/well and further incubated at 37 °C for 24 h prior to chemical addition. Cells were incubated with 1 µL of: DMSO solvent (1% (v/v)), the reference standard dissolved in DMSO (2,3,7,8-tetrachlorodibenzo-p-dioxin (TCDD) for H1L6.1.c2 cells and 17β-estradiol (E2) for VM7Luc4E2 cells), acetonitrile solvent, or WSA extract for 24 h.
After incubation, cells were visually inspected for signs of toxicity, rinsed twice with phosphate-buffered saline, followed by the addition of Promega cell lysis buffer, and shaking for 20 min at room temperature to allow complete cell lysis. Luciferase activity in each well was measured by using an Orion microplate luminometer as previously described (He et al., 2014). Luciferase activity was corrected for background activity in DMSO-/acetonitrile-treated cells and values (in relative light units (RLUs)) expressed as a percent of the luciferase activity obtained with the maximally inducing concentration of TCDD or E2. All incubations and analyses were performed in triplicate. TCDD bioanalytical equivalents (BEQs) for AhR active samples were determined by comparison of the luciferase activity of the sample extract to that in a TCDD concentration response curve, as described elsewhere (Baston and Denison, 2011), and shown in Figure S4. The relative magnitude of AhR and ER induction by WSA (5 x 10^{-6} g of original material in each plate well) was normalized to the equivalent level of AhR and ER luciferase gene induction from the TCDD and ER concentration response curves, respectively, on a g/g basis. The uncertainties in AhR and ER relative activity were propagated from the uncertainties in the triplicate determinations and the reference calibration concentration-response curves.
3. Results and Discussion
3.1. Biological and optical properties of WSA
Table 1 shows cell toxicity, AhR activity, ER activity and MAC_{vis} results for the nine types of WSA extracts studied in this work, normalized by the mass of the original aerosol material. The results provide a clear indication that this type of complex mixture can affect macromolecular targets in cells. An important question is how relevant are the findings with smoldering WSA to health effects from actual exposures. Although no assay will successfully reproduce the in vivo environment, i.e., exposure to approximately 40 different cell types in the respiratory tract, distribution of toxicants throughout the bloodstream to major organs, and either deactivation or activation by metabolism, these (and other) in vitro results are useful as an estimation of risk. Considering toxicity in an outdoor environment such as a wildfire event, PM_{2.5} concentrations in excess of 300 µg/m³ can be observed in surrounding areas (Wu et al., 2006; Wegesser et al., 2009) and up to 2.7 mg/m³ near the burn site (Adetona et al., 2011). As much of the aerosol comes from the first and second smoldering phases (Alves et al., 2011), a realistic exposure to smoldering WSA in cities surrounding a fire can be 100 µg/m³. Assuming a typical pulmonary tidal volume of 500 mL for adults (Beardsell et al., 2009), and the cell toxicity EC_{50} of Red Oak smoldering WSA, we estimate that a human adult would take ~ 2175 breaths to reach the EC_{50} value. As a normal respiratory rate for an adult at rest is 12 breaths
per minute (Carey et al., 2005), the EC$_{50}$ limit is reached after 3 h of woodsmoke exposure, yet residents near fires can be exposed to the smoke for many days (Wegesser et al., 2009). The acute exposure health risk of residential wood burning in an indoor environment is more severe. PM$_{2.5}$ concentrations around cookstoves are high (e.g., 1.8 mg/m$^3$) (Chowdhury et al., 2012), such that the EC$_{50}$ limit is reached in $\sim$ 120 breaths or 10 minutes, a highly plausible exposure duration that occurs almost daily for some people. *The cell toxicity results are consistent with epidemiological and toxicological evidence for negative human health impacts of WSA ((Naehler et al., 2007), and references therein). In light of previous findings that smoldering combustion at medium temperature produces particles that are more toxic than those from high-temperature combustion or complete combustion ((Bolling et al., 2012), and references therein), the results from this work suggest that the smoldering fraction of WSA could significantly contribute to the overall WSA health impacts.*
*The interpretation of AhR activity of WSA* is more complex. AhR (Denison and Heath-Pagliuso, 1998) is a ligand-activated transcription factor that mediates the biochemical and toxic effects of various well-recognized environmental toxicants, such as dioxins (Mandal, 2005; Denison et al., 2011) and PAHs (Machala et al., 2001; Barron et al., 2004; Billiard et al., 2006), but also a wide variety of other structurally-diverse chemicals (Denison and Nagy, 2003; Nguyen and Bradfield, 2007; Petkov et al., 2010). However, AhR-dependent (i.e. dioxin-like) toxicity appears to be mediated only by dioxin-like chemicals (e.g., polyhalogenated dibenzo-p-dioxins, dibenzofurans and biphenyls) and not all AhR agonists, the majority of which are metabolically inactivated. Determination of the presence of toxic AhR ligands in a sample requires extensive sample workup to isolate dioxin-like chemicals from the large number of nontoxic AhR active chemicals. Thus, the AhR bioassay results for WSA in this work provide a measure of the overall ability of the extract to activate the AhR and AhR-dependent gene expression and does not provide a direct measure of AhR-dependent toxic potency. However, they do not rule out the presence of toxic AhR ligands; further sample isolation and analytical analysis would be needed to confirm the presence of dioxin-like chemicals in the WSA samples. The relatively high levels of AhR active chemicals observed in the WSA samples tested here could potentially lead to adverse effects via the ability of these compounds to stimulate AhR-dependent expression of gene products such as cytochrome P4501A1, which can contribute to the metabolic activation of PAHs into their mutagenic form, as well as contribute to increased oxidative stress as a result of the production of reactive oxygen species as a byproduct of CYP1A1 metabolism of endogenous and exogenous chemicals (Park et al., 1996; Nebert et al., 200, 2004). Our results are also fairly consistent with the previous observation that WSA has a relative carcinogenesis potency of $1 - 6 \times 10^{-4}$ compared to pure benzo(a)pyrene (Lewtas, 2007), another AhR ligand with well-recognized adverse health effects, although the lack of information about the specific wood fuels and burn conditions used in that study do not allow direct comparisons to the WSA results presented here.
*The ER activity assay results demonstrate the presence of relatively low levels of endocrine active chemicals (EACs) or low potency EACs in WSA to which inhalation exposure could occur.* WSA exposure risk would need to take into account a variety of aspects, including the ambient dose and the physicochemical characteristics and metabolic stability of the responsible EACs.
In terms of ecological risk, the concentration of WSA chemicals from partitioning into water would be expected to be low, and thus it would be unlikely to produce endocrine effects in wildlife from this route. In terms of exposure risk to humans, the comparison is challenging because the concentrations of known EACs are not as widely measured in atmospheric aerosols as the “usual suspects” like PAHs, and many EACs still remain to be identified. Additionally, the ability of a chemical to act as an EAC in vitro does not address whether it can produce adverse endocrine-related health effects in vivo (i.e. whether it acts as an endocrine disruptor chemical (EDC)). In an indoor environment the WSA concentration can be higher than outdoors, but the exposure from using cookstoves is not as sustained over many hours or days such as that which occurs with a wildfire, and is not nearly as continual as with exposure to ER-active chemicals from consumer or industrial products. It’s possible that risks from WSA exposure may be comparable to other EACs/EDCs of concern in some situations.
Despite dissimilarities in chemical composition, it can be instructive to compare the total AhR and ER activity of smoldering WSA to those measured for ambient particulate matter. Utilizing similar cell-based bioassays, PM$_{1}$ collected from rural and urban traffic sites in Switzerland was found to have AhR activity of $0.5 - 2 \times 10^{-6}$ g TCDD EQs/g PM and ER activity of $2 - 23 \times 10^{-9}$ g E2 EQs/g PM (Wenger et al., 2009a; Wenger et al., 2009b). Similarly, PM$_{10}$ collected from downtown Toronto, Canada was found to have AhR activity of $0.04 - 1 \times 10^{-6}$ g TCDD EQs/g PM and ER activity of $-10^{-6}$ g E2 EQs/g PM (Clemons et al., 1998). PM of various size fractions from different polluted sites in the Czech Republic had AhR activity of $0.001 - 1 \times 10^{-6}$ g TCDD EQs/g PM and ER activity of $0.1 - 20 \times 10^{-9}$ g E2 EQs/g PM (Novák et al., 2014). Organic PM in Wuhan, China was found to have ER activity of $\sim 2 - 8 \times 10^{-7}$ g E2 EQs/g, depending on whether the PM was collected on sunny or foggy days (Wang et al., 2004). In comparison, the AhR activities of smoldering WSA in this work are within the range of PM from urban and industrial sites, while the ER activities are similar to some types of urban/industrial PM but a factor of $10^{2-3}$ lower than others. Wenger et al. (2009) also found the total concentration of AhR agonists to be much higher than concentrations for the traditional AhR agonists such as PCDD/Fs, suggesting a diversity of AhR-active ligands in ambient PM and further supporting the notion that AhR can bind and be activated by a wide range of structurally diverse chemicals in the environment (Denison and Nagy, 2003; DeGroot et al., 2011; Stejskalova et al., 2011). Furthermore, it has been reported that PM$_{2.5}$ exposure can affect sperm development in humans (Wu et al., 2017; Lao et al., 2018), particularly in men who were exposed to wintertime air pollution where WSA is high (Selevan et al., 2000), however, whether ER- and/or AhR-active chemicals present in smoldering WSA could contribute to these endocrine effects remains an open question.
The relative biological effects of WSA from different woods is a novel insight from this study to the best of our knowledge. From Table 1, it appears that the WSA extracts that are highly active in the AhR bioassay do not necessarily kill cells, and vice versa. In fact, we found that the cell toxicity and AhR activity of woodsmoke WSA were negatively correlated with a fairly strong adjusted R$^2$ coefficient of 0.74 (Fig. S5a). This suggests that the smoldering WSA analyzed in these bioassays contain compounds whose cytotoxic activity is not AhR mediated, but may be classified among the myriad other AhR active chemicals that have been identified (Denison and Nagy, 2003; Galati and O’Brien, 2004; Nguyen and Bradfield, 2007; DeGroot
We found that the biological effects of WSA have a moderate ($R^2 > 0.5$) relationship with the percent by mass of the wood fuel that has been burned in a set duration of time (Fig. 2), which may be related to the lignin content and solvent-soluble monomers in the fuel (White, 2007). As all WSA effects have been normalized by mass, this indicates that the biological properties may be related to the degree of oxidation/degradation of the woods during the smoldering process. That said, we found no relationship between aerosol properties and the O:C ratio of the WSA compounds. This may be because even oxidative processes can fragment molecules in the wood in addition to functionalizing certain molecules with oxygenated moieties. This interesting relationship should be further explored with more focused studies.
The MAC values for different WSA in this work are within range of organic-rich brown carbon (Updyke et al., 2012) and particulate matter from a smoldering fire (Patterson and McMahon, 1984), but lower than ambient brown carbon likely because ~ 90% of that absorption comes from elemental carbon (Washenfelder et al., 2015). The MAC for the extracts in our study may also be lower than those extracted in less-polar solvents such as acetone (Chen and Bond, 2010). Within the limited fuel types employed in this work, there does not appear to be an obvious correlation between MAC$_{vis}$ and wood hardness or percent of wood burned by weight ($R^2 \sim 0.08$) – suggesting visible light absorption of the aerosols may depend on the more specific chemistry to form chromophoric constituents in the combustion. Furthermore, the MAC$_{vis}$ values do not correlate to either cell toxicity (Fig. S5b, adj. $R^2$ 0.03) or AhR activity (Fig. S5c, adj. $R^2$ -0.06), suggesting that chromophoric species in this work (e.g., specific conjugated compounds, charge transfer complexes, etc.) are not necessarily those producing these effects. In contrast, specific classes of chromophores from atmospheric aerosols in China have been found to have oxidative potential based on a chemical assay, which were suggested to be due to their PAH-like, quinone-like, or metallic constituents (Chen et al., 2019).
### 3.2. Molecular composition of WSA and correlations to aerosol properties
The chemical composition of aerosols from the oxygen-poor smoldering combustion or oxygen-free pyrolysis of lignocellulose material such as wood has been the subject of extensive study (Edye and Richards, 1991; Simoneit et al., 1993; McKenzie et al., 1994; Ingemarsson et al., 1998; Simoneit et al., 2000; Oros and Simoneit, 2001a, b; Simoneit, 2002; Hosoya et al., 2007b; Nunes et al., 2010), with many of the previous works focusing on the mid- to low-polarity constituents that can be analyzed by GC-MS. Low-intensity combustion abundantly forms phenolic derivatives with hydroxyphenyl (H), guaiacyl (G), and syringyl (S) units from the breakdown of lignin. Furan derivatives (e.g., furfurals), sugar anhydrides (e.g., levoglucosan, mannosan, galactosan), and other products are formed from the combustion of cellulose under a variety of conditions (Shafizadeh and Fu, 1973; Simoneit et al., 1999). PAHs are not expected to be formed at the 330 °C combustion temperature in this work (Rhee and Bratzler, 1968; Sharma and Hajaligol, 2003), and indeed the GC-MS analysis using ethyl acetate solvent confirmed that PAHs were not observed above the detection limit (Table S1). If formed, PAHs might have ended up in tar-like material as opposed to the aerosols that were collected and tested. Thus, the biological activity and light absorption of the smoldering WSA in this work are not likely due to PAHs. However, we observed molecular formulas that could be assigned...
to PAH-like compounds (Fig. 4) from lignin decomposition. The GC-MS analysis identified sugar anhydrides, phenolic compounds, and alkane derivatives in the mid- to low-polarity fraction of the smoldering WSA (Fig. S6, Table S1), consistent with previous reports.
Figure 3 shows the positive ion mode HRMS spectra of WSA extracts, highlighting the more abundant constituents in the polar, lower-volatility fraction. MS\textsuperscript{n} analyses support that the majority of smoldering WSA compounds are phenolic species (e.g., CH\textsubscript{3}OH losses, H\textsubscript{2}O losses, and phenyl ionic fragments) that have a variety of carbonyl, alcohol, alkenyl, acid, and other moieties. There are 300 – 400 peaks in each spectrum that are both over the limit of detection and that can be assigned to a molecular formula within 2 ppm mass accuracy. There are more than 700 unique peaks observed in all samples.
Figure 4 shows the chemical structures of select observed compounds. The compound with the highest abundance in most samples was sinapaldehyde (C\textsubscript{11}H\textsubscript{12}O\textsubscript{4}, Fig. 3 green), except for the coniferous softwoods (Pine/Redwood) where coniferaldehyde (C\textsubscript{10}H\textsubscript{10}O\textsubscript{3}, Fig. 3 blue) was the highest peak. This is consistent with the fact that coniferyl alcohol is the main polymer building block of softwood lignin, while sinapyl alcohol (to a higher extent) and coniferyl alcohol are both important building blocks of hardwood lignin (Graglia et al., 2015). We did not observe high abundance of hydroxyphenyl (H) derivatives, (e.g., coumaraldehyde is ~ 25 times less abundant than sinapaldehyde on average) which is consistent with the fact that coumaryl alcohol is the dominant lignin building block in grasses instead of wood (Himmelsbach and Barton, 1980). Levoglucosan (and its isomeric sugar anhydrides, C\textsubscript{6}H\textsubscript{10}O\textsubscript{5}, Fig. 3 magenta) was also abundantly observed in HRMS, with the largest signal in Redwood WSA, alongside its decomposition products such as furfural, hydroxymethylfurfural, tetrahydrofuran derivatives, and others (Hosoya et al., 2007a; Lin et al., 2009).
High-molecular weight compounds that were observed are tentatively assigned to dimers from phenolic G and S units building blocks with various linkages (Fig. 4, bottom) according to previous observations (Goni and Hedges, 1992; van der Hage et al., 1994; Guillén and Ibargoitia, 1999; Christensen et al., 2017), mechanistic feasibility (Beste, 2014), and MS\textsuperscript{n} evidence where available. Radical chemistry of the lignin formation and combustion is probabilistic, such that the diversity of isomers increases with molecular mass, so there are likely multiple structures possible for each larger molecular formula. For example, C\textsubscript{14}H\textsubscript{14}O\textsubscript{4} is assigned to 5,5’-diguaiacol based on its C\textsubscript{7}H\textsubscript{6}O\textsubscript{2} guaiacol neutral loss fragment but concurrent losses of CO and C\textsubscript{2}-C\textsubscript{3} fragments indicate the presence of other species with the same elemental makeup. Many of the proposed dimer assignments can be rationalized with linkages that are already present in the wood itself (e.g., β-O-4, β-β, β-5, 5-5’, (Watts et al., 2011)), suggesting that simple depolymerization of the lignin plays an important role in forming aerosol-phase species, similarly to pyrolysis. Attempts to perform MS\textsuperscript{n} on most high-molecular-weight peaks were inconclusive due to the higher density of accurate-mass peaks at each m/z that provided a challenge for their isolation by the ion trap. Chemical assignments without associated MS\textsuperscript{n} study in this work should be treated as purely speculative. A representative MS\textsuperscript{2} spectrum and proposed fragmentation loss pathways are shown in Figure S7. The full list of common ions, regardless of signal or correlations, is shown in Table S2.
We then performed linear least-squares correlations of the accurate-mass m/z peaks with the aerosol properties of cell toxicity, AhR activity, and visible light absorption (MAC\textsubscript{vis}) for each WSA sample. A potential concern is that HRMS signals in complex mixtures can suffer from matrix effects so that the signal is not necessarily representative of concentration; however, we found the HRMS signals are strongly correlated with GC-MS signals (e.g., sinapaldehyde [M+H]\textsuperscript{+} m/z = 209.081, GC retention time 16.6 minutes, has adj. R\textsuperscript{2} = 0.81, Fig. S8), suggesting that the matrix is similar enough between the different samples that correlations using HRMS are likely meaningful. Peaks are required to be present in 8 out of 9 samples for the statistical analysis. Table 2 shows the correlation results, the m/z and neutral molecular formulas, neutral or radical loss fragments derived from CID, and proposed assignments for select peaks based on the MS\textsuperscript{2} evidence when available, literature previously cited in this article, and guidance from GC-MS observations (Table S1). 90% of the correlations shown in Table 2 have p-values ranging from 0.0002 to 0.05, while 100% have p < 0.1. This suggests that the correlations have moderate-to-strong evidence against coincidence.
The occurrence of structural isomers is a limitation that may confound the statistics in this work, especially if those isomeric compounds have opposing effects on bioactivity or light absorption. With those caveats in mind, we observed a number of moderate-to-strong correlations with exact m/z peaks, either with a positive or negative effect, for the three aerosol properties examined. A positive effect means that the signal of the peak directly correlates (higher signal = lower cell toxicity EC\textsubscript{50}, higher AhR activity, higher MAC\textsubscript{vis}) and a negative effect means anti-correlation, neither of which is necessarily causative. For example, levoglucosan was found to be anti-correlated with MAC\textsubscript{vis} (Fig. 5, R\textsuperscript{2} = 0.75) and we interpret this to mean that lignin derivatives are more likely responsible for visible light absorption because of their highly-conjugated structures versus cellulose derivatives (Fig. 4), so when a wood has more cellulose content (producing more levoglucosan), the MAC\textsubscript{vis} decreases. Also, for example, we found the m/z of vanillin to be somewhat correlated with AhR activity (R\textsuperscript{2} = 0.45), and even though vanillin itself is not AhR active, Bartonkova and Dvorak (2018) found that the complex mixture of vanilla is highly AhR active, postulating that the AhR activity of the vanilla mixture is caused by minor constituent(s) (< 10%). Similarly, our correlation of vanillin with AhR activity may be due to vanillin’s interaction or co-formation with other constituents in the WSA extract.
The cell toxicity correlations appears to be mainly driven by C\textsubscript{11} compounds, some of which are syringyl derivatives. We found a positive effect of sinapaldehyde and sinapyl alcohol on cell toxicity, and possibly for related compounds such as C\textsubscript{11}H\textsubscript{14}O\textsubscript{5} that is tentatively assigned to be sinapyl hydroperoxide. The hydroperoxide assignment is based on the facile H\textsubscript{2}O loss (MacMillan and Murphy, 1995) with lack of HCOOH, and a feasible mechanism of formation, e.g., C-O cleavage of sinapyl alcohol in a heated oxidative environment to form the R radical (Beste, 2014) that can add O\textsubscript{2} and then form the ROOH through reaction with HO\textsubscript{2} or other RH (Atkinson, 2000). This is somewhat consistent with sinapaldehyde’s strong effect on inhibiting the growth of bacterial cells, while other phenolic compounds like vanillin and syringaldehyde had no effect (Figueiredo et al., 2008). Similarly syringaldehyde and vanillin had no effect in our cell toxicity assay. The potential toxicity of monolignols like
sinapyl alcohol has been noted in plants (Whetten and Sederoff, 1995), and while we would expect that coniferyl alcohol may have a similar effect, no correlation was observed. Among other factors, this could be due to isomeric compounds present at the coniferyl alcohol m/z, including an acid (HCOOH loss) and aldehyde (CO loss), compared to the sinapyl alcohol peak that did not have these interferences. Another positively correlated molecular formula is C\textsubscript{14}H\textsubscript{16}O\textsubscript{2} (R\textsuperscript{2} = 0.74) that appears to belong to compounds with quinone, furfuryl alcohol, and other substructures in the WSA based on fragmentation patterns so it is not clear which compounds specifically affect cell toxicity. Quinones can be cytotoxic or cytoprotective depending on structure (Bolton and Dunlap, 2016) and furfuryl alcohol can be mildly immunotoxic (Franko et al., 2011); therefore, the correlation has mechanistic plausibility. We found that 5-hydroxymethylfurfural (HMF), an important decomposition product of cellulose, was anticorrelated with cell toxicity (R\textsuperscript{2} = 0.54) for reasons that are unclear. HMF can be biologically active; however, at a dose that would be unfeasibly high for human exposure (~ 200 g based on the oral acute LD\textsubscript{50} of 2.5 – 3.1 g/kg in rats (Hoydonckx et al., 2000)) and we would expect it to have no effect on cell toxicity in our assay. It is possible that HMF is anti-correlated because of its connection with levoglucosan, which is also anti-correlated but with a weaker relationship (R\textsuperscript{2} = 0.31) and consequently not included in Table 2. If so, the interpretation would be similar to that for MAC\textsubscript{vis}, i.e., a higher lignin/cellulose ratio in the wood may increase cell toxicity in the smoldering WSA.
In this study, compounds that correlate with AhR activity tend to have more carbons than the lignin monomers (mainly C\textsubscript{14}-C\textsubscript{19}) and more C=C unsaturation. These compounds are either formed in the combustion or exist naturally in wood, as wood dust itself has been shown to be AhR-active (Wilson et al., 2015). The calculated double bond equivalents (rings + π-bonds = DBE, (Badertscher et al., 2001)) are consistent with AhR active compounds having more unsaturation on average. DBEs for the positively-correlated compounds (<DBE> = 8.0, max 11) are notably higher than those that are not correlated (<DBE> = 6.2, max 11) and those that are anti-correlated (<DBE> = 5.6, max 7). This explanation is an oversimplification, as double bonds and even aromaticity do not account for the specific electronic properties or the conformational planarity of the ligands that are key to effective binding with AhR (Denison et al., 2002; Petkov et al., 2010). If the C\textsubscript{14}-C\textsubscript{19} compounds are indeed lignin dimers, it is reasonable to postulate that the higher AhR activity is partially due to the ability of the dimers to form PAH-like structures from the radical reactions. For example, C\textsubscript{16}H\textsubscript{14}O\textsubscript{4} (Fig 4 bottom right) is assigned to be (at least partially) a phenanthrene derivative generated from β-5 dimerization or radical depolymerization reactions and ring closure (Beste, 2014) and may be potent for induction of AhR – we found a fairly high correlation coefficient (R\textsuperscript{2} = 0.65, Fig. 5). Similarly, other molecular formulas that can be assigned to a phenanthrene derivatives (C\textsubscript{18}H\textsubscript{16}O\textsubscript{5} and C\textsubscript{18}H\textsubscript{16}O\textsubscript{6}) are also positively correlated with AhR activity (both R\textsuperscript{2} = 0.4).
C\textsubscript{14}H\textsubscript{15}O\textsubscript{3} (R\textsuperscript{2} = 0.57, positive effect for AhR and R\textsuperscript{2} = 0.34, negative affect on cell toxicity (not shown on Table 2)) may be related to the naturally-occurring phenol resveratrol which is a dimer of H and dihydroxybenzene with a β-1 linkage. Resveratrol, found in wood in low amounts 0.017 – 0.271 g/kg, (Tyskiewicz et al., 2019)) and other plant materials, has AhR antagonist activity and may be protective against dioxin (AhR-dependent) toxicity (Casper et al., 1999), consistent with the
negative correlation observed here. The lower signal of this ion in our samples prevented a more-detailed MS\textsuperscript{n} study, so the assignment is tentative. However, since this molecule has only alcohol groups, the H\textsubscript{2}O loss we observed in absence of CH\textsubscript{3}OH, CO, or other labile groups does not contradict the assignment. Some smaller compounds were also positively correlated with AhR activity, with the highest correlation for C\textsubscript{10}H\textsubscript{10}O\textsubscript{2} (R\textsuperscript{2} = 0.74), assigned to methoxy cinnamaldehyde based on its relatively-clean MS\textsuperscript{2} spectrum. The interaction of methoxy cinnamaldehyde with the AhR-responsive gene product CYP1A1 results in its oxidation into an acid (Hasegawa et al., 2002), and it appears to be mainly protective (Cope, 2019). This would be consistent with the observed anti-correlation of this product with cell toxicity (R\textsuperscript{2} = 0.42).
Roughly 90% of the correlations with MAC\textsubscript{vis} are positive in nature and the positively-correlated compounds are fairly diverse, but many have conjugated structures. The conjugation that is observed for lignin phenols (DBE ~ 5), and even for the observed PAH-like compounds, are insufficient to absorb visible light; however, when relatively-small lignin phenols are deprotonated in solution, they absorb light in the visible range due to the resonance stabilization of the phenolates – the red shift is much more pronounced for phenols with extra conjugation such as sinapaldehyde (Panossian et al., 2001). Our solution is not sufficiently basic (pH ~ 5) for the deprotonated form to substantially exist in equilibrium (e.g., pKa for sinapaldehyde is 8.2, coniferaldehyde is 7.98, vanillin is 7.4, and bivanillin is 6.16, (Ragnar et al., 2000); however, localized charge-transfer interactions may facilitate the deprotonation of phenols at pH much lower than their pKa (Abramovitz and Massey, 1976). It is not clear why sinapaldehyde and coniferaldehyde do not correlate with MAC\textsubscript{vis}, but vanillylidene acetone with its additional sigma carbon does. Vanillylidene acetone can achieve some additional resonance with its keto-enol tautomerization (which tends not to happen in the ring because the aromatic phenol is highly favored) while sinapaldehyde and coniferaldehyde cannot.
Even so, many of the correlations are not easily understood and could be due to coincidence or driven by unassigned isomers. In the ambient, nitrophenols may significantly contribute to wood-burning brown carbon (Mohr et al., 2013; Lin et al., 2017). In this work, these nitrophenols were not observed by GC-MS, so the mechanism of light-absorption is likely different. It is possible that charge-transfer complexes between neighboring OH and C=O in dimers (e.g., C\textsubscript{18}H\textsubscript{18}O\textsubscript{6}, Fig. 4) may be chromophoric, as suggested previously for brown carbon aerosols (Phillips and Smith, 2014). The phenols may also potentially form intermolecular complexes with proton acceptors such as carbonyls or heterocyclic nitrogen species (e.g., C\textsubscript{9}H\textsubscript{11}NO\textsubscript{4} with a pyridine-like (C\textsubscript{3}H\textsubscript{5}NO) loss fragment), as the aerosols species are in close proximity. While no four-ring PAH-like species that would absorb in the visible range (Samburova et al., 2016) were observed in this work, we can’t rule out the possibility that highly-conjugated compounds below the detection limit can contribute to light absorption in combination with other chromophores. For the compounds that are correlated with MAC\textsubscript{vis}, it is likely that they need to be activated to the ionic form to be chromophoric.
Finally, although composition characterization was not the main focus of this work, we observed some fairly abundant compounds that have not been previously reported. For example, we identified some organic nitrogen compounds as unknown pyridine derivatives (e.g., C\textsubscript{9}H\textsubscript{11}NO\textsubscript{4}) and nitro or nitrate derivatives (e.g., C\textsubscript{3}H\textsubscript{10}N\textsubscript{2}O\textsubscript{8}), although in general, organic nitrogen
is a larger fraction of ambient biomass burning aerosols (Laskin et al., 2009; Lin et al., 2016) than in this study. Poplar WSA also has high abundance peaks that have not been previously observed, e.g., corresponding to the molecular formula C\textsubscript{20}H\textsubscript{21}NO\textsubscript{3} (Fig. 3, dark yellow). Due to the high signal, we assigned C\textsubscript{20}H\textsubscript{21}NO\textsubscript{3} to one or more naturally-occurring alkaloids as opposed to being formed from dimerization processes of phenols (plausible monomers should have higher signals than dimers). However, alkaloids that have been extracted from poplar heartwood with the same molecular formula (Chen-Loung et al., 1976; Cordell et al., 1989) do not appear to be entirely consistent with the MS\textsuperscript{2} fragmentation patterns of C\textsubscript{20}H\textsubscript{21}NO\textsubscript{3} in this work (neutral losses CH\textsubscript{3}OH, C\textsubscript{3}H\textsubscript{6}O\textsubscript{2}, and C\textsubscript{3}H\textsubscript{5}NO\textsubscript{3}), suggesting that this compound may be different than previously-identified alkaloids or modified from an oxidative process in the smoldering combustion. Poplar WSA also have a relatively low EC\textsubscript{50} value in our cell toxicity study, which is consistent with the higher cell toxicity and genotoxicity response of combustion aerosols from Poplar compared to softwood pellets in residential boilers (Kasurinen et al., 2016). Unfortunately, since other types of woods were not studied by Kasurinen and colleagues (2016), a more thorough comparison cannot be made. As the HRMS correlations require the peaks to be present in most samples for adequate statistics, it is not clear whether the properties of the Poplar or other WSA are associated with the uniqueness of their composition rather than commonalities.
4. Conclusions
The composition of smoldering WSA generated in the conditions of this work produced abundant lignin and cellulose oxidation and decomposition products that impact aerosol properties in ways that are not easily predictable. We showed that the components of smoldering WSA have high biological activity that can substantially contribute to the environmental health burden of woodsmoke, and that these health-related effects are not likely PAH-mediated for the smoldering conditions used in this work. The observed bioactivity may be linked to the percent of the fuel that has been burned, and thus to the degree of combustion, with more toxic aerosols formed at earlier stages of the burn. It is possible that the more toxic compounds are eventually degraded during the combustion process. These results underscore the importance of untargeted analyses to move beyond well-studied toxicants when considering organic aerosol properties, as the statistical studies identified multiple targets for further toxicological testing. We found that lignin phenols are correlated with visible light absorption (i.e., levoglucosan is anti-correlated) and hypothesize that the mechanism of action is through charge transfer reactions to form phenolates. In atmospheric aerosols, phenolates have been suggested to contribute substantially to brown carbon absorption as facilitated by their charge-transfer interactions (Phillips et al., 2017). The lignin percent of wood may also drive toxicity effects, but this remains to be explored. Although some mechanistically-probable correlations with bioactivity and light absorption are found in this work, the potential correlations are possibly obscured by isomeric interference at some masses. Future work should add a separation component to the accurate-mass and MS\textsuperscript{n} analysis of WSA for additional clarity. This information will help understand the contributions of individual components and enhance the value of testing such complex mixtures.
5. Data Availability
Data are available from the corresponding author upon request.
6. Competing interests
The authors declare no competing financial interests.
7. Author Contributions
TBN and KQN designed the experiments, LKC and KQN carried out the experiments. All authors contributed original data and data analyses. LKC, KQN, and TBN prepared the draft manuscript. All co-authors have reviewed and edited the manuscript.
8. Acknowledgements
This work was partially supported by the National Science Foundation grant (AGS1656889) and a Superfund Research Grant from the National Institute of Environmental Health Sciences (P42ES004699).
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Table 1: Results for cellular assays and visible light mass absorption coefficient (MAC\textsubscript{vis}) for WSA extracts. Lower EC\textsubscript{50} values correspond to higher toxicity. AhR and ER activities are expressed as bioequivalent (BEQ) values of calibrant compounds 2,3,7,8-tetrachlorodibenzo-p-dioxin (TCDD) and 17β-estradiol (E2), respectively. All aerosol properties reference the mass in grams of original WSA material that were tested. The concentration-response curves for the cell toxicity of different WSA (Fig. S3) and receptor activity of TCDD and ER (Fig. S4) can be found in the supplement.
| Wood sample | Cell Toxicity EC\textsubscript{50} (\(\mu\)g) | AhR Activity (TCDD BEQ, g/g) | ER Activity (E2 BEQ, g/g) | MAC\textsubscript{vis} (cm\textsuperscript{2}/g) |
|-------------|-----------------------------------------------|-----------------------------|---------------------------|----------------------------------|
| Afr. Mahogany | 250 ± 20% \(^a\) | 2.5 x 10\(^{-6}\) ± 12% | 3.5 x 10\(^{-9}\) ± 15% | 2009 ± 10% |
| Birch | 160 ± 25% | 1.9 x 10\(^{-7}\) ± 13% | N.D. \(^b\) | 1645 ± 10% |
| Cherry | 208 ± 30% | 2.2 x 10\(^{-7}\) ± 12% | 3.5 x 10\(^{-9}\) ± 17% | 1387 ± 10% |
| Maple | 160 ± 20% | 1.3 x 10\(^{-7}\) ± 10% | 3.5 x 10\(^{-9}\) ± 10% | 1927 ± 10% |
| Pine | 256 ± 20% | 4.0 x 10\(^{-6}\) ± 25% | 1.8 x 10\(^{-9}\) ± 26% | 1477 ± 10% |
| Poplar | 163 ± 40% | 7.5 x 10\(^{-7}\) ± 14% | 1.5 x 10\(^{-9}\) ± 35% | 1557 ± 10% |
| Red Oak | 109 ± 40% | 8.1 x 10\(^{-8}\) ± 16% | N.D. | 1094 ± 10% |
| Redwood | 320 ± 20% | 3.4 x 10\(^{-6}\) ± 10% | 3.6 x 10\(^{-9}\) ± 25% | 637 ± 10% |
| Walnut | 320 ± 20% | 4.0 x 10\(^{-6}\) ± 25% | 1.9 x 10\(^{-9}\) ± 30% | 1118 ± 10% |
\(^a.\) Table values are reported as the mean of repeated trials with uncertainty noted as percent of the mean that has been propagated from multiple sources
\(^b.\) Not detected (N.D.). Values are not significantly different than controls at this sample preparation protocol.
Table 2: Peaks observed in at least 8 out of 9 samples with either correlations to aerosol properties or other significance (e.g., high signals). The average normalized signal-to-noise in all samples and the neutral molecular formulas are shown. Entries have p-values ≤ 0.05 (90%), or p < 0.1 (100%).
| Obs. m/z | S/N (%) | Formula | Tox Sign R² | AhR Sign R² | MAC Sign R² | Proposed assignment(s) | chemical CID neutral or radical losses |
|----------|---------|---------|-------------|-------------|-------------|------------------------|---------------------------------------|
| 127.039 | 1.3 | 6 6 3 | 0 neg | 0.54 pos | 0.40 --- | 5-hydroxymethyl furfural | H₂O, CO, C₃H₂O₂ (CH₂O + CO²) |
| 129.054 | 0.3 | 6 8 3 | 0 neg | 0.58 --- | --- --- --- | --- --- --- --- --- --- | --- --- --- --- --- --- --- --- --- --- |
| 137.059 | 1.3 | 8 8 2 | 0 --- | --- --- --- | --- --- --- | toluic acid, anisaldehyde | CH₃, H₂O, CO, HCOOH, CH₂O+CO |
| 139.075 | 0.2 | 8 10 2 | 0 --- | --- --- --- | --- --- --- | methylguaiacol | --- --- --- --- --- --- --- --- --- --- |
| 141.054 | 0.3 | 7 8 3 | 0 --- | --- --- --- | --- --- --- | methoxymethyl-furfural, others | CO, CH₄O, CH₂O + CO |
| 143.034 | 0.8 | 6 6 4 | 0 --- | --- --- --- | --- --- --- | 5-Hydroxymethyl-2-furancarboxylic acid | HCOOH, H₂O |
| 143.070 | 0.2 | 7 10 3 | 0 --- | --- --- --- | --- --- --- | methoxyfuranethanol, hydroxymethylfuranethanol | CH₃OH, H₂O |
| 149.059 | 0.2 | 9 8 2 | 0 --- | --- --- --- | --- --- --- | coumaraldehyde | --- --- --- --- --- --- --- --- --- --- |
| 151.039 | 0.6 | 8 6 3 | 0 neg | 0.46 pos | 0.44 neg | hydroxyphenylglyoxal | C₂H₂O, CO, H₂O |
| 151.075 | 0.7 | 9 10 2 | 0 --- | --- --- --- | --- --- --- | methoxyvinylphenol, coumaryl alcohol | CO, CH₃OH, H₂O, C₃H₆, C₃H₅O, C₂H₅O₂ |
| 153.054 | 0.8 | 8 8 3 | 0 neg | 0.47 pos | 0.45 --- | vanillin (minor methoxybenzoic acid) | CO, CH₃OH (minor HCOOH, CH₃OH+CO₂) |
| 153.091 | 0.2 | 9 12 2 | 0 --- | --- --- --- | --- --- --- | hydroxypropylphenol | H₂O, C₃H₅O |
| 155.070 | 0.6 | 8 10 3 | 0 --- | --- --- --- | --- --- --- | syringol, hydroxyethylbenzene diol | CH₃OH, CH₃, H₂O, C₂H₅O₂ |
| 163.039 | 0.7 | 9 6 3 | 0 --- | --- --- --- | --- --- --- | hydroxycoumarin | CO, CO₂ |
| 163.075 | 0.7 | 10 10 2 | 0 neg | 0.43 pos | 0.72 --- | methoxy-cinnamaldehyde | CO, CH₃OH, C₂H₅O, C₃H₅O |
| 165.091 | 0.4 | 10 12 2 | 0 --- | --- --- --- | --- --- --- | eugenol, isoeugenol | H₂O, CH₃OH, C₃H₆ |
| 167.070 | 2.7 | 9 10 3 | 0 --- | --- neg | 0.44 --- | homovanillin, acetovanillone | CH₃, H₂O, CO, CH₃OH, C₂H₅O, CH₃O₂, C₃H₅O₂ |
| 169.049 | 0.4 | 8 8 4 | 0 --- | --- --- --- | --- --- --- | vanillic acid, dihydroxyphenylacetic acid | CO, H₂O, CH₃, HCOOH, C₂H₅O,C₃H₅O₂ |
| 169.086 | 0.6 | 9 12 3 | 0 --- | --- --- --- | --- --- --- | homovanillyl alcohol | C₂H₅O, H₂O, CH₃OH |
| 177.054 | 1.2 | 10 8 3 | 0 --- | --- --- --- | --- --- --- | methoxycoumarin, hydroxymethyl-coumarin | CO, CH₃OH, C₄H₄O, CH₃ |
| 177.091 | 0.3 | 11 12 2 | 0 --- | --- --- --- | --- --- --- | ethylcinnamate | H₂O, C₂H₄, C₂H₅O |
| 179.070 | 3.0 | 10 10 3 | 0 --- | --- --- --- | --- --- --- | coniferaldehyde, methoxycinamic acid | H₂O, CO, CH₃OH, HCOOH, C₂H₅O, C₃H₅O |
| 179.106 | 0.1 | 11 14 2 | 0 --- | --- --- --- | --- --- --- | --- --- --- --- --- --- --- | CO, C₂H₅O, C₂H₅O₂ (CO + CH₃OH?) |
| M/z | Intensity | Mass/Charge | Fragmentation Pattern | Retention Time | Peak Area | Identification |
|------|-----------|-------------|-----------------------|----------------|-----------|----------------|
| 329.138 | 0.3 | 19 20 5 | 0 | --- | pos | 0.42 | homovanillin dimer (β-5, ring closure), others |
| 331.117 | 1.0 | 18 18 6 | 0 | --- | --- | --- | eugenol-vanillone dimer (5,5'), others |
| 333.133 | 0.4 | 18 20 6 | 0 | --- | --- | --- | G-vanillin dimer (5,5'), others |
| 345.132 | 0.2 | 19 20 6 | 0 | --- | --- | --- | S-S dimer (β-1), G-vanillin dimer (β-O-4) |
| 357.130 | 1.3 | 18 22 6 | 0 | --- | --- | --- | coniferylalcohol-vanillone dimer (5,5'), others |
| 359.148 | 0.2 | 20 22 6 | 0 | --- | --- | --- | G-syringol dimer or S-guaiacol dimer (β-O-4) |
| 383.146 | 0.2 | 20 24 6 | 0 | --- | --- | --- | diconiferylalcohol (5,5', β-β, or β-), and others |
| 383.146 | 0.2 | 20 24 6 | 0 | --- | --- | --- | diconiferylalcohol (β-O-4) |
Figure 1: Simplified diagram of smoldering combustion chamber. Key: (a) pressure flow restrictors, different flow rates each to control humidity; (b) humidifier tube; (c) relative-humidity probe; (d) heating mantle; (e) wood fuel blocks; (f) temperature controller; (g) thermocouple temperature measurement; (h) vent; (i) aerosol filter collection apparatus; (j) vacuum flow restrictor.
Figure 2: Relationship between cell toxicity and AhR activity of smoldering WSA extracts with the percent of wood that has been burned at the time of aerosol collection.
Figure 3: High resolution mass spectra of WSA extracts in the study, taken at 100 ug/mL concentration. The color key for highlighted peaks with proposed assignments for the major species at each peak is: Orange – C$_{8}$H$_{10}$O$_{3}$, acetovanillone or homovanillin (protonated); Blue – C$_{10}$H$_{12}$O$_{4}$, coniferyl aldehyde (protonated); Magenta – C$_{6}$H$_{10}$O$_{5}$, levoglucosan, mannosan, or galactosan (sodiated); Green – C$_{11}$H$_{12}$O$_{4}$, sinapaldehyde (protonated); Cyan – C$_{13}$H$_{18}$O$_{6}$, G-vanillin dimer (protonated); Red – C$_{18}$H$_{22}$O$_{6}$, various S-G dimers (protonated and sodiated); Dark yellow – C$_{20}$H$_{21}$NO$_{3}$, unknown alkaloid (protonated and sodiated).
Figure 4: Proposed chemical structures of some monomers and dimers observed in this work. More than one structure may be present at each molecular formula.
Figure 5: Select correlations of HRMS peaks to cell toxicity EC$_{50}$, AhR activity, and MAC$_{vis}$. Linear fits and correlation coefficients are shown. Proposed chemical identities are listed in Table 1.
|
Milwaukee – Johnson Controls is taking steps to assist all homeowners who live and work in areas affected by Hurricane Harvey. Effective immediately, the company is offering homeowners living in Texas counties within the defined Federal Emergency Management Agency (FEMA) Disaster Area (DR-4332) rebates on the purchase of replacement heating, ventilation and air-conditioning (HVAC) equipment.
Homeowners and Johnson Controls employees can apply for rebates online at www.johnsoncontrols.com/harvey. The program assigns rebates according to a unit’s annual energy efficiency (expressed as Seasonal Energy Efficiency Ratio or SEER for air conditioners and heat pumps and as a percentage for furnaces), with more efficient products earning larger rebates. The program applies to any of these YORK®, Coleman® HVAC, Luxaire®, Champion®, Fraser Johnston®, Guardian® or Evcon® products.
Although rebates cannot be combined with other rebate offers, they can be applied for retroactively. Homeowners can call (855) 324-3650 for rebate filing assistance.
Johnson Controls is particularly hopeful that rebates on R407C units will help homeowners, because they are a cost-effective way to replace existing R-22 systems. R407C units save homeowners money and time as they work to recover from Hurricane Harvey.
To help homeowners find a trusted HVAC dealer in their area, Johnson Controls has also included a dealer locator on its landing page – www.johnsoncontrols.com/harvey. “Our hearts go out to those affected by Hurricane Harvey and we want to be sure homeowners have direct access to the support they need,” said Liz Haggerty, vice president and general manager, Unitary Products Group, Johnson Controls. “After finding a dealer near them, we encourage homeowners to have their HVAC equipment inspected, even if it seems operational, because damage to equipment is not always immediately apparent.”
The site also provides homeowners with useful information—everything from how to deal with damaged HVAC equipment to helpful tips provided by the Federal Trade Commission, FEMA and American Red Cross.
Visitors to the Johnson Controls landing page will also be able to contribute to the recovery by donating to the American Red Cross. “Although the company donates $1,000 every year to the organization as part of our Annual Disaster Giving Program, we realized the current situation calls for a more direct effort by our company,” said Haggerty. “This site makes it easy for employees to help provide the resources that are bringing relief to thousands of people in Texas and Louisiana. Johnson Controls employees are also benefitting from actions taken by the company.”
SEE REBATES PG.2
AHRI Releases U.S. Heating and Cooling Equipment Shipment Data
Central Air Conditioners and Air-Source Heat Pumps
U.S. shipments of central air conditioners and air-source heat pumps totaled 830,175 units in July 2017, up 5.7 percent from 785,255 units shipped in July 2016. U.S. shipments of air conditioners increased 6.8 percent, to 588,703 units, up from 551,121 units shipped in July 2016. U.S. shipments of air-source heat pumps increased 3.1 percent, to 241,472 units, up from 234,134 units shipped in July 2016.
Year-to-date combined shipments of central air conditioners and air-source heat pumps increased 9.2 percent, to 5,214,936, up from 4,774,720 units shipped in July 2016. Year-to-date shipments of central air conditioners increased 8.9 percent, to 3,519,619 units, up from 3,232,815 units shipped during the same period in 2016. The year-to-date total for heat pump shipments increased 9.9 percent, to 1,695,317 units, up from 1,541,905 units shipped during the same period in 2016.
REBATES con’t.
“The needs of our employees are our number one concern,” said Haggerty. “To that end, we’ve launched a Johnson Controls Harvey Relief Fund, which will allocate donations directly to employees who have lost their homes and property. I’m proud to say Johnson Controls will match donations made to this fund.”
Additionally, we have put together a team whose focus is assessing the impact of the storm and forming a strategy to respond to the short- and long-term needs of our employees.”
To learn how Johnson Controls can help you with damaged HVAC equipment, as well as next steps on your path to recovery, visit www.johnsoncontrols.com/harvey.
Rheem and Gemaire held a Dove Hunt and Raffle to benefit Harvey Relief
Pictures on page B6
RGF’s Rapid Recovery Unit Wins Dealer Designer Award
Story on page B18
The Publisher of Air Conditioning Today, Inc. does not assume responsibility of statements made in press releases or by advertisers, and reports the opinions as expressed by suppliers, wholesalers, trade agencies, trade organizations, and other sources.
Reprinting or other duplication of articles is not permitted without prior written permission from the editor of Air Conditioning Today.
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Miami-Dade Approved
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Our prayers are with the families who were affected by Hurricane Harvey.
We are proud to live in a state who support each other and rise to the occasion to help those in times of adversity.
From the families and employees of ACES A/C Supply and SHEARER SUPPLY, Inc.
Your Independent American Standard Distributors in Texas, Oklahoma, and portions of Louisiana, Arkansas, Mississippi, New Mexico and Tennessee.
HARVEY RELIEF REBATE
Johnson Controls is offering a rebate* program to counties in Texas within the FEMA Disaster Area (DR-4332). This rebate program is available to those who qualify for any YORK®, Coleman® HVAC, Luxaire®, Champion®, Fraser-Johnston®, Guardian® or Evcon™ product listed below. Rebates are organized by product efficiency:
AIR CONDITIONERS/HEAT PUMPS
• 20 SEER: $250
• 16/17 SEER: $150
• 18 SEER: $200
• 14 SEER (R410A) $100
• New, high-value 14 SEER R-407C: $100
FURNACES
• All 90+% AFUE: $150
• All 80% AFUE: $75
RESIDENTIAL PACKAGE EQUIPMENT: $125
AIR HANDLERS: $50
Visit our Harvey Relief page at www.johnsoncontrols.com/harvey to access the online claim portal and determine if you qualify. For assistance with rebate filing through the online claim portal, call (855) 324-3650.
*R-407C: A COST EFFECTIVE ALTERNATIVE
Guardian® and Evcon™ R-407C systems are cost-effective, high-efficiency options for replacing hurricane-damaged HVAC units. These systems provide a simpler alternative versus a complete indoor and outdoor system or a major retrofit – when updating or changing an R-22 system to R-407C, minimal alterations in the refrigeration system are required. All R-407C systems are designed, engineered and assembled in the United States and come with a full, 5-year parts and compressor warranty.
HVAC Industry Statement and Recommendations for Consumers in Flood Zones
Arlington, VA — The Air Conditioning Contractors of America (ACCA), the Air Conditioning, Heating & Refrigeration Institute (AHRI), the Heating Air conditioning & Refrigeration Distributors International (HARDI) and the Thermostat Recycling Corporation (TRC) have released the following statement and guidelines for individuals affected by recent natural disasters.
As millions of citizens in the areas affected by hurricanes attempt to return to their daily lives, the national associations for professional HVAC contractors, distributors, manufacturers, and thermostat recyclers urge people to take extra cautions before turning their air conditioning systems on.
**ADVICE FOR CONSUMERS:**
- **Do NOT restart your air conditioning system if there has been flooding in your neighborhood or around your building:**
- When flooding recedes, air conditioners may still contain water, silt, or other contaminants (including bacteria and fungi).
- If someone restarts a system and it contains microorganisms, they could be distributed through the duct system and affect indoor air quality.
- **If you restart your system and water penetrated the electrical components, then the system could burn out electrical components in the outdoor and/or indoor units.**
- **Most often, equipment in flooded areas needs to be replaced:**
- Any equipment that contains steel is prone to rusting.
- Electrical components are prone to premature failure.
- The risk of the bacteria and mold growth in equipment that contains residual water is very high.
- **Some air conditioning equipment may be able to be cleaned and restored:**
- There is a nationally recognized ANSI standard for cleaning and restoring HVAC equipment that was written by the professional HVACR industry.
- **ACCA Standard 6 — Restoring the Cleanliness of HVAC Systems for Residential and Commercial HVAC Applications**, is the minimum standard for the proper cleaning of HVAC systems in homes and buildings and is recommended by the national trade associations.
- **Concerning water heaters:**
- Regardless of whether it uses gas, oil, or electricity, if it was exposed to flood water the unit should be replaced.
- In gas and oil units, valves and controls can corrode. In an electric unit, the circuitry and controls can corrode.
- In all types, the insulation surrounding the unit will likely be contaminated and will be nearly impossible to disinfect. In addition, the insulation takes a great deal of time to dry and can lead to corrosion of the tank from the outside.
- Even if water heater components have been cleaned and the unit seems to operate properly, parts may corrode in the future. Both gas and electric water heaters have a pressure relief valve that can corrode and stick after being exposed to flood water.
- A new water heater is a relatively small investment, and replacing it is fairly easy to do. If the water heater was more than five years old, the chances are good that a new unit will be more efficient, which will save the homeowner money in the long run.
- Some equipment may also contain mercury, which when exposed to air may evaporate and become an odorless and toxic vapor:
- Do not discard any unknown system components before speaking with a professional contractor.
- Homeowners should consult a licensed professional HVAC contractor before attempting to restart their cooling system.
As the leading organizations representing the heating, ventilation, air conditioning, and refrigeration industry, we send our thoughts and prayers to the millions of individuals who are struggling to recover from these unprecedented storms. We offer our sincerest condolences to the families of those that have died and continue to praise the first responders who risk their lives for others.
For more information, please contact ACCA’s Director of Industry and External Relations, Todd Washam at firstname.lastname@example.org or 703-824-8864.
Why Baby Boomer Managers Struggle With Millennial Employees
I was having a conversation with a group of women business owners about the staffing challenges we all face. We talked about recruitment, retention, and engagement. Eventually, as it always does the conversation wound around to the challenges of managing Millennial employees. There were the typical complaints about work style, impatience, and feelings of entitlement. Somewhere in that conversation, it occurred to me the reason we Boomers struggle with Millennials is in many ways they are more like us than any of the interim generations.
Yes, my fellow Boomers, looking at Millennials is like looking in the mirror. Don’t believe me here are just a few examples.
They think the world revolves around them – Do I really need to prove this one? Think about it. There were 74.9 million people born between the years 1946 and 1964. Everything changed as we came of age. We crowded into classrooms causing an explosion of school construction and today an explosion in school violence. When we didn’t like something we complained, loudly. I remember protesting, everything from school dress codes (remember when girls weren’t allowed to wear pants?) to the war in Vietnam and the voting age. As we have aged, we have redefined what aging and retirement looks like as we start new careers, and launch businesses at an age when our parents were content to sit on the porch with their rocking chairs. With 75.4 million Millennials, they are now the largest percent of the population. Because immigrants tend to be younger, we expect that number to swell to almost 81 million by 2036. For sixty years, the world has revolved around us. It isn’t surprising that we are not ready to see that emphasis shift, but it is time.
No respect for people who paid their dues – Remember not trusting anyone over thirty? We were proud of the fact that our brains began to atrophy, and that they had sold their souls to the corporate machine. We came ready to work and ready to move up. In a growing economy with fewer workers older than we were, there was lots of room for us at the top for the older Boomers. For younger Boomers, like me, it took a little while. As a result, we were more likely to jump around until we found a career that would pin us on the fast track. Those older workers who had spent their entire career with one or two companies felt we were too impatient.
We have seen many workforce changes in our lifetime as corporate structures flattened and leadership roles for women and minorities have expanded. There is however, still tremendous pay inequality. We were angry about the disparity thirty years ago, why shouldn’t today’s workers be angry now?
Want to be passionate – A survey done recently at YPulse found “76% of Millennial employees would rather have a career they are passionate about but don’t earn a lot of money than having a high-earning career that they are not passionate about.” Go ahead, Boomers pretend to turn your nose up at that comment, but you were like that once. It is the privilege of youth.
Before you had obligations like mortgages and families to worry about, you hitchhiked across America, marched for civil rights and women’s rights, and an end to the war in Vietnam. You joined the Peace Corp or worked on political campaigns for Bobby Kennedy or George McGovern. You were passionate in a way only a young person could be, and maybe you are just a little jealous of the passion of Millennials because you can’t find yours.
Every generation enters the workforce with enthusiasm and impatience. Instead of snarling at their lack of enthusiasm and desire to have meaning in their work, help them find the meaning in the tasks you are asking them to perform. They will soon dominate the workforce. Help them channel their energy and ideas in productive ways. Their familiarity with technology gives them distinct advantages. Encourage them to play to their strengths and apply what they know. Give them a chance to learn from their experiences, both success, and failure.
And when you are done focusing on your millennial workforce, take some time to reignite your own passion. You may find that at work, or as you look beyond your retirement to your next career or hobby. But find it, because life is too short to live without passion.
Lorraine Ball
After spending too many years in Corporate America in companies like Enron, Carrier and Constant Contact, Lorraine said goodbye to the bureaucracy, glass ceilings and bad coffee.
If you want to find her at Roundpeg, a digital agency in Carmel, Indiana, building smart marketing strategies for businesses who want to use internet marketing tools to grow.
Roundpeg is a Master Certified Reseller for Constant Contact. If you are looking to improve your email marketing, or just get started, give Lorraine a call.
For more about web design, content marketing and social media services go to www.roundpeg.biz.
WE ARE TEXAS STRONG
In the wake of Hurricane Harvey’s devastation, our state has banded together to show that despite our Sunday allegiances, we are Texans first. As our neighbors across Houston and the Gulf Coast continue to recover in the wake of Hurricane Harvey, it is our mission to help our community heal and rebuild regardless of territory lines.
We are pleased to announce the consumer relief offers below from our equipment partners. We are Texas Strong.
AFFORDABLE 14 SEER R-410A CONDENSING UNITS
OUR VALUE LINE CONDENSERS OFFER AN ECONOMICAL OPTION WHEN REPLACING EQUIPMENT. CONTACT YOUR SALES REP FOR INFORMATION
Available in all Houston-Area stores. For more information, contact your Century Sales Rep.
SPECIAL FINANCING OFFERS ON 14 SEER SYSTEMS
36 MONTH OR 18 MONTH 0% INTEREST TO CONSUMERS CONTACT YOUR SALES REP FOR INFORMATION ON LOW DEALER RATES
Available on 14 SEER Ruud systems. Financing offers are valid through 1/31/18. For more information, contact your Century Sales Rep.
DIRECT TO CONSUMER REBATE ON 14 SEER R-407C CONDENSERS
COMPATIBLE WITH EXISTING INDOOR EQUIPMENT; AN ECONOMICAL ALTERNATIVE TO FULL SYSTEM R410-A CONVERSION
Available in all Houston-Area stores. Rebates valid on qualifying installs in residential and apartment applications from 9/1/17 - 2/28/18. Customers may file for rebates at www.jci.com/harvey
CENTURY A/C SUPPLY™
VISIT ANY OF OUR 24 TEXAS LOCATIONS TODAY
RUUD BRANCHES: ANGELTON | BAY CITY | CONROE | LUFKIN | HUNTSVILLE | KATY | LEAGUE CITY | HOUSTON AREA: WINKLER | BELTWAY | GULFTON | BARKER CYPRESS | WEST 45RD | STUEBNER YORK BRANCHES: DALLAS | RICHARDSON | MESQUITE | FORT WORTH | WACO | CEDAR PARK | SOUTH AUSTIN | SAN MARCOS | SAN ANTONIO | WEST SAN ANTONIO | LA FERIA
CENTURYAC.COM
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Learn more at testo.com/electrical
Venstar and M&A Supply Company Inc. Signs Exclusive Deal for Distribution of Venstar HVAC Control Products in Arkansas
Chatsworth, CA — Venstar®, a leading thermostat and energy management systems supplier, today announced that it has signed an exclusive agreement with M&A Supply Company Inc. of Brentwood, Tenn., for the distribution of Venstar HVAC Control Products in Arkansas.
“We are pleased to announce M&A Supply Company as an exclusive distributor of Venstar commercial and residential thermostats in Arkansas,” said Steve Dushane, president and CEO of Venstar Inc. “We welcome the M&A Supply Company team to the Venstar family of distributors and look forward to a long and prosperous relationship.”
“We are pleased to be an exclusive distributor of Venstar HVAC products. Our customers asked for Venstar by name as Venstar is a respected maker of high-quality, reliable HVAC control systems that are simple to program, easy to use and have superior engineering design,” said Kevin Crabtree, VP of Sales, West Region, for M&A Supply Company. “We are happy to join Venstar’s family of distributors and look forward to supporting and promoting Venstar HVAC control products to our customers.”
Venstar thermostat products being distributed by M&A Supply Company include:
- ColorTouch Touchscreen Thermostats With Wi-Fi Inside and Explorer Programmable, Wi-Fi Thermostats.
Taco Comfort Solutions® Creates American Red Cross Hurricanes Relief Fund
Cranston, RI – Taco Comfort Solutions®, in conjunction with the American Red Cross, has announced a Hurricanes Relief Effort focused on the efforts of individuals to assist those in need in Texas, Louisiana, Florida, South Carolina, Puerto Rico and the U.S. Virgin Islands affected by Hurricanes Harvey, Irma and Maria.
Taco’s relief efforts were established with a gift from the White Family Foundation. Explaining the initiative, Taco Comfort Solutions’ Executive Chairman of the Board and Owner John Hazen White, Jr. commented:
“At Taco Comfort Solutions we believe in giving back to the community, and in times of great challenge that community does not have to be located in our own backyard. It’s our responsibility to come to the aid of our fellow Americans, in the spirit of knowing that they would do the same for us.”
To make a donation in any amount, go to https://www.redcross.org/donate/cn/tacocomfort-emp.
How are you doing today? Hope you, your family, health and business are doing well. I realize these times can be challenging, especially if you live in Houston or Florida. So how do you handle the tough days, when life seems overwhelming?
I use a Mohammed Ali story to illustrate how important it is to never give up. This comes from Art Zorka, who is a consultant and professional magician. He was in the New Orleans airport, had just finished up a meeting, when Ali walked up to his gate and said “put em up!” Zorka was not sure what he meant. Ali had noticed Art’s briefcase, it had a message on it: Magic, a vanishing act! Ali wanted Art to show him some illusions before getting on the plane. So he does.
Art boards the plane, settles in, when the flight attendant tells him he needs to move. Art says he is in the seat assigned, flight attendant says Mr. Ali would like you to sit next to him. So he moves up to first class, sits down next to the champ. Not sure if you have ever sat next to someone rich and famous, it is hard to know what to say, how to lead into a conversation. Art gave us the perfect intro: what is the greatest lesson you have learned from life? Mohammed did not hesitate, said it was Feb 25th, 1964, when he fought Sonny Liston for the World Heavyweight Championship. Sonny was a formidable opponent, he had been in the ring many times against bigger, faster men, and had recently defeated Floyd Patterson in a first round knock-out.
Sonny came out the first round fast and hard, looking for a quick victory. Ali was quicker and dodged the first attack, came back at the end of the first round with a combination that showed he had power and was ready to walk in the park. By the third round Ali was doing well, had actually hit Liston with a series that opened up a cut under his left eye, the first time he had ever been cut. Fourth round, Ali came back to corner with blinding pain in his eyes, told Angelo Dundee to cut off his gloves, throw in the towel, he was done. Dundee refused. It has been rumored that Liston had ointment used to seal up his cuts applied to his gloves, that was what was blinding Ali.
Fifth round. Ali was exhausted, too tired to go back in, and his eyes were really bothering him. The story is that when the bell rang, Dundee pushed Ali back into the ring, told him not to come back to his corner until he was the Heavyweight Champ of the World! In that round his sweat and tears had rinsed the irritation from his eyes, he came back with a vengeance. When the seventh round bell rang, Liston did not answer the bell, Ali was by a TKO. When asked why he did not answer the bell, Liston claimed a hurt shoulder.
The match was scheduled for next year, May of 1965. Ali knew he had to move fast. Liston had concrete ribs, and could take a punch. So he scored a knock down in the first round, at 56 seconds, called the phantom punch, since no one saw it! Liston goes down, later slow motion video showed Ali did connect, but did not go to a neutral corner, so the ref did not start the count. Liston got up after a count of 20, but the fight was stopped shortly after, lasting less than 2 minutes. Ali won by a knockout.
So Art says, what is the greatest lesson; keep on keeping on, fight through the pain, never give up?
Ali says no, the greatest lesson is to have someone in your corner who will push you to do things you think you cannot do, and you don’t want to do. That is the greatest lesson.
Brings me to my typical application question: who is in your corner, who is pushing you to do things that you may have thought were impossible. In some cases it is a spouse, or family member, someone who knows perhaps more than you about potential you have. I have a favorite saying, you never know how far you can go until you have gone farther than you have ever been before. You may have a business coach who is engaged with helping you succeed and prosper, helping you to move the profitability needle upward. It may be you are in a best practices group that meets on a regular basis and looks at every aspect of your business. Could be your distributor rep as an accountability partner, who makes sure you are doing the things you have committed to do. Perhaps you have a partner in your business helping you achieve higher levels of performance both personally and in the company.
In any case, we all need the gentle (or not so gentle) nudge to move forward, even when it hurts, when we are tired and just don’t want to go back in the ring. Go for it, you may just win the belt! Ali did at 22 years old, he was the youngest to take the title from a reigning heavyweight champ. Mike Tyson took the title when he was 20 years later.
Now get into a group that will look at your operation and help you make positive changes, sign up for a coach to help you with business, ask your distributor how they can help. And let your wife, husband, or significant partner know you want them to push you when the going gets tough. It will pay dividends. Literally. Thanks for listening, we’ll talk later.
Jim Hinshaw
Upon graduating from the University of Missouri at Rolla, Hinshaw started his career in the air conditioning industry. His first background was as a distributor’s rep. President of one of the oldest and largest air conditioning companies in America, he became a start-up specialist for the Carrier Corporation, and an officer in a Carrier owned service agency. Hinshaw enjoys training sales technicians and management team members with companies that want to improve profits and grow to become profitable. He has worked in all areas of the industry: manufacturer, distributor, contractor and now consultant. He has worked with companies that have grown to the billions per year and family owned businesses with only two employees. He can help with sales, organizational skills, marketing, how to set up the company for improved profitability, all phases of the business.
He has provided high-results training for clients from Calgary, Canada to Australia. He started training from the contracting business in 1999 when he formed his own training company, Sales Improvement Professionals, dedicated to providing real-world experience to help enhance your sales and marketing efforts.
Hinshaw can be reached at 602.369.8097, or via email at email@example.com.
And now as an AUTHOR:
“For those who may be interested, here is a collection of writings from the last 10 years. Stories of how one person can run a relationship with a customer, and how one can recover it. Stories of the loss of service in America, and how you can improve customer service today. Go to the following link for full details on how to make this collection yours!”
www.bizhub.com/bookshop/2017/08/24/2017-check-out-the-book-1-first-15-pages-are-free-sample-before-you-buy/
For more information please contact him at Sales Improvement Professionals, Inc., 1281 E. Magnolia, #D-145, Pine Gulch, CO 80524 Office: Phn: 970.887.0757; Cell Phn: 602.369.8097, or visit www.siptraining.com; or on Facebook: Sales Improvement Professionals, Inc
As a Houston-based business, Goodman understands the devastation its employees, friends, and community experienced resulting from Hurricane Harvey and Tropical Storm Harvey.
Goodman understands that many homeowners will be faced with large, unplanned expenses as they recover from Harvey’s aftermath, including possible damage to their HVAC system.
To help get Texans recover, Goodman is offering substantial discounts on select Goodman® brand Heating and Cooling Systems for a limited time.
At Goodman, we believe in American dependability. Units are designed, engineered and assembled in the U.S.A.
Thank goodness for Goodman.®
Our continuing commitment to quality products may mean a change in specifications without notice. © 2017 Goodman Manufacturing Company, L.P. · Houston, Texas · USA
www.goodmanmfg.com
As a Humanitarian Response to help with Flood and Storm Remediation within disaster recovery areas RGF is offering the Rapid Recovery Unit at a 50% Discount through November 30, 2017.
Contact your local wholesaler today!
Emerson Launches Global Warming Potential (GWP) Phase-down Calculator
Over 100 contractors participated from Texas and 3 surrounding states. Over $17,000 was raised from the event and raffle with Rheem providing matching funds to Hurricane Harvey relief efforts.
St. Louis — Emerson today announced it has launched a refrigerant calculator that helps retailers forecast the impacts of phasing down higher-GWP systems and phasing in new refrigerant architectures, assisting with the transition to lower-GWP natural and synthetic refrigerant alternatives.
The web-based app helps a decision maker to forecast the life cycle climate performance (LCCP) of a franchise or store based on preferred refrigeration architectures as well as preferred refrigerants. By inputting key information about current and proposed system architectures, an end user can calculate the phase-down impacts and download charts that will help demonstrate those impacts. Input information includes store design temperatures, store counts of current and future architectures, leak rates and refrigerant choice.
“The calculator will be a valuable tool for retailers as they replace the common hydrofluorocarbons targeted for phase-down by the Environmental Protection Agency,” said Andre Patenaude, director, CO2 business development, Emerson’s Commercial and Residential Solutions platform. “It provides a visual forecast of the impacts of phase-down and phase-in of new refrigerants and system architectures, and assists retailers in the assessment of total carbon footprint impacts and LCCP in a single store and across an enterprise.”
The calculator provides metrics that can be downloaded as charts, including total LCCP per franchise, total LCCP per store, weighted GWP per store and total weighted GWP.
HARDI Distributors Report 4.7 Percent Revenue Increase in July
Columbus, Ohio — Heating, Air-conditioning & Refrigeration Distributors International (HARDI) released its monthly TRENDs report, showing average sales for HARDI distributor members increased by 4.7 percent in July 2017.
The average annualized growth for the 12 months through July 2017 was 8.8 percent.
“One reason HARDI members like TRENDs so much is it provides insight into regional markets,” said HARDI Market Research & Benchmarking Analyst Brian Loftus. “The country experienced dramatic weather differences during July. One region had almost 30% fewer cooling degree days versus last year while another had almost 10% more. The region’s sales performance reflected the different operating environments.” The weather is a short-term variable, while the overall economy is doing well.
“US Industrial Production transitioned to Phase B, Accelerating Growth, in June,” said HARDI Senior Economist Connor Lokar. “We expect this to drive accelerating consumer spending through mid-2018 before the rate of growth slows throughout 2019.”
The Days Sales Outstanding (DSO), a measure of how quickly customers pay their bills, is now less than 45 days. “July and August are the seasonal low points for the annual DSO cycle,” said Loftus. “The modest sales activity during this important seasonal month probably led to the conservative result.”
HARDI members do not receive financial compensation in exchange for their monthly sales data and can discontinue their participation without prior notice or penalty. Participation is voluntary, and the depth of market coverage varies from region to region. An independent entity collects and compiles the data that can include products not directly associated with the HVACR industry.
For more information, please contact Anthony Lagunzad at firstname.lastname@example.org.
You’re Invited!
Coastal HVAC Supply
10th Annual Customer Appreciation Lunch
to be held on November 8, 2017
at 51 Esplanade Branch
Esplanade [#1]
51 Esplanade, Suite 100
Houston, TX 77060
Phone: [281] 445-3237
Manager: Justin Flachbeck
Northcourt [#2]
7875 Northcourt Rd., Suite 200
Houston, TX 77040
Phone: [713] 998-9227
Manager: Lane Winn
La Porte [#3]
1810 Fairmont Pkwy, Suite 300
La Porte, TX 77571
Phone: [281] 474-9227
Manager: Tom Wilhelm
Austin [#4]
9715-B Burnet Rd., Suite 300
Austin, TX 78758
Phone: [512] 491-9227
Manager: Ray Trevino
Corpus Christi [#5]
722 South Padre Island Dr
Corpus Christi, TX 78416
Phone: [361] 650-9227
Manager: Scott Crawford
Coastal HVAC Supply is pleased to announce Robert Fly, formerly of Fly Supply, has joined the Coastal HVAC Supply sales team. He will be primarily working with our Corpus Christi branch but will also have some accounts in the Houston & Austin areas. We are very pleased to add someone with his experience to our team & believe he will help with our continued growth.
## Texas Hurricane Recovery
### HVAC Consumer Financing
**All Gemaire Products and Brands**
| Description | Homeowner APR | Dealer Price |
|--------------------------------------------------|---------------|--------------|
| **Fixed APR 10-Year (1.35% Payment)** | 9.99% | 1.5%* |
| Subject to credit approval. Fixed APR of 9.99% for 120 months. For each $1,000 financed, 5 payments of $8.33 followed by 115 amortized payments of $13.55. | | |
| **12-Month No Interest if Paid in Full w/ No Payments** | 17.99% to 26.99% | 3.5%* |
| Subject to qualifying credit approval. Interest is billed during the promotional period but all interest is waived if the purchase amount is paid in full within 12 months. | | |
| **0% APR 24-Month Equal Payments** | 0% | 7.5%* |
| Subject to credit approval. Fixed APR of 0.00% for 29 months. For each $1,000 financed, 5 months of $0.00 payments followed by 24 amortized payments of $41.67 | | |
### GreenSky® Enrollment & Financing Questions
- Special offer only available in Texas.
- Must register before offering the listed financing offers. (USE SPONSOR #761)
- To enroll in the GreenSky program and offer No Interest if Paid in Full No Payment options please visit: [www.greenskycredit.com/apply](http://www.greenskycredit.com/apply)
- For more details visit: [bit.ly/TX_Recovery](http://bit.ly/TX_Recovery)
- Instant 2nd Look with Fixed APR & Deferred Interest Options.
*Upon approval, consumers are issued a 16-digit account number for the approved amount which is processed like a Credit Card. Standard merchant/CC processing fees apply.
For deferred interest plans, interest accrues during the promotional period but all interest is waived if the purchase amount is paid in full before the end of the promotional period.
Financing for GreenSky® credit programs is provided by federally insured, federal and state chartered financial institutions without regard to age, race, color, religion, national origin, gender or familial status.
**NO INTEREST IF PAID IN FULL PLAN**
Regular monthly or bi-monthly payments are required during the promotional period. Interest will be charged to the customer’s account from the purchase date at the APR for Purchases if the purchase balance is not paid in full within the promotional (special terms) period.
**0% APR WITH EQUAL PAYMENTS PLAN**
The special terms APR will continue to apply until all qualifying purchases are paid in full. The monthly payment will be the amount that will pay for the purchase in full in equal payments during the promotional (special terms) period.
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ACCA Increases ENERGY STAR Installation Advocacy
Retains Services of EPA ENERGY STAR National Manager
Arlington, VA – The Air Conditioning Contractors of America (ACCA) has announced that it has retained the services of Chandler von Schrader, the former National Manager of the Environmental Protection Agency’s (EPA) ENERGY STAR Verified Installation Program (ESVI), to address energy gaps in the residential heating, ventilation and air conditioning (HVAC) market. Currently, many ENERGY STAR HVAC equipment is not installed properly and not providing consumers with the benefits they believed they were purchasing.
Von Schrader has decades of experience within the HVAC industry. Prior to working with ACCA, he served at the EPA to create the ESVI Program with the goal of ensuring that ENERGY STAR labeled HVAC equipment performs as promised. Before serving in the EPA, he worked as an HVAC contractor in northern Virginia.
ACCA has led efforts to address the widely-recognized energy and safety degradations from poorly designed and installed HVAC systems by creating the ANSI-recognized ACCA 5 Quality Installation (QI) Standard. If an HVAC system is not installed correctly, it may function at 60 percent of its highest efficiency and increase the risk of poor indoor air quality, fire hazards and mold growth. The QI Standard details the minimum requirements needed to ensure an HVAC system is installed properly, and was created by collaboration between contractors, manufacturers, government officials, and other interested parties.
ACCA’s overarching policy and advocacy goal is for policymakers to consider HVAC systems in a holistic manner and focus on the realized efficiency of equipment by promoting the value of properly designed and installed HVAC systems. ACCA has urged regulators and elected officials to end the decades-old focus on equipment-only efficiencies and to protect consumers by addressing the problems caused by poorly designed and installed HVAC systems.
Trane Receives Nationally Acclaimed “A,A” Partner of Choice Award for Excellence from David Weekley Homes
Award honors Trane with eighth “A,A award” for quality and service
Davidson, N.C. – David Weekley Homes, the nation’s largest privately-held home builder, honored Trane, a leading global provider of advanced comfort systems and services and a brand of Ingersoll Rand, with its “A,A” Partner of Choice Award for excellence in both quality and service for the eighth time for 2016 performance.
Fewer than 9 percent of 200 suppliers doing business with David Weekley Homes received the highly sought after “A,A Partners of Choice” award for both quality and service excellence for 2016 performance.
“We are especially pleased to receive this recognition because of the positive product quality and service transactions it represents,” said Mark Wagner, vice president of sales for Trane. “Our teams strive to deliver reliable quality and service day in and day out for our valued customers and their homeowners as a reflection of our brand promise and the commitment of our employees.”
David Weekley Homes awards the coveted “A,A Partners of Choice” to its trading partners receiving the highest marks through participation in Weekley’s world-class supplier evaluation platform. This platform challenges David Weekley Homes and its suppliers to achieve excellence through a rigorous continuous improvement process, the heart of which is the “National Trading Partner Survey.”
“Brands have to successfully manage thousands of transactions throughout the year from manufacturing through installation and billing in order to reach high rankings in our evaluation process,” said Bill Junger, vice president of Supply Chain Services for David Weekley Homes. “The length and breadth of our process means you can’t talk your way to good scores. Through their actions, our friends at Trane have once again proven themselves to be world-class in delivering quality and service to our company.”
Surveys are completed by over 1,000 David Weekley staff members at all levels regarding their interactions with the organizations being assessed. The home builder distinguishes its survey process by holding manufacturers accountable for the performance of the entire supply chain—from raw production through delivery and even installation. Additionally, the survey seeks input from all roles within the quality and delivery channels at David Weekley Homes.
The survey requires engagement and a commitment to improve from those participating. Organizations which receiving ratings of under 8 on a 10 point scale (with 10 being the highest possible score) are directed to contact the specific rater to discuss the reasons and determine corrective action plans involving both parties.
During 2016, Trane received a score of 9.69 for quality and 9.69 for service. (Trane received the A,A award in 2005-2008, 2011, 2012, 2015 and 2016). Trane received the single A award in service in 2013.
Aspen Manufacturing, headquartered in Humble, Texas, has witnessed the extent of the devastation, disruption and suffering caused by Hurricane Harvey. Our hearts and thoughts are with our extended Aspen family which includes employees, customers and suppliers. We know many of them live and work locally in the impacted areas so our concern is for the safety and well-being of their families, neighbors and friends.
We are very proud and thankful for our employees and their efforts giving back to our community during this period and appreciate our business partners’ best wishes, kind words, and support. We were extremely fortunate not to have any flooding damage to our manufacturing facility and office. Within a week of the hurricane, we resumed our regular production schedule and experienced minimal disruption to our services and lead-times.
Houston – With thousands of homeowners facing serious financial challenges to rebuild in the wake of Hurricanes Harvey and Irma, a special program called “Operation Returning Comfort” is offering substantial, limited discounts on Goodman/Symbol brand heating and air conditioning systems from participating local Goodman dealers.
“Operation Returning Comfort began as a way to help support the flooded communities of coastal Texas and Houston, the city where Goodman began 35 years ago and is still our home,” said Jeff Underwood, vice president of marketing for Goodman. “Goodman and its employees, friends and community experienced the devastation from Harvey, and our hearts go out to those suffering from this disaster. After Hurricane Irma slammed into Central and South Florida, a quick decision was made to extend the relief program.”
Operation Returning Comfort will provide substantial discounts to help homeowners replace damaged heating, ventilation and air conditioning (HVAC) systems as quickly as possible.
“Many Goodman employees and dealers live in areas hit by these massive storms and they, too, have experienced flooding and other problems,” said Underwood. “Operation Returning Comfort is just one small way that the company can work together with independent dealers to help. We understand that many members of the community will be faced with large, unplanned expenses as they recover from the aftermath of Harvey and Irma.”
Operation Returning Comfort pricing discounts are designed to pass savings directly to an affected homeowner. All local, independent Goodman dealers in the Harvey-damaged Houston region are eligible to participate.
“To ensure that homeowners receive the discount, Goodman’s Homeowner Support team will make random calls to homeowners to verify that they received the appropriate pricing. In addition, the local Goodman dealer and affected homeowner are required to complete and sign a participation form that confirms the installation.
Hidden Dangers
“While flooding ruins a home’s furnishing, structure and personal belongings, it also can leave behind hidden dangers to HVAC systems,” Underwood explained. “Appearances can be deceiving. Even if the HVAC system is energized and appears to be working when you return home, it is likely that the system will not operate properly, will not deliver the performance that you expect and may cease to function shortly after it appeared to be working.”
It is highly recommended that homeowners with flooded houses have a qualified HVAC technician inspect the home’s heating and cooling system before using it, said Underwood.
“The outdoor unit might look the same as it did prior to the flood, but there are many hidden concerns that may not be obvious to the untrained eye,” he said. “Simply stated, your heating and cooling system was not designed to operate under these conditions.
If the unit was running when flooding occurred, there could be severe electrical shorts, damaged electrical components, and safety features that are no longer operable that may not be visible. Indoor components are also affected by flood damage. Flood waters can corrode electrical components and cause similar damage to the outdoor unit. Also, gas furnaces have gas valves and other components that should be inspected before operating the unit.
To take advantage of this special program, homeowners can contact their local, participating HVAC dealer for full details or find an independent Goodman dealer, visit www.hvacgoodmanmfg.com/support/find-a-dealer.
“A long road lies ahead for the restoration and reconstruction that will allow families to return to living normal lives,” said Underwood. “Goodman is a native Texan with strong ties to Florida, and we hope Operation Returning Comfort can help communities get their home lives back to normal as quickly as possible.”
All Goodman heating and cooling systems are designed, engineered and assembled in the United States. Most the units are assembled in Waller, Texas, just outside Houston. For more about Goodman, visit www.goodmanmfg.com.
M&M Manufacturing, Inc.
WE ARE A CARING COMMUNITY CREATING COMFORT
COMMUNITY
HOW CAN OUR COMMUNITY SERVE YOU?
Your local Morrison Supply Company has the parts you need to get the job done. Our fully stocked stores and knowledgeable staff get you in and out and back on the job. We have the supplies you need when you need them. Call 877.709.2227 for your local store or visit www.morsco.com.
Introducing the game changer in home comfort.
FEATURING SMARTSENSE™ TECHNOLOGY
Experience superior home comfort with the continuous high-efficiency performance of the Comfortmaker® SoftSound® Deluxe 19 Air Conditioner and SoftSound® Deluxe 18 Heat Pump with SmartSense™ Technology.
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Comfort with Confidence.
© 2015 International Comfort Products
TACCA The Leader in Texas Department of Licensing Approved Education
Training Opportunities
TACCA (TDLR Provider #1126) has more than 40 years experience helping Texas contractors. Classes are available at a location near you or conveniently online. Register today!
Online Continuing Education
TACCA Members $49.00
Industry Partners $60.00
Visit www.TACCA.org
Oct 7 - Denton
Oct 14 - Houston Hurst
Oct 21 - Austin Rio Grande Valley
Oct 28 - Burleson Corpus Christi
License Prep Course: Only 3 out of 10 people pass the Texas ACR Exam. We will show you how to pass the FIRST time, with proven methods and materials!
Oct 6/7 - Red Oak (DFW Area)
Oct 28/29 - San Antonio
Nov 4/5 - Austin
Nov 11/12 - Houston
Contact TACCA at email@example.com or call 800/998-HVAC (4822). Limited seating, so register early!
CALL US TOLL FREE AT 800/998-HVAC(4822)
VISIT US ONLINE AT www.TACCA.ORG
AEROCEL® EPDM
EPDM High Performance Rubber
Works when and where other elastomeric insulation fails.
- **High Temperatures** – up to 300° F
Solar, radiant, low pressure steam
- **Low Temperatures** – down to -297° F
Stays flexible in cold. The cooler, the better the insulation power.
- **Dual Temperature Systems**
Chilled water / Hot water systems
- **High Moisture / Humidity Environments**
The most resistant rubber to moisture intrusion.
- **Mold & Mildew**
No substance in EPDM, biocides not required. Will not support mold or mildew growth.
- **Outdoors**
No additional weather protection needed.
- **Superior Fire Response Properties**
ASTM E 84 25/50 Flame and Smoke Rated, Exclusive – ASTM C635 Self-Extinguishing.
Get the whole story at www.aeroflexusa.com or call 1-866-AEROCEL (1-866-237-6235)
Safe. Easy. Insist on Aerocel.
Contact Aeroflex today at 1-866-237-6235 (1-866-AEROCEL) Or visit our website: www.aeroflexusa.com
3 Powerful Keys to Making More Money with Options
By Todd Liles
People like options. Options represent the power of choice. That’s why options work so well in boosting average tickets.
Presenting options to homeowners is easy. When you know how to do it well, your Air Conditioning sales will skyrocket. Best of all, the sale will be natural, and low pressure.
I’m going to cover 3 simple keys to presenting options. These 3 options will make you more money, and require little work.
3 Simple and Powerful Keys to Presenting Options
#1 – Create Packages
Have you ever bought a meal from McDonald’s? That’s a package. Instead of pricing out the drink, fries, and burger separately, they give it to you as a meal.
This works because of simplicity. It’s one decision to make, as opposed to 3 decisions.
You can do this same technique with your repair and add-on options.
Let’s say that you had 4 different repairs for the homeowner to consider. Instead of showing each one independently, you “package” the repairs. Now, the client can focus on the work as a package, instead of as separate repairs.
Don’t stop at just one package though, because that may cause closing issues. Move to the next key.
#2 – Present 3 to 4 Options
You will want to present 3 to 4 options, or “packages” to your client. Why? Because 1 package is no choice at all. And 2 options is either too cheap or too expensive. 3 to 4 is just right.
Now that you have your first option / package created, moving to the next package is very simple.
Here are two approaches you can take:
Remove 1: Simply remove one of the recommendations from your first package. Write that out as option #2. Repeat that process until you have 3 to 4 options.
Downgrade: Let’s say your first option has some items that can be downgraded. Such as going from a high-end thermostat to a mid-grade thermostat. In that case, you can create a second option with the downgrade.
You can also mix these two approaches together to create options. The key is to stay flexible.
Go from Highest to Lowest
This approach works well. When you show the highest option first, then the other option doesn’t look so expensive. It’s the basic law of contrast.
What I have learned by using this in the field, is that it makes the 2nd option easier to sell.
So, make sure your client has something to say no too. If you think your client would benefit best from a 16 SEER High Efficiency Heat-pump, then have a more expensive option listed before the 16 SEER Package. Something that would be super easy to say “No” too. Then, you’ll sell more High Efficiency Heat-pumps!
Training Classes will be offered in Austin, TX November 6th-9th. If you’re interested in boosting your Average Tickets, Service Agreements, Leads and Replacements; then call us at 512-333-4133 to discover more.
Todd Liles is the CEO of Service Excellence Training. SET is Business Consulting and Training Company specializing in Service and Sales Training for Techs, CSRs, and Sales Professionals. You can discover more at ServExtra.com, and request a Free Strategy Session at 512.333.4133.
New Bryan® Steam Free Flex Condensing Boiler
A new condensing boiler is available from Bryan® Steam LLC, Free Flex. The Free Flex Ultra-High Efficiency Commercial Condensing Boiler offers a thermal efficiency of 95% and features Bryan’s weld-free design. Free Flex permits field access to the heat exchanger for cleaning and an unprecedented tube replacement making the only repairable condensing boiler available. Free Flex is also available in knockdown configurations to fit where other packaged boilers cannot and will operate in Low Flow, Variable-Primary or traditional Primary/Secondary designs. Other features include: 1-3MBH, a competitive installed footprint, a state-of-the-art control system, and Bryan’s Thermal Shock Lifetime Guarantee.
Bryan Steam, one of the creators of the “Flexible Water Tube” design, offers a broad range of Steam and Water-boilers including: gas, oil, gas/oil fired boilers, and electric boilers. Low NOx, knockdown, and outdoor weather protection are available on most boilers. The “Flexible Water Tube” design provides fast, natural internal circulation for maximum heat transfer and operating efficiency. Bryan Steam also manufactures indirect water heaters, pool heaters, feed systems and related boiler equipment.
LUXAIRE® CHARGE SMART™
UNPRECEDENTED TECHNOLOGY
Built-in ChargeView™ monitoring reinvents the way you’ll evaluate the system charge: no additional gauges, sensors or accessories required.
Luxaire® Charge Smart™ enables faster installations and more efficient yearly maintenance of our Acclimate® Variable Capacity Residential Systems. By simply removing two screws, built-in Charge Smart™ monitoring helps ensure units are charged correctly when installed, giving the homeowner peace of mind and allowing contractors to determine system refrigerant charge measurements more quickly — all without disconnecting or attaching anything to the unit.
Easier installation process:
Charge Smart™ shortens installation time by building in the tool necessary to confirm the unit is properly charged.
Streamlined verification:
A digital screen on the back of the unit quickly displays refrigerant pressures and temperatures contractors need to evaluate the system charge — all without connecting any additional gauges, sensors or accessories. If the screen shows a frowning face, the system requires attention. But if the screen shows a smiling face, the system is operating correctly.
Faster maintenance:
By making pressure and temperature information available by simply removing an access panel, homeowners can expect faster maintenance or service calls, increasing contractor productivity.
Integrated monitoring:
Charge Smart™ sends an alert to the homeowner and shows the technician if the system requires adjustment. The digital screen displays high side pressure, liquid temperature, low side pressure and suction temperature. With this information, Charge Smart™ provides direct readout of both system subcooling and superheat.
The rigorously tested, high-efficiency residential split system with built-in, advanced charge monitoring: Luxaire® ensures faster, more accurate installations with Charge Smart™ — standard in our Acclimate® Series of variable capacity outdoor units. In the future, should the refrigerant charge require attention, an alert is sent to the homeowner. And if the homeowner has the contractor monitoring the system, the servicing contractor will also be alerted.
Solar Supply is proud to serve as the region’s Luxaire® distributor. Visit Luxaire.com/solarsupply
GET COMPLETE DETAILS AT A SOLAR SUPPLY LOCATION NEAR YOU.
ALABAMA: Daphne, Dathan
ARKANSAS: El Dorado
LOUISIANA: Alexandria, Baton Rouge, Gonzales, Gretna, Hammond, Harahan, Houma, LaPlace, Lafayette, Lake Charles, Leesville, Mandeville, Monroe, Natchitoches, New Iberia, Opelousas, Ruston, Shreveport, Slidell
MISSISSIPPI: Gulfport, Hattiesburg, McComb, Meridian, Natchez, Ridgeland, Vicksburg
TEXAS: Abilene, Angelina, Beaumont, Brenham, Brownsville, Brownwood/Early, Bryan, Cleburne, Conroe, Corpus Christi, Galveston, Harlingen, Houston, Houston N.W., Houston S.E., Houston S.W., Humble, Huntsville, Lufkin, Marshall, McAllen, McKinney, Nacogdoches, Orange, Paris, Port Arthur, San Marcos, Sherman, Temple, Texarkana, Victoria, Waco
We’re Here to Help.
Insco Distributing, Inc. and York® are dedicated to helping those affected by Hurricane Harvey rebuild and return to the lives they had before the storm.
johnsoncontrols.com/harvey
Hurricane Harvey Consumer Relief Rebate
York is offering special consumer rebates for persons within the Texas FEMA Disaster Area (DR-4332).
Up To $400 on Complete York® Systems
$100 on Guardian® 407c Condensers
R22 Replacement Solution
Guardian® R-407C systems are a cost-effective, high-efficiency option for replacing hurricane damaged HVAC units. These systems provide a simpler alternative versus a complete indoor and outdoor system or a major retrofit.
In Stock and Available Now at Insco.
Abilene | Arlington | Austin | Brownsville | Corpus Christi | Dallas | Desoto | Del Rio | Denton | El Paso | Fort Worth | Garland | Georgetown | Grapevine
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THE NAME THAT DEFINED OUTDOOR LIVING
HAS REDEFINED INDOOR LIVING
THE COLEMAN® ECHELON™ VARIABLE CAPACITY RESIDENTIAL SYSTEMS
There’s a new definition of technology. Built in Charge View™ monitoring reimagines the way you’ll evaluate the system charge: no additional gauges, sensors or accessories required. There’s a new definition of simplicity, thanks to time-saving features. And there’s a new definition of quality. Every Echelon™ system is designed, engineered and assembled right here in the United States. Indoor living, redefined: ColemanAC.com/Echelon
Coleman®
HEATING & AIR CONDITIONING
JOHNSTONE SUPPLY
AUSTIN
10630 Metric Blvd., 78758
firstname.lastname@example.org
Phone: (512) 834-0346 Fax: (512) 834-0103
AUSTIN (SOUTH)
4114 Todd Lane, 78744
email@example.com
Phone: (512) 440-7229 Fax: (512) 440-7254
BEAUMONT
675 M.L. King Pkwy., 77701
Phone: (409) 832-7409 Fax: (409) 832-1462
BROWNSVILLE
4630 Mar St., 78521
firstname.lastname@example.org
Phone: (956) 838-0542 Fax: (956) 838-1439
CORPUS CHRISTI
2701 Agnes St., 78406
P.O. Box 9490, 78469
email@example.com
Phone: (361) 882-6896 Fax: (361) 882-4704
CORPUS CHRISTI (2)
8051 South Padre Island Dr., 78412
firstname.lastname@example.org
Phone: (361) 986-0813 Fax: (361) 980-1404
HOUSTON
2120 Shepherd Drive, 77007
Phone: (713) 866-6967 Fax: (713) 866-3045
HOUSTON
5965 South Loop East, 77033
Phone: (713) 645-0085 Fax: (713) 645-7480
HOUSTON
6304 Westpark, 77063
Phone: (713) 892-4601 Fax: (713) 892-6865
HOUSTON
15631 Blue Ash, #160, 77090
Phone: (281) 872-6200 Fax: (281) 872-4648
HOUSTON
10351 West Little York Rd. Ste. 400, 77041
Phone: (713) 466-9718 Fax: (713) 466-7350
KATY
2210 Merchants Way, Ste. 100, 77449
Phone: (713) 800-0240 Fax: (713) 800-6250
LA FERIA
1442 E. Commerceway 03, 78558
email@example.com
Phone: (956) 797-2038 Fax: (956) 797-2542
LAREDO
4114 Airpark Dr #4A, 78041
firstname.lastname@example.org
Phone: (956) 727-2235 Fax: (956) 727-226
LONGVIEW
347 West Cotton St., 75601
email@example.com
Phone: (903) 234-1321 Fax: (903) 234-1321
LUBBOCK
8039 W. 45th St., 79407
firstname.lastname@example.org
Phone: (806) 792-2451 Fax: (806) 792-9787
PHARR
3100 N. Sugar Rd., 78577
email@example.com
Phone: (956) 783-1036 Fax: (956) 783-5106
SAN ANTONIO
9311 Broadway, Ste. 200, 78217
firstname.lastname@example.org
Phone: (210) 829-1934 Fax: (210) 829-1509
SAN ANTONIO
6000 North Flores St., Ste. 140, 78238
email@example.com
Phone: (210) 680-6500 Fax: (210) 680-6570
SAN ANTONIO
30 Essex Street, Suite 101, 78210
Phone: (210) 200-8273 Fax: (210) 200-8279
STAFFORD
10550 West Airport Blvd Ste. 180, 77477
Phone: (281) 988-5854 Fax: (281) 988-953
VICTORIA
405 S Water Street, 77901
firstname.lastname@example.org
Phone: (361) 574-0349 Fax: (361) 574-0359
SAMSUNG HVAC of America 2017 Annual Partner Summit Awards Dinner
The event was held at the Hilton Anatole Hotel in Dallas on September 18, 2017
Blake Wynter (L) with SAMSUNG presents Shearer Supply Brian Bahn, Jon McKee and Grant Boivin with the Media Partner Award with Russell Tavolacci (R)
Francis Heo, Pat Wieckowski, Myung Jin Jung, Ryan Rothstein and Jason Kim
Pinnacle Award Winner Michigan Air Products
Gary Stern, Ron Hartzheim and Russell Tavolacci
Hon Hong, Richard Boivin, Matteo Napoli and Anthony Jonkov
Blake Wynter and Steve Parker both with SAMSUNG
Sean Kim, John Shannon and David Yu all with SAMSUNG
Senior VP and COO of SAMSUNG Russell Tavolacci addresses the crowd
Adrian and Lexie Gunder with the Adrian Gunder Group
Pete Quinn, Joe Vincenti and Jason Winter
IMPECCABLE SAFETY RECORD & PERFORMANCE
• Safe delivery tool with high-end materials and high pressure capability
• Zero reaction to moisture
SUPERIOR QUALITY CONTROL
• On-site manufacturing & professionals
• Manufactured in U.S.A.
• OEM approved
PERMANENTLY SEALS LEAKS
RectorSeal® 2001 Spennick Drive - Houston, TX 77055 800-231-3345 rectorseal.com A CSW Industrials Company
RectorSeal®, RectorSeal® Plus, RectorSeal® Pro and AC Leak Freeze are trademarks or registered trademarks, respectively, of RectorSeal, LLC, its affiliates or its licensees and are protected by copyright, trademark and other intellectual property laws. All rights reserved. RectorSeal is committed to the highest standards of quality and performance. Specifications subject to change without notice.
The only thing that’s changed, is everything.
YORK® AFFINITY™ PREMIUM RESIDENTIAL SYSTEMS
The first high-efficiency residential split systems to feature built-in Charge Assurance™.
Whoever said “some things never change” obviously wasn’t in the HVAC industry. YORK® knows the importance of keeping our products at the leading edge. The Affinity™ series is smarter, more connected and more efficient than ever before. Built-in Charge Assurance™ and Climate Set™ technologies will change your business and your profitability. See how YORK® has revolutionized the industry at YORK.com/Affinity
Solar Supply is proud to serve as the region’s York® distributor. Visit solarsupply.us
Get complete details at a Solar Supply location near you.
Arkansas: El Dorado
Louisiana: Alexandria, Baton Rouge, Gonzales, Gretna, Jefferson, Hammond, Harahan, Houma, LaPlace, Lafayette, Lake Charles, Leesville, Mandeville, Monroe, Natchitoches, New Iberia, Opelousas, Ruston, Shreveport, Slidell
Mississippi: Gulfport, Hattiesburg, McComb, Meridian, Natchez, Ridgeland, Vicksburg
Texas: Abilene, Brownwood, Lufkin, Marshall, Nacogdoches, Texarkana
Dealer Appreciation
SAVE THE DATE
Join us for drinks, dinner, and a good time courtesy of Century and York!
SAN ANTONIO TUESDAY, NOVEMBER 7TH
5:30 -9:30 PM | AT THE HISTORIC SUNSET STATION
Casino Games, Drinks, Dinner and Prizes just minutes from the famous San Antonio Riverwalk
AUSTIN THURSDAY, NOVEMBER 9TH
5:30 -9:30 PM | AUSTIN RIVERBOAT TOUR
Riverboat cruising with Casino Games, Drinks, Dinner and Prizes
LA FERIA WEDNESDAY, NOVEMBER 8TH
TIME TBD | OFFSHORE FISHING EXCURSION
Lunch, Beverages, and a great experience are included!
DALLAS THURSDAY, NOVEMBER 16TH
5:30 -9:30 PM | AT EDDIE DEEN’S RANCH
Wild West night with Casino Games, Entertainment, Drinks, and Dinner
Contact your Sales Rep for details.
VISIT ANY OF OUR 24 TEXAS LOCATIONS TODAY
YORK BRANCHES DALLAS RICHARDSON MESQUITE FORT WORTH WACO CEDAR PARK SOUTH AUSTIN SAN MARCOS SAN ANTONIO WEST SAN ANTONIO LA FERIA
RUUD BRANCHES ANGLETON BAY CITY CONNIE LUFKIN HUMBLE KATY LEAGUE CITY HOUSTON AREA: WINKLER BELWAY GULFPORT BARKER CYPRESS WEST 43RD STUEBNER
CENTURYAC.COM
Carrier Enterprise held their Annual Birds and Birdies Dove Hunt and Golf Tournament
The all day event was held in south San Antonio on September 7th
Available from
Goodman
Carrier
Trane
Century
ACES
Hiscox
Leroy
Coastal Air
Shearer Supply
Standard Supply
Lennox
...and more to come!
Introducing the SST™: System Service Transition™
The FUTURE of Coil and Furnace Maintenance and Servicing Capability
Quick & Easy Installation - Technicians Save Time!
Quicker - Easier - More Profitable Regular Maintenance
Flexible - Fits Closet, Upflow Horizontal Applications
www.HVACinnovate.com
"Changing the HVAC Industry. One Innovation at a Time"
Advantages
No More Removing Coils From the Furnace or Cutting Open the Coil Box
No More Limited View of the Heat Exchanger for Testing and Inspection
No More Dripping or Spilling Coil Cleaner on the Heat Exchanger
No More Being Unable to Clean into the Apex of the Coil
No More Block Offs Robbing System Performance and Air Flow
Key Benefits
• Room to Work: Additional Clearance of Coil From Furnace
• Removable Door: Easy Instant Access to Coil and Heat Exchanger
• Test for Coil Leaks in Minutes
• Heavy Gauge Cabinet: Insulated Walls (R6 or R8)
• Pre-Assembled: No Cutting or Field Fabricating
888.994.4424
www.HVACinnovate.com • fax: 888.929.2566 • PO Box 1079 Cypress, TX 77410
Proudly Made in the USA • Patent Pending in the US and Canada
Rheem and Gemaire held a Dove Hunt and Raffle to benefit Harvey Relief
Over 100 contractors participated from Texas and 3 surrounding states. Over $17,000 was raised from the event and raffle with Rheem providing matching funds to Hurricane Harvey relief efforts.
Daikin Expands Harrison Energy Partners’ Territory to Oklahoma City
Oklahoma City — In July, Daikin announced its new relationship with Harrison Energy Partners (HEP), the largest commercial and industrial HVAC firm in Arkansas, as the authorized manufacturer’s representative in central, northwest and western Arkansas, and eastern Oklahoma. Effective immediately, Daikin is pleased to extend that territory into western Oklahoma, including Oklahoma City and the surrounding region.
With strengths in HVAC applications, owner sales, system service, controls and energy services, HEP helps customers efficiently manage costs and their buildings. HEP’s breadth of solutions and energy expertise significantly expands Daikin’s ability to serve its customers in this extended territory, where HEP will represent Daikin’s full portfolio, including chillers, air handlers, packaged rooftop units, water source heat pumps, Variable Refrigerant Volume (VRV®) systems, and Intelligent Solutions®.
HEP’s CEO, Bill Harrison, is eager to bring HEP’s strength into this new market. “Oklahoma is a natural fit for HEP and we are thrilled our relationship with Daikin has allowed for such an expansion. Oklahoma City’s rich talent will serve as a great complement to our mission of delivering commercial HVAC excellence at a superior value so we are always our client’s first choice. We are committed to building superior teams, equipped with proper resources, to serve Oklahoma through its Tulsa and Oklahoma City offices.”
Daikin Applied’s EVP of Sales, Marketing and Aftermarket, Kirk Thorne, is confident that expanding HEP’s territory to the Oklahoma City region will propel Daikin’s sales growth in that market. “HEP has been recognized repeatedly not just for having the best HVAC talent in the markets where they operate, but for being a top employer. We can build on that strength to be an unmatched force in HVAC systems and solutions in Oklahoma City.”
Daikin would like to thank Engineered Equipment Inc., its previous equipment representative in the territory, for its contribution to Daikin during its tenure as the Daikin representative.
Game Changer.
Introducing the innovative Explorer Mini.
It’s the most affordable WiFi thermostat on the market today.
- Built-in WiFi
- 7-day programmable and multi-stage control
- Small, compact size and simple to install
- Compatible with Amazon® Alexa
- Global changes w/Skyport
- Dry contact equipped
- Free Skyport Mobile App
- Title 24, OpenADR 2.0b compliant
- Full API available
- Residential, commercial and fan coil models
www.venstar.com
Cleanup after Harvey is going to take a long time. Easy to install IDS products from Bosch will help you get more customers back to normal faster.
18 SEER Air Source Heat Pump
- Only 2 condenser sizes to choose from, 3 and 5 ton
- Small foot print
| Model | Length | Width | Height | Weight |
|---------|--------|-------|--------|--------|
| BOVA036 | 29" | 29" | 25" | 157lbs |
| BOVA060 | 29" | 29" | 33" | 201lbs |
- Use 24v thermostat of your choice
- Only 4 wires to condenser to operate as a heat pump or 2 wires for A/C
- Works with existing indoor equipment that has mechanical 410a TXV and no microchannel air coils
- Industry Leading Humidity Control: compresss modulates to maintain 47 degree (standard) or 37 degree air coil (advanced cooling mode) from start-up
- 85 Step Inverter Driven Compressor, with a low amp start-up (1.5 amps)
- 10 year part and 90 day labor. no registration required
Bosch ABC Contractors additional 1 year parts & labor warranty for registered installations
Steve Wood
Central/South TX
512-422-6058
email@example.com
Randy Burg
Houtson/Southeast TX
713-306-4897
firstname.lastname@example.org
Warren Finney
DFW/West & NE TX
817-929-9526
email@example.com
Scott Taylor
ARK/OK/N. LA/N. MS
501-416-4413
firstname.lastname@example.org
CJ Davis
S. LA/S. MS
337-991-6149
email@example.com
TACCA/ACCA Partner on Hurricane Relief Efforts
The devastating effects of Hurricane Harvey have been felt by millions of Texans along the Texas Gulf Coast. More than 300 TACCA and ACCA contractor and affiliate members have been affected by Hurricane Harvey. These members, many of whom had employees and family who lost EVERYTHING in the storm, will be working to put their lives back together for days, weeks, months and years to come. TACCA is asking EVERY Member and Contracting friend and affiliate to help contribute to the ACCA Disaster Relief Fund. This Fund will help TACCA and ACCA Members to begin to re-piece their lives so that they can continue to be the strong leaders and employers that they have been for so many years within the Texas HVAC/R community. Your help is urgently needed, please contribute today to the ACCA Disaster Relief Fund.
Contact TACCA at 800.998.4822 or firstname.lastname@example.org to contribute to Texas Contractors!
Emergency Help for TDLR Licensees—HVAC/R License Holders
Governor Greg Abbott’s disaster proclamation includes the following Texas counties: Angelina, Aransas, Atascosa, Austin, Bastrop, Bee, Bexar, Brazoria, Brazos, Burleson, Caldwell, Calhoun, Cameron, Chambers, Colorado, Comal, DeWitt, Fayette, Fort Bend, Galveston, Goliad, Gonzales, Grimes, Guadalupe, Hardin, Harris, Jackson, Jasper, Jefferson, Jim Wells, Karnes, Kerr, Kleberg, Lavaca, Lee, Leon, Liberty, Live Oak, Madison, Matagorda, Montgomery, Newton, Nueces, Orange, Polk, Refugio, San Jacinto, Sabine, San Patricio, Trinity, Tyler, Victoria, Walker, Waller, Washington, Wharton, Willacy, and Wilson.
In coordination with the Governor’s proclamation, TDLR is implementing fast-track licensing procedures for all eligible TDLR licensees in the affected counties to help them recover and return to work as quickly as possible. The following procedures are in effect for the duration of the declared disaster period and any extensions:
License expiration dates automatically extended. All eligible licensees in the affected counties currently in the renewal period will have their license expiration dates automatically extended by 60 days. Check your license status online.
Late fees and license replacement fees waived. TDLR will waive renewal late fees and offer replacement licenses at no cost for all eligible licensees in the affected counties. Contact TDLR at email@example.com or 1-800-803-9202 to order a duplicate license at no cost.
Continuing education (CE) requirements automatically waived. All eligible licensees in the affected counties may renew without completing continuing education requirements.
Extended grace period for expired licenses. Licensees in the affected area with licenses expired beyond the usual expiration limits will be allowed to renew.
Visit www.tdlr.texas.gov/harveyresponse for more information.
Have you seen our new website? WWW.TACCA.ORG has a brand new look and SUPER new features that include being able to pay your membership dues on-line, update your own membership record and continue to register for our TACCA educational opportunities. Visit us today on the web...www.tacca.org!
Need an HVAC CE Course or License Prep Course?
More than 2000 HVAC Professionals Use TACCA Program’s each year!
| CE Classes: | License Prep: |
|----------------------|--------------------------------|
| Oct 7 - Denton | Oct 6/7 - Red Oak (DFW Area) |
| Oct 14 - Houston | Oct 28/29 - San Antonio |
| Hurst | Nov 4/5 - Austin |
| Oct 21 - Austin | Nov 11/12 - Houston |
| Rio Grande Valley | |
| Oct 28 - Burleson | Visit www.tacca.org to register!|
| Corpus Christi | |
Texas Air Conditioning Contractors Association
Mission: Our mission is to promote quality and professionalism, help our members become more profitable, and enhance the HVAC/R industry’s image with the consumer.
TACCA focuses on providing information, benefits, education and legislative representation to our members.
Visit us at www.tacca.org, or call 800.998.HVAC (4822) to become one of the more than 5000 contractors across Texas who receive our information.
Make Plans to Attend the Locke Supply Co. Dent, Damage & Discontinued Sale
First Come First Serve. All Sales Are Final!
Two days only!
Thursday, October 19, 2017 and Friday, October 20, 2017, 7 AM to 4 PM
Locke Supply distribution Center
1300 SE. 82nd St., Oklahoma City, OK 73149
★ Hundreds of discontinued faucets, including American Standard & Delta!
★ Huge assortment of DeWalt & Milwaukee power tools & accessories!
★ Surplus of Engle tumblers, powder coat & stainless!
★ Assortment of Toilets, kitchen sinks and lavatories!
★ Plus many plumbing, electrical & HVAC parts & accessories. Too many to list!
★ Huge selection of ALLIED Commercial, Armstrong Air & Concord equipment!
Quantities are limited. First come first served basis. Hurry in for the BEST BUYS!
Locke credit personnel will be on hand.
Bring your trailer! Merchandise won't last long!
Heating and cooling equipment sold to licensed contractors only! All sales are final!!
Character, Customer Service, Employee Owned
Attention Contractors!
Some of these items are discontinued models and/or current inventory items which have some damage.
The price you pay is as is pricing
No returns
Your invoice will be noted and/or stamped
ALL SALES FINAL
NO FURTHER DISCOUNTS
Methods of payment accepted:
Cash, Check (Approved), Credit card, Approved account
Credit representatives will be present!
Sale items must be picked up by 4:00 PM the day of the sale.
Locke Supply Co.
Character, Customer Service, Employee Owned
LET US HELP YOU GET YOUR CUSTOMERS BACK ON THEIR FEET.
Special Relief Financing
60 MONTHS, 6.99% APR
WITH NO PAYMENT, NO INTEREST FOR THE FIRST THREE MONTHS*
Offer now available until Nov 17th.
HOUSTON
Houston (Northwest)
11717 Windfern Road, #100
Houston, TX 77064
713-856-7564
The Woodlands
600 Spring Hills Dr.
Spring, TX 77386
832-562-4000
Katy
21301 Park Row Dr, Suite 420
Katy, TX 77449
832-464-3850
Humble
2002 S Houston Ave,
Humble, TX 77396
346-600-7170
Houston (Southwest)
11727 W. Same Houston Pkwy. S.
Houston, TX 77031
281-561-8520
Webster
12354 Galveston Rd., Suite B-200
Webster, TX 77598
281-218-6762
CORPUS CHRISTI
Corpus Christi
441 Sun Belt Drive, Suite J
Corpus Christi, TX 78408
361-249-9366
PartsPlus
Find your nearest location online at the LennoxPROs store locator.
Please inquire with your Lennox TM for dealer costs.
Friedrich Rushes 200 A/C Units To Aid Aransas County Emergency Responders In Wake Of Hurricane Harvey Devastation
Local Officials Say Need for Aid is Huge in Small Coastal Communities Hit by Harvey
San Antonio, Texas—200 Friedrich Chill room air conditioners, totaling 10,400-pounds of window A/C units worth an estimated $55,000 were loaded up and delivered to Rockport, a town almost completely devastated by Hurricane Harvey and Tropical Storm Harvey.
The Friedrich A/C units were used by the Rockport Volunteer Fire Department, which was struggling to provide shelter for emergency responders in the area, including law enforcement officers, volunteer firefighters and emergency medical personnel and dispatchers, after many have lost their own homes and businesses.
“The destruction is unfathomable and the community desperately needs help, so we’re doing everything we can to keep our local emergency responders in the area,” said Gillian Tate, volunteer firefighter. “Those of us that still have homes standing in the area must get them up and running as soon as possible with water, showers, and air conditioning to provide adequate shelter for our emergency responders so they can continue to provide assistance and support for so many here who need it.”
“Friedrich contacted us and asked, ‘tell us what you need,’” said Tate. “I said we have an urgent need for 50 A/C units, but we could really use 20.” They said, ‘consider it done.’”
Because freight transportation to the area was severely limited due to the extensive storm damage, Friedrich employee volunteers handled the transportation and delivery themselves, making the 175-mile journey to deliver the units directly to the Rockport Volunteer Fire Department. Local officials there coordinated the distribution of the units to emergency responders throughout the county, based on individual needs.
“With a nearly 140-year history in Texas and so many strong ties to these communities, we are grateful to be able to lend a hand and hope that we will provide some relief to those who are suffering so much right now,” said Chuck Campbell, CEO of Friedrich.
**Insco’s October Events Schedule**
Insco Distributing, Inc. offers some of the best training available in the HVAC/R industry. With over 100 years of experience, we provide hands-on instruction at our four state-of-the-art facilities located in Houston, Grapevine, McAllen & San Antonio. We also offer local training at our branches or off-site facilities throughout Texas and Oklahoma City. Most courses offer CE credits and our goal is to provide the needed skills and expertise to help our customers thrive in this evolving and competitive industry. Visit: insco.com/training to see the complete schedule of classes.
**Abilene**
- Thursday, October 5th – Troubleshooting the Refrigerant System from 8am – 12pm located at the Hampton Inn 3526 W Lake Rd in Abilene | Only $80
**Grapevine**
- Tuesday, October 10th – Commercial Commissioning from 8am – 12pm located at Insco’s Grapevine Training Facility | Only $80
- Tuesday, October 17th – Evacuation, Brazing & Torch Safety from 8am – 12pm located at Insco’s Grapevine Training Facility | Only $80
- Tuesday, October 24th – 80% Gas Furnaces from 8am – 12pm located at Insco’s Grapevine Training Facility | Only $80
- Tuesday, October 31st & Wednesday, November 1st – Mitsubishi M & P Series 2 Day Service Course from 8am – 5pm located at Insco’s Grapevine Training Facility | Only $200
**Houston**
- Wednesday, October 4th – Airflow Fundamentals from 8:30am – 12:30pm located at Insco’s South Houston Training Facility | Only $80
- Wednesday, October 18th & Thursday, October 19th – Mitsubishi M & P Series 2 Day Service Course from 8:30am – 5pm located at Insco’s South Houston Training Facility | Only $200
**Lubbock**
- Tuesday, October 3rd – Troubleshooting the Refrigerant System from 8am – 12pm located at Insco in Lubbock | Only $80
**Round Rock**
- Wednesday, October 11th – Air Properties and Measurements from 8am – 12pm located at the Wingate by Wyndham in Round Rock | Only $80
**San Antonio**
- Wednesday, October 4th – Air Properties and Measurements from 8am – 12pm located at Insco’s San Antonio Training Facility | Only $80
---
**Coburn’s Training Schedule**
**Understanding Humidity Issues and Size Kitchen Hood Makeup Air**
HVAC Trainer Rick Kincel will provide the HVAC contractor with valuable information in understanding air and its properties. Many technicians understand how the HVAC works but don’t understand what it really does to the air and how it affects comfort. Students will receive a dry erase 11 x 17 Psychrometric chart for class and later on the job site to identify if their systems are actually operating the way they were designed.
HVAC contractors are now being held responsible to size the Makeup air for Kitchen Hoods over 400 CFM. Newer hood exhaust air quantities are rated at 1000 (1200) or even larger causing the home to go into a negative pressure. You have the HVAC contractor wondering what he is doing wrong. This class will give the contractor a tool to size the Makeup air properly with a Loose, Tight, All electric, Natural Gas, Foam, or Stick construction home and the problems that will happen if you guess the sizing wrong.
*A must attend class* for any HVAC personnel, Owners and Service Technicians.
Contact your local Coburn’s Salesperson to register, or for more info.
All class will begin at 9:00 am and are about 4 hours long.
**October**
- 12 Baton Rouge
- 3 Lake Charles
- 4 Lafayette
- 5 Eunice
- 6 Houma
- 10 Hurahan
- 11 Covington
- 13 Gulfport
- 23 LaRoux
- 23 Tyler
- 26 Longview
- 27 Shreveport
- 31 W Monroe
- 1 Tupelo
- 2 Memphis
- 6 Hattiesburg
- 7 Jackson
- 8 Alexandria
- 9 Beaumont
**November**
- 20- Alexandria, LA
- 31- Galveston, TX
- 1-Houston, TX
- 2- Liberty, TX
---
**Understanding How to Charge Micro Systems and Understand how to Braze and Pull Correct Vacuum**
HVAC Trainer Judy LaPoint will provide the HVAC contractor with valuable information in understanding how to charge micro channel systems. Many technicians understand how to charge copper tube in coil systems but don’t understand the micro channel system. Students will receive a training manual and a subcool/superheat slide chart.
Many HVAC contractors are going to learn how to correctly braze, pull a proper vacuum and read the QRD on Nortek systems.
*A must attend class* for any HVAC personnel, Owners and Service Technicians.
Contact your local Coburn’s Salesperson to register, or for more info.
All class will begin at 9:00 am and are about 4 hours long.
**October**
- 3- Jackson, MS
- 4-Greenwood, MS
- 5-Memphis, TN
- 6-Tupelo, MS
- 10-Tyler, TX
- 11-Longview, TX
- 12-Lufkin, TX
- 17-Lake Charles, LA
- 18-Lafayette, LA
- 19-Eunice, LA
- 20- Alexandria, LA
- 31- Galveston, TX
- 1-Houston, TX
- 2- Liberty, TX
**November**
---
**Texas HVAC/R License Prep Course**
Oct 6/7 - Red Oak (DFW Area)
Oct 28/29 - San Antonio
Nov 4/5 - Austin
Nov 11/12 - Houston
Time: 8:00 am till 5:00 pm
Cost: $425.00 TACCA Member
$525.00 Non Member
TACCA Texas, with more than 4 decades of experience in training, licensing and certifying contractors across Texas, is *your partner* in obtaining your Texas HVAC/R license. Call us at 800.998.4822 to register today, or visit our website at [www.tacca.org](http://www.tacca.org)
*Discounted book packages available with class registration*
Coburn’s Supply held their Annual Summer Sales Classic and Banquet in New Orleans
The event was held at The Royal Sonesta Hotel on September 23rd
Highest Increase in HVAC stores were Baton Rouge Airline, Harahan LA, Tupelo MS and Baton Rouge Chicotaw L-R Jeremy Minor, Scotty Daniels and Donald Maloney
Highest Increase in Tools and Chemicals were Baton Rouge Airline, Shreveport LA, Ruston LA and Baton Rouge Chicotaw L-R Joel Robinson, Roy Minor, Derrick Wisham and Scotty Daniels
M&M Manufacturing had highest sales in Tyler and highest increase in Ruston L-A-R Joel Robinson, AJ Maloney, Bill Geyer, Seth Priester, Randy Weaver, Darren Tramel, Donald Maloney
Glasfloss had highest sales in Tyler and highest increase in Athens L-R Pat Tolbert, Andy Faggard, Willie Mayes, Randy Weaver and Donald Maloney
NuCalgon had highest sales in Tyler and highest increase in Tupelo MS
Parker had highest sales in Tyler and highest increase in Baytown L-R Frank Wilson, Danny Keating, Bill Geyer, Randy Weaver and Donald Maloney
Honeywell had highest sales in Baytown and highest increase in Baytown L-R AJ Maloney, Dan Davis, Jim Fuller and Donald Maloney
Sure Comfort had highest sales in Huntsville and highest increase in Huntsville L-R Bill Geyer, AJ Maloney, Scott Dennig, Dustin Babin, and Donald Maloney
The Awards presenters were Patrick Maloney and Michael Maloney from Coburn’s Supply
The vendors standing all contributed to Coburn Cares, a non profit set up to help the storm and flood victims
RGF had highest sales in Longview L-R AJ Maloney, Rene Luna, Jimmy Newhouse, Darren Tramel and Donald Maloney
REGISTER ONLINE FOR OUR GOLF TOURNAMENT!
OCTOBER 17 AT CLEAR CREEK GOLF COURSE
TACCAGH.ORG
TACCA - GREATER HOUSTON
presents the 2017 END OF SUMMER BBQ GALA
NOVEMBER 14
SEPTEMBER 19, 2017 | 6PM-9PM
SPJST LODGE #88
1435 BEALL HOUSTON, TEXAS 77008
$35 PER PERSON
ENJOY BBQ & BEER
AS WE CELEBRATE ANOTHER YEAR!
& don’t forget about our raffle!
Purchase from our online calendar!
FEATURING:
• CUSTOM MADE PAIR OF BOOTS BY PARKER CUSTOM BOOTS
• $2,000 AIRLINE VOUCHER
• AR-15 GUN
• HIS & HER SERIES 2 APPLE WATCH
TACCA-Greater Houston
1st Annual Summer Raffle
DRAWING SEPTEMBER 19, 2017
LIMITED TICKETS AVAILABLE - NEED NOT BE PRESENT TO WIN
For more information visit www.taccagh.org
Court Grants AHRI’s Motion to Intervene in NRDC v DOE Lawsuit
Arlington, Va. – On Friday, August 25, the U.S. District Court for the Northern District of California granted the Air-Conditioning, Heating, and Refrigeration Institute’s (AHRI) motion to intervene as a defendant in two identical federal lawsuits: one filed by the Natural Resources Defense Council, Sierra Club, Consumer Federation of America, and Texas Renewable Energy Organizations to sue Energy; the other by eleven states and one city. AHRI filed its motion to intervene in order to protect its members’ interest in a proper interpretation of the Department of Energy’s (DOE) Error Correction Rule. Plaintiffs in these two actions seek to narrow the scope of the Error Correction Rule, and to use the Rule improperly to limit DOE’s discretion to correct or recalculate proposed rules before they become final.
“We are pleased that the court has granted us intervenor status in this important case,” said AHRI President and CEO Stephen Yurek. “The Error Correction Rule resulted from our settlement with DOE in prior litigation, and it is critical that manufacturers are represented in any proceedings that would determine DOE’s ability to modify or withdraw pre-published rules.”
The lawsuits seek to prevent that DOE finalize four prohibited energy efficiency rules — including energy efficiency standards for commercial packaged boilers — that were released at the end of the Obama Administration due to the change in administration and the subsequent imposition of a regulatory freeze during a 45-day required public review period mandated by DOE’s Error Correction Rule, several of the draft rules have not yet been published in the Federal Register.
District Judge Vince Chhabria has ordered the plaintiffs to file a consolidated answer by September 8, and then for AHRI and the government to file a consolidated answer by September 22. He has also ordered all parties to attend a case management conference. The Error Correction Rule was published in 2016 as the result of a settlement of AHRI’s lawsuit against DOE pertaining to walk-in cooler and freezer standards. The Rule requires DOE to pre-publish proposed rules at least 45 days before they become final to allow parties to comment on proposed comments. AHRI and other industry partners have advocated a broad interpretation of what constitutes an “error,” warranting reconsideration of the substance of a pre-published rule, and they contend that DOE has broad authority to modify or even withdraw pre-published rules before they become final. In the lawsuits, however, the plaintiffs argue that under the Error Correction Rule, pre-published rules can only be changed to correct typographical errors or mathematical mistakes and must be published at the close of the 45-day review period.
“We believe these cases raise important issues about regulatory certainty for manufacturers and stakeholders regarding DOE’s rulemaking process,” said Yurek. “We look forward to briefing the issues and working with all the parties in these cases to ensure that our members’ views are represented.”
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Londonderry, N.H. – Bosch Thermotechnology announced an expansion today of its extensive portfolio with its new Bosch Connected Control (BCC100). The BCC100 is a full-color, 5-inch, touch-screen thermostat that brings convenience and functionality to any home with Wi-Fi connectivity, allowing remote monitoring and control of home HVAC systems.
The Bosch Connected Control saves energy and money by automatically turning the heating and cooling on and off to maintain temperature while homeowners are out of the house. The BCC100 is programmable, giving users the option to either follow factory-loaded presets or create their own, personalized schedule. Its intuitive scheduling menu helps maintain the most comfortable living environment, with a dedicated terminal for humidifying or dehumidifying functions. The BCC100 is compatible with the majority of HVAC systems on the market.
“As a trusted manufacturer of HVAC products, we created an integrated approach to heating and cooling solutions with the Bosch Connected Control,” said Goncalo Costa, Product Director at Bosch Thermotechnology. “Our approach links the thermostat directly to the HVAC equipment, giving homeowners more control over ambient temperatures.”
Additionally, the BCC100 app allows users to monitor and control all of their thermostat settings remotely. Users can adjust the schedule on the go, or set it to “vacation mode” when they’re away. With the BCC100’s ability to display local weather forecasts, users can plan ahead and program accordingly.
With the free BCC100 app, available with any compatible iOS and Android smartphone, users can connect to an unlimited number of thermostats and manage up to four schedules per thermostat. While the thermostat is Wi-Fi accessible, it’s also designed to allow offline access.
For more information, visit http://bosch-climate.us/bcc100.
ABC Home & Commercial Services in Austin TX Receives Excellence Award from Lennox® Industries
Jason Rios from Lennox presenting the award to the ABC team L to R Matt Burris, Bobby Jenkins, Adam Turnipseed, and Jason Rios
Austin, TX – ABC Home & Commercial Services recently received the Lennox Ultimate Comfort Partner of Year Award from Lennox Industries, an international heating and air conditioning equipment manufacturer.
Jason Rios, Lennox® District Manager, presented the award to ABC Home & Commercial Services on Tuesday, September 5th.
The Lennox® Partner of the Year Award, presented in each Lennox® sales district, honors Dealers who are industry and market leaders committed to the Lennox® brand. These Dealers have grown their business consistently while developing and training their employees to deliver outstanding customer service. ABC is the winner from the western United States region, spanning from California to Texas.
Established in 1949, ABC Home & Commercial Services employs over 30 HVAC specialists and services Austin, San Antonio, and Corpus Christi in Texas for HVAC needs.
“I am very proud of our HVAC team for being recognized,” says Bobby Jenkins, owner of ABC Home and Commercial Services. “Our team of highly trained, friendly service specialists are committed to exceptional customer satisfaction and experience each and every time.”
A worldwide leader in home comfort, Lennox® Industries markets its air conditioning and heating products through a network of more than 7,000 North American dealers.
Rheem Releases A New Line of Furnaces and Receives Prestigious Awards
Rheem has the only furnace line-up to hit 98%+ AFUE across an entire product family.
Atlanta --- Rheem is proud to announce the launch of the new Prestige® Series EcoNet® Enabled Modulating Upflow Gas Furnace. The R98V attains PlusOneTM Energy Efficiency of 98%+ AFUE across the entire family and matches the industry high of 98.7%, which saves energy and money.
The R98V comes with the PlusOne® Diagnostics 7-Segment LED on all units to make it easy to service and diagnose and the PlusOne® Ignition System which includes the Direct Spark Ignition (DSI) for reliability and longevity. This furnace has built-in service and safety features like the PlusOne® Water Management System with patented Blocked Drain Sensor that forces the furnace to shut down if the drain gets blocked. When connected to the Rheem-exclusive EcoNet Control Center, the R98V furnace will display important service and maintenance information that can also be accessed on the homeowner’s smart device.
The Rheem Prestige Series family of furnaces have been named the ENERGY STAR® Most Efficient by the Environmental Protection Agency (EPA) for two consecutive years (2016 and 2017). In addition, the R97V model recently won the ACHR News 2017 Silver Dealer Design Award in the HVAC High Efficiency Residential Equipment category.
The R98V comes with a 10-year parts warranty and a limited lifetime heat exchanger warranty.
House Bill 3029, passed by the 85th Texas Legislature, amended Occupations Code, Chapter 1302, relating to air conditioning and refrigeration contracting and the education and certification of air conditioning and refrigeration technicians. House Bill 3029 and the changes to Chapter 1302 became effective September 1, 2017.
TDLR encourages all persons interested in the Air Conditioning and Refrigeration program to review the updated Occupations Code, Chapter 1302 at: https://www.tdlr.texas.gov/acracrlaw.htm
The Air Conditioning and Refrigeration Contractors Advisory Board is scheduled to meet Wednesday, October 25, 2017 at 10:00 a.m. in the 1st Floor Public Meeting Room of TDLR’s North Campus Building, located at 1106 Clayton Lane, Suite 125E, in Austin. When the agenda and staff reports are available, they will be posted online. The meeting will be broadcast on TDLR’s YouTube channel.
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Riviera Beach, FL – RGF Environmental Group, Inc., the leader in IAQ and innovative technologies, was recognized once again for excellence in product design in the 14th annual Dealer Designer Awards Program sponsored by The ACHR News magazine. An independent panel of contractors acted as judges in the contest that had 81 entries. The company’s Rapid Recovery Air Purification and Odor Destruction System (RRU) was awarded the Bronze Dealer Design Award for Innovative IAQ technology. This is the company’s eighth award over the past five years.
“The RRU utilizes RGF’s patented PHI-Cell® technology, which produces an advanced oxidation plasma similar to nature’s oxidizers. This process features a broad-spectrum UV light and a quad-metallic target that combine to generate nature’s friendly oxidizers: hydrogen peroxide, ozone, and super oxide ions, to kill microbes and reduce odors and gases in the space while being completely safe for occupants. These are called friendly oxidizers, which return to oxygen and hydrogen after making contact and killing pathogens. The RRU system comes standard with an internal fan and an odor absorbing media filter, which enhances the speed and efficacy of the system by reducing gross particulates such as pollen. However, however, this is not the core method utilized to reduce or eliminate pathogens and odors, but it is the advanced oxidizers, created by the PHI-Cell® that actively treat the air external to the unit.”
Ideal for duct cleaning, the portable RRU-16-DS option comes with a flexible hose assembly on the end cap, which enables maintenance personnel or HVAC contractors to attach the unit into the return air vent. “In order to destroy hydrogen peroxide molecules can be distributed throughout the entire HVAC system to greatly reduce mold, bacterial growth, odors and gases. Once the unit is activated, it will quickly and efficiently clean the ducting, in as little as 30 minutes for an average size home.
“This latest award is the result of RGF’s award-winning engineering and vertically integrated “Made in the USA” manufacturing and assembly process. Since RGF designs their own products, they produce far superior products in quality and performance than other companies in the corresponding HVAC/IAQ marketplace.
“RGF’s Rapid Recovery Unit® is the ideal solution to resolve mold/oral issues of all types and can be used to rapidly and effectively treat many problem areas during daily maintenance and housekeeping operations within occupied spaces. The luxury hotel, cruise ship, property management and HVAC industry have taken a proactive approach in utilizing RRUs to sanitize, disinfect and deodorize guest rooms and suites, common areas, meeting and function rooms and to sanitize vents and ductwork after regular duct cleaning,” said Walter Ellis, executive vice president and general manager of RGF Environmental Group, Inc.
RGF manufactures over 500 environmental products and has a 32-year history of providing the world with safe, efficient and healthy food without the use of chemicals. RGF holds numerous other patents and patents-pending and previously invented the Guardian Air PHI-Cell (Photohydrodionization) and patent-pending REME-Halo with RGF’s HVAC technology. RGF’s Advanced Oxidation Systems are proven and tested to be extremely effective in destroying mold, odors, bacteria and viruses while also being completely safe for occupants, and the REME-Halo has the added benefit of reducing particulates.
For additional information visit: http://www.rgf.com/air-purification.
Westport, Conn. – The future of HVACR will be on display in January when hundreds of new and upgraded products and technologies for the HVACR industry will be featured at the 2018 AHR Expo (International Air-Conditioning, Heating, Refrigerating Exposition) in Chicago.
The 2018 AHR Expo will be held Jan. 22-24, 2018 at McCormick Place in Chicago.
Exhibitors will be displaying an impressive variety of new or enhanced HVAC-related products, systems and technologies across every facet of the industry, from residential to commercial and industrial buildings to labor-saving tools and profit-generating services for residential contractors.
The show attracts 2,000+ exhibitors, 100+ seminars and product presentations, and more than 65,000 attendees. The Show provides a unique forum for the entire HVACR industry, from product designers and engineers to installers and service-people to come together and share ideas, discover new products, and find solutions to technical problems.
Some of the exhibits that contractors, engineers and other attendees can look forward to include:
• VFDs (variable frequency drives) for HVAC applications—specifically designed for building automation applications, helping minimize energy costs and maximizing occupant comfort;
• Upgraded Wi-Fi-connected thermostat technology that allows for control via iOS or Android apps, plus email notifications and advanced voice control;
• A digitally controlled mixing valve that provides fast, accurate temperature control for domestic hot water applications;
• New, home impeller technology with a special blade design, modeled after the turbines on a whale to ensure an optimized airflow angle and reduced flow erosion on the blade surface;
• A self-contained HVAC system for hazardous locations, designed to prevent an explosion by using only non-arc components installed in a small, light increased safety enclosure;
• An oscilloscope for testing motor shaft voltages, allowing contractors to determine if motors are at risk of premature bearing failure due to bearing currents;
• New electrical test meter technology for reliable true RMS measurements in crowded junction boxes or along conductors with inaccessible ends points, saving time, minimizing potential errors and greatly reducing the possibility of arc flash;
• Software that allows engineers and designers to create air systems including both air handling and rooftop units, including the tools to design complex hydraulic, steam, plumbing and VRF (variable refrigerant flow) systems along with control schematics;
• An array of tools, including heavy-duty wire strippers built with the durability of pliers and the sharpness and precision of a wire stripper; thermal imaging technology with Wi-Fi that uses a solar IR camera with an integrated touchscreen; a handheld particle counter for indoor air quality investigations; and a copper line cleaning tool to remove contaminants from existing refrigeration and air conditioning lines.
This is only a sample of the huge array of innovations to be highlighted at the 2018 AHR Expo. For more information, including a search directory of exhibitors and product categories and to register, visit ahrexpo.com.
About AHR Expo
The AHR Expo (International Air-Conditioning, Heating, Refrigerating Exposition) is the world’s largest HVACR event, drawing in more than 2,000 exhibitors and 65,000+ attendees annually. Since 1961, the Show has provided a unique forum for the entire HVACR industry, including OEMs; engineers; contractors; manufacturers; distributors; commercial, industrial and institutional facility operators; and educators to come together and discover the latest products, learn about new technologies and develop mutually beneficial business relationships. This year’s Show co-sponsored by AHRI and AHRII, will be held Jan. 22-24, 2018 at McCormick Place, Chicago, and is held concurrently with ASHRAE’s Winter Conference.
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The Importance of ADR for Legal Representatives
Learning Outcomes
After reading this chapter, you will be able to:
- Understand the historical tendencies and systemic challenges to alternative dispute resolution (ADR).
- Recognize the changing nature of settlement within the litigation process.
- Consider how access to justice and paralegals are linked.
- Assess the importance of ADR within the context of the legal representative and client.
- Understand the function and principles of the Law Society of Ontario and how they impact the regulation of legal representatives.
- Assess the regulatory framework as it relates to paralegals and ADR.
- Define the purpose of the code of conduct established by the Law Society of Ontario for its licensees and the ethical responsibilities it imposes on them.
- Fulfill a paralegal’s duties as set out in the *Paralegal Rules of Conduct* and its specific sections that engage ADR duties and responsibilities.
- Comprehend the paralegal’s duty to advise clients about dispute resolution options, including negotiation, mediation, and arbitration, as alternatives to litigation.
- Apply the concepts from this chapter to a recurring conflict case scenario.
Introduction ........................................... 2
The History of ADR in Law ....................... 2
The Traditional Practice of Law .............. 2
Economic and Social Changes in the Legal Profession ................................. 3
Access to Justice ........................................ 7
The Evolution of ADR and Conflict Resolution ............................................. 11
The Role of Paralegals in ADR .................... 14
ADR Standards of Practice and Ethics .......... 15
Governance of Legal Representatives .......... 15
Self-Regulation ..................................... 16
Codes of Conduct ................................... 16
The Function and Principles of the Law Society of Ontario .......................... 17
The Paralegal Rules of Conduct and ADR ...... 18
Competence ........................................ 19
Advising Clients ................................... 22
Can Paralegals Be Mediators? .................... 25
The Paralegal Rules of Conduct and Paralegal-Mediators ............................. 26
Chapter Summary ..................................... 30
Key Terms .............................................. 30
Review Questions ..................................... 31
Exercises ............................................... 31
References ............................................. 32
Appendix A Definition of a Paralegal .......... 34
Appendix B Activity: Take a Stand ............. 35
Appendix C Role Play: Sell that Stroller Negotiation ........................................ 36
Introduction
There is little question that over the last 30 years, there has been a widening gap between the delivery of legal services and the citizens who rely on them. The traditional users of legal services have required strong advocates, lawyers who fight for their clients in an adversarial system that pits one party against another in a courtroom before a judge. Regrettably, the traditional legal resolution system no longer reflects the needs and interests of ordinary folks. Throughout this chapter, we will explore the impact of these changes on society and the complex correlation between the growing need for alternative methods to resolve these disputes and the increasing use of the legal representatives who offer them.
As court costs rise and the courtroom backlog causes longer delays, the adjudicative system heads further and further out of reach for the average person. The result is a noticeable trend toward the use of alternative methods to resolve disputes—alternative dispute resolution, or ADR. Increasing delays, excessive and unknown costs, and the unpredictable nature of outcomes in court have forced the average person to seek alternatives to traditional adjudication. The legal industry has responded by requiring more alternatives as part of the litigation process. In fact, the regulating body for paralegals and lawyers, the Law Society of Ontario (LSO), under its codes of conduct such as the Paralegal Rules of Conduct and the Rules of Professional Conduct, requires these legal representatives to inform clients of ADR options for every dispute.\(^1\) Similarly, choosing the right legal representative in a dispute may depend on factors such as affordability and accessibility for many people faced with the rising costs of adjudication and high lawyer fees.
This book will help legal representatives and supporting roles in the legal industry—including lawyers, paralegals, law clerks, legal assistants, etc.—to not only focus on understanding ADR in conflict but also outline how to apply these skills at each stage of a dispute in order to successfully represent clients in dispute resolution settings.
The History of ADR in Law
The Traditional Practice of Law
A brief look at our legal system will quickly show how adjudication has dominated conflict resolution and the legal community. Training for legal representatives has focused primarily on legal theory and trial advocacy. This of course is peculiar since only a fraction of disputes end up in court. In fact, statistics in some jurisdictions show that 98.2 percent of all adjudicated disputes are resolved outside the courtroom and involve some manner of negotiated settlement.\(^2\) “And yet, the reality of the legal practice is that we spend most of our lives as lawyers negotiating with others.”\(^3\)
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\(^1\) Law Society of Ontario, *Paralegal Rules of Conduct* (1 October 2014; amendments current to 24 February 2022), online: <https://lso.ca/about-lso/legislation-rules/paralegal-rules-of-conduct>. For the most up-to-date material, please visit the website referenced in this footnote.
\(^2\) M Galanter, “The Vanishing Trial: An Examination of Trial and Related Matters in Federal and State Courts” (2004) 1 J Empirical Legal Stud 459.
\(^3\) CB Wiggins & RL Lowry, *Negotiation and Settlement Advocacy: A Book of Readings* (St Paul, Minn: West Group, 1997) at v.
Notwithstanding that statistic, the training and education of legal professionals focus little on conflict resolution as an important skill to develop, nurture, and teach.
It is only in recent years that negotiation has been acknowledged as an important skill to the legal profession and a positive alternative to adjudication. Law schools now offer courses in alternative dispute resolution and negotiation. Change is slow, and most Canadian law schools continue to focus their legal education on an adjudicative, individual rights–based model of justice.\(^4\) A **rights-based model** of justice emphasizes an individualistic approach wherein the rights of the individual are protected against the oppressive assertion of another’s rights. It is this model that fits the stereotype of the adversarial lawyer and accentuates characteristics of aggression, “winning,” tenacity, and avoidance of cooperation in order to push clients’ rights ahead of all others. It will take much change within the legal profession before any attitudinal shift from the adversarial practitioner trickles down to the education of legal students.
### Economic and Social Changes in the Legal Profession
A study of the legal profession has shown that historically it has responded to current events and changes in its environment, albeit slowly. The more recent impact of the pandemic necessitated more immediate, drastic, and much needed changes to a very reluctant system. The nature of the legal profession requires the role of legal representatives to be concerned with following changes to a client’s environment and less with initiating change or with innovation within the legal system itself.\(^5\) Unfortunately, that change is not always in the best interests of all clients that require legal professional services.
One of the most significant and noticeable changes has occurred with the kind of clients being served by the profession. Increasingly competitive economic markets in Western countries have produced large corporations and a demand for corporate and commercial law services and practitioners. Consequently, the legal industry has responded with the establishment of new and highly specialized legal services such as intellectual property law and securities law, among many others. Large legal firms have begun to emerge in response to increasing demands from corporate clients.\(^6\) The result of this trend toward large firms has been the absorption of sole practitioners.
The resulting impact of these changes to the organizational and economic structure of law firms is significant. While the number of corporate files increases in line with the emergence of and demand for corporate law, the number of personal client work decreases, much to the dissatisfaction of those clients. Personal clients can no longer afford the rising per-hour legal fees of the mega-firm lawyers, and they have a smaller number of sole practitioners to choose from.
The problem of access to affordable legal fees is exacerbated by the cost of the traditional method of resolving conflicts by lawyers: going to trial. The average cost of a five-day trial in Canada is 2021 was $75,000–95,000,\(^7\) more than the annual
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\(^4\) J Noonan, “Holistic Legal Training: When Should ADR Training Be Introduced?” (March 2009) 17:2 OBA Alternative Dispute Resolution Section Newsletter.
\(^5\) J Macfarlane, *The New Lawyer* (Vancouver: University of British Columbia Press, 2008) at 3.
\(^6\) *Ibid* at 4.
\(^7\) “2021 Legal Fees Survey: Results” (last visited 28 July 2022), online: *Canadian Lawyer* <https://www.canadianlawyer-mag.com/news/features/2021-legal-fees-survey-results/362970>.
after-tax income of many Canadian families in recent years.\textsuperscript{8} Fees have shown a continued rising trend year over year. It is difficult to tell how the impact of the global pandemic and slowdown of the economy will shift legal spending.\textsuperscript{9} Despite the fact that the number of matters that settle before trial is so high, there continue to be long waits for trials across Canada’s legal system. An issue that was attempted to be addressed by criminal courts when strict timelines of 18 months were imposed on criminal trials following the \textit{R v Jordan}\textsuperscript{10} decision. Unfortunately, the COVID-19 pandemic only exacerbated the delays causing a tremendous backlog of cases. In-person court proceedings were suspended during lockdowns and only urgent matters were attended to remotely. Of course, the pandemic has also helped jurisdictions to adapt and press for changes such as running hearings electronically in order to address the backlog. Going to trial is simply unattainable for many.
It is clear that for those unable to access a lawyer in private practice through the traditional methods, the delivery of legal services will have to evolve to meet their demands. Many organizations have reacted to what the market is now demanding, and progressive employers such as the LCBO, the Canada Post Corporation, the National Capital Commission, our national banks, and even sports organizations such as the Ontario Hockey League are all employing conflict resolution methods to resolve disputes outside the legal system. Adjudicative justice may no longer appear to be the preferred method to resolve disputes where obtaining closure and preserving long-term relationships may be more important.
\textbf{LEGAL SERVICES IN A POST-PANDEMIC ERA}
The COVID-19 pandemic has had a significant impact on the delivery of legal services. The pandemic brought closures to hearings, courtrooms, administrative offices, and many physical spaces for dispute resolution. Legal professionals continued to serve their clients in an online environment by adapting their business practices and scope of practice. They often struggled to assist their clients to access justice despite the lengthening delays. With the closure of courts and limits to in-person appearances, all in-court proceedings became virtual using remote teleconferencing or videoconferencing such as Zoom. Many court appearances were initially restricted to urgent matters only, causing a significant backlog in cases that may take years to reduce. Parties, witnesses, and legal representatives could attend court appearances from the comfort of their home and did not incur travel costs to the courthouse. Printing and binding documents were no longer required as documents were filed electronically saving significant disbursement costs. Legal representatives now worked from home offices.
It is not known what long-term impact the pandemic will have on legal fees and areas of practice. While legal service rates have increased marginally since the pandemic, the total bills have often lowered due to pandemic related efficiencies. While \textit{The Canada Lawyer’s 2021 Legal Fees Survey} have noted a continued rising trend
\begin{footnotesize}
\begin{enumerate}
\item Statistics Canada, \textit{Canadian Income Survey, 2020 (CIS)} (Ottawa: Statistics Canada, March 2022), online: <https://www23.statcan.gc.ca/imdb/p2SV.pl?Function=getSurvey&SDDS=5200>.
\item “Fees Rising Before Downturn—2020 Legal Fees Survey” (last visited 28 July 2022), online: \textit{Canadian Lawyer} <https://www.canadianlawyermag.com/surveys-reports/legal-fees/fees-rising-before-downturn-2020-legal-fees-survey/329033>.
\item 2016 SCC 27.
\end{enumerate}
\end{footnotesize}
of slight fee increases by legal representatives, there has also been an increasing percentage of legal service providers that have lowered their fees as a result of these savings.\textsuperscript{11} Many legal representatives may choose not to return to the office and continue to work from home thus reducing general overhead business costs such as disbursements and court appearances. Even costs of renting a room for an arbitration or mediation no longer applies. The demand for particular areas of practice was also affected by the pandemic. Personal injury law has become increasingly competitive as a result of fewer matters. Pandemic related lockdowns and travel restrictions reduced the number of car accidents and personal injury claims. Conversely, other pandemic related closures, layoffs, lockdowns, school and business closures, and vaccination requirements have increased the level of crisis and conflict within many personal and business relationships leading to an increase in legal actions and claims.
The delivery of legal services has also been affected by the pandemic. As the courts have adjusted to remote and electronic processes, it has become increasingly difficult for the unrepresented person to navigate the legal system, necessitating a legal representative. Even legal representatives have had to adapt to constantly changing methods of the delivery of legal services. One particular legal “blooper” went viral as a lawyer in Texas was unable to remove a filter during a virtual legal proceeding over Zoom that turned his face into a cat. “I’m here live. I’m not a cat,”\textsuperscript{12} the lawyer Rod Ponton stated while the judge attempted to guide him through removing the filter on Zoom. Courts and tribunals were regularly updating and changing legal procedures in response to COVID-19 as staff and adjudicators continued to work remotely, and all in-person service counters were closed.
\begin{footnotesize}
\begin{enumerate}
\item Z Olijnyk, “Legal Services in a Most Unusual Year—2021 Legal Fees Survey” (25 May 2021), online: Canadian Lawyer <https://www.canadianlawyermag.com/surveys-reports/legal-fees/legal-services-in-a-most-unusual-year-2021-legal-fees-survey/356483>.
\item Guardian News, “‘I’m Not a Cat’: Lawyer Gets Stuck on Zoom Kitten Filter During Court Case” (9 February 2022), online (video): YouTube <https://youtu.be/lGOofzZOyl8>.
\end{enumerate}
\end{footnotesize}
A BRIEF HISTORY OF PARALEGALS IN ONTARIO
Alternative justice comes in many forms. Much like the existence of the need for alternative methods to the adversarial system for resolving disputes, there is equally a need for alternative service providers. For many people, when lawyers are inaccessible and unaffordable, the options are limited.
The road to the regulation of the paralegal has been a long and complex one. The paralegal industry began without much in the way of a consistent definition of what exactly a paralegal is. Adding to the confusion, the parameters of practice provided by paralegals differed significantly from one region to another across North America. Ontario legislation often referred to non-lawyers who represent clients before courts and tribunals as “agents.”
During those early decades, the traditional practice and regulation of lawyers in Ontario was conducted by the self-governing LSO. Any unauthorized practices of law, including those practices of the paralegal, would be prosecuted by the LSO. As there was no specific definition of the “practice of law,” it was unclear what fell under those specific parameters and how it affected the services of paralegals. While some statutes specified the representation by “solicitors” in certain proceedings, others allowed for representation by “agents,” such as the Statutory Powers Procedure Act.\(^{13}\) Representation by “agents” in these tribunals, however, seemed to be in direct contravention of the Law Society Act.\(^{14}\)
Despite strong public support for the use of paralegals, there was much concern about the accountability and regulation of paralegal activities. These concerns continued and came to a head following the 1987 Ontario Pointts decision wherein the right of an agent to provide legal services for a fee in Ontario was tested.\(^{15}\) The impact of that decision was enormous, and it was widely—but, by many, erroneously—interpreted as sanctioning a host of agency-related activities for paralegals. Consequently, independent paralegal activity flourished in traditional areas of paralegal services and expanded to other areas of representation such as family law, incorporations, and wills.
There was an immediate response. Independent paralegals were suddenly investigated and charged by the LSO for unauthorized practices that were not approved in the Pointts decision. Despite increasing numbers of prosecutions pending across the province, the number of independent paralegals grew markedly, along with the provision of a wider spectrum of legal services to the public.
The pressure was evident, but despite the conclusion of the report by the Ianni Task Force on Paralegals in 1990 that paralegals provide an important service to the public for many reasons and should be allowed to deliver a limited range of legal services within a regulated environment, no forward movement was made. Almost ten years after the Ianni report, in May 2000, the Honourable Peter Cory was tasked to deliver yet another report to the Ontario Ministry of the Attorney General outlining recommendations to regulate the paralegal practice in Ontario. His framework was based on the same two themes as the Ianni report: “to extend access to justice and
\(^{13}\) RSO 1990, c S.22.
\(^{14}\) RSO 1990, c L.8.
\(^{15}\) Regina v Lawrie and Pointts Ltd., 1987 CanLII 4173, 59 OR (2d) 161 (CA).
to ensure the protection of the public.\textsuperscript{16} More submissions followed, from both the LSO and paralegal organizations, that supported some kind of regulation of paralegals, but the organizations disagreed as to which body would control that regulation and oversee the paralegal profession.
Finally, amid growing pressure, the Ontario government decided that the LSO would be the most experienced and affordable option—and least burdensome on the public purse—for regulation. On October 19, 2006, Bill 14 was enacted by the Ontario legislature, expanding the mandate of the LSO to provide for the regulation of paralegals in the public interest.\textsuperscript{17} Today, according to the LSO Annual Report 2020, more than 9,607 paralegals are licensed in Ontario, providing consumers with more choice, more protection, and improved access to justice.\textsuperscript{18}
\section*{Access to Justice}
The effectiveness of the legal system cannot be scrutinized without proper consideration of its consumers: the general public. In fact, the importance of accessing justice by the public is an integral part of the democratic process and one of our society’s most fundamental values. Arguably, the meaning of section 7 of the \textit{Canadian Charter of Rights and Freedoms},\textsuperscript{19} which guarantees that individuals have a right to “fundamental justice,” implies a right to “reasonable access to law in a free and democratic society governed by the rule of law.”\textsuperscript{20} While all Canadians have the right to know the law and represent themselves before court, they still require much assistance in navigating through legal and judicial processes. Without proper access to legal services, full and meaningful participation in a democratic society is questionable and a potential breach of fundamental rights. As former Chief Justice Beverley McLachlin of the Supreme Court of Canada observed:
Statistics support the view that accessing the justice system with the help of a legal professional is increasingly unaffordable to most people. Nearly 12 million Canadians will experience at least one legal problem in a given three-year period, yet few will have the resources to solve them. … Among the hardest hit are the middle class—who earn too much to qualify for legal aid, but frequently not enough to retain a legal representative for a matter of any complexity or length. Additionally, members of poor and vulnerable groups are particularly prone to legal problems, and legal problems tend to lead to problems of other types, such as health issues. …
Fulfilling the public’s expectations for justice—in a phrase, providing “access to justice”—is vital. It is vital to providing the justice to which every person is entitled.
\begin{footnotes}
\item[16] PD Cory, \textit{A Framework for Regulating Paralegal Practice in Ontario: Report} (Toronto: Ministry of the Attorney General, 2000) at 19.
\item[17] Bill 14, \textit{An Act to Promote Access to Justice by Amending or Repealing Various Acts and by Enacting the Legislation Act, 2006}, 2nd Sess, 38th Parl, Ontario, 2006 (first reading 27 October 2005).
\item[18] Law Society of Ontario, “Annual Report 2020” (last visited 17 May 2022), online: Law Society of Ontario <https://lso.ca/annualreport/2020/home>.
\item[19] Part I of the \textit{Constitution Act, 1982}, being Schedule B to the \textit{Canada Act 1982} (UK), 1982, c 11.
\item[20] RW Ianni, \textit{Report of the Task Force on Paralegals Prepared for the Ontario Ministry of the Attorney General} (Toronto: Queen’s Printer, 1990) at 14 [Ianni report].
\end{footnotes}
Statistics show that people who get legal assistance in dealing with their legal problems are much more likely to achieve better results than those who do not. As servants of justice, legal representatives have a duty to help solve the access to justice crisis that plagues our legal systems. It is vital to the rule of law.\textsuperscript{21}
Although there are many definitions of what access to justice means, for the purposes of this book, \textit{access to justice} is defined as the ability to use the legal system to obtain justice. It is important to understand that \textit{access to courts} is not the same as \textit{access to justice}. Access to courts has been defined more simply as the equal right of citizens to participate in all institutions of law as an integral part of a constitutional democracy. However, this does little to address a more comprehensive understanding of how to access our legal system. Access to justice ensures not only greater physical accessibility to the courts and rules; it involves further steps to go beyond the legal system and respond to ways that the legal system impedes or promotes economic or social justice. Instead, the challenge is to focus on the structure of justice and how it can better accommodate the diversity, values, and aspirations of different communities and individuals.
The concern is that unresolved legal problems can often lead to great personal hardship for some individuals. Research conducted by the Ontario Civil Legal Needs Project finds a strong correlation between access to justice issues and broader issues of health, social welfare, and economic well-being.\textsuperscript{22} The research confirms that the poorest and most vulnerable Ontarians face the greatest barriers to accessing justice, such as persons with disabilities, people whose first language is neither English nor French, persons with limited literacy, people living in remote communities, older people, and women.\textsuperscript{23} Additional obstacles of real and perceived costs of legal services, and the lack of access to legal aid and legal information and resources, only amplify these existing barriers.
Unfortunately, the pool of lawyers who have traditionally responded to the legal needs of these vulnerable Canadians is shrinking. Traditionally, small firms and sole practitioners have been the primary providers of legal services to lower- and middle-class Canadians. In the past, these firms have reported that 77 percent of their clientele are individuals.\textsuperscript{24} Regrettably, trends show significant decreases in the number of existing and new lawyers practising in small firms, as sole practitioners, and within legal aid organizations. The impact of this decrease is increasingly felt in more remote geographic areas where families and individuals often lack access to legal
\begin{footnotes}
\item[21] B McLachlin, “The Legal Profession in the 21st Century,” Remarks at the 2015 Canadian Bar Association Plenary, Calgary (14 August 2015), online: Supreme Court of Canada <https://www.scc-csc.ca/judges-juges/spe-dis/bm-2015-08-14-eng.aspx>.
\item[22] Ontario Civil Legal Needs Project, \textit{Listening to Ontarians: Report of the Ontario Civil Legal Needs Project} (Toronto: Ontario Civil Legal Needs Project Steering Committee, 2010) at 44, online: \textit{Canadian Commons}.
\item[23] \textit{Ibid} at 46.
\item[24] \textit{Ibid} at 48.
\end{footnotes}
representatives. These supply problems leave a vulnerable group of people even more exposed and further threaten their ability to access justice.
For low- and middle-income Canadians, civil legal needs arise frequently in their lives, and these needs touch upon fundamental issues and life circumstances. According to the research cited above, over a three-year period, one in three low- and middle-income Ontarians had non-criminal legal issues, and one in ten had multiple legal issues.\textsuperscript{25} The existence of public disputes and the need to resolve these disputes will not simply disappear or resolve on their own. For many, the mere complexity of the legal system has been a significant barrier to access to justice. Members of the public often turn to self-representation as an immediate alternative and survival measure, though in most cases it does not serve their interests well. Studies on the impact of self-representation on case outcomes show that a person’s chance of success in a legal action is automatically lowered if they represent themselves—some by as much as 90 percent depending on the type of hearing (see Table 1.1).\textsuperscript{26} Despite the poor results, self-represented litigants continue to grow. In fact, in Canada, almost 60 percent of litigants in family law are unrepresented,\textsuperscript{27} a shocking statistic that has forced the LSO to consider licencing of additional Family Law Service Providers.
\begin{table}[h]
\centering
\begin{tabular}{|l|c|c|c|c|}
\hline
& All hearings & Motions & Trials & Applications \\
\hline
Total Hearings & 1192 & 989 & 120 & 72 \\
Win & 163 & 124 & 30 & 9 \\
Loss & 865 & 720 & 94 & 56 \\
Split & 33 & 26 & 3 & 4 \\
No order & 93 & 80 & 5 & 2 \\
\hline
\end{tabular}
\caption{Self Represented Litigants versus Represented Party Outcomes, Ontario Superior Court, January 2012–April 2016}
\end{table}
National Self Represented Litigants Project, “Finally, Canadian Data on Case Outcomes: SRL vs. Represented Parties” (18 April 2016), online: \textit{NSRLP Blog} <https://representingyourselfcanada.com/finally-canadian-data-on-case-outcomes-srl-vs-represented-parties>.
Many litigants try to resolve legal matters by themselves with legal assistance but not necessarily with the assistance of legal representatives. One in three low- and middle-class Ontarians say they prefer to resolve their legal needs by themselves without legal advice.\textsuperscript{28} The Ontario Civil Legal Needs Project researched low- and middle-income Ontarians about their preferred way of resolving legal problems. Interestingly, the majority indicated they would prefer to resolve their problems themselves with
\textsuperscript{25} \textit{Ibid} at 3.
\textsuperscript{26} National Self Represented Litigants Project “Finally, Canadian Data on Case Outcomes: Self Represented Litigants vs. Represented Parties” (18 April 2016), online: \textit{NSRLP Blog} <https://representingyourselfcanada.com/finally-canadian-data-on-case-outcomes-srl-vs-represented-parties>.
\textsuperscript{27} “Just Facts: Self Represented Litigants in Family Law” (June 2016), online: \textit{Department of Justice} <https://www.justice.gc.ca/eng/rp-pr/fl-lf/divorce/jfl-pf/srl-prt.html>.
\textsuperscript{28} McMurtry, \textit{supra} note 22 at 4.
legal advice (34 percent), a smaller proportion said they would prefer to resolve their problems through an informal process such as mediation (22 percent), 13 percent said they would prefer to resolve their problems through a formal process such as a court or tribunal, and only 6 percent said they would prefer to resolve their legal problems on their own without any help. See the table below for more details.
**TABLE 1.2** Preferred Way of Resolving Legal Problem, June 2009
| Method | Percentage |
|---------------------------------------------|------------|
| By self with legal advice | 34% |
| Informal process (mediation) | 22% |
| By self with family/friends | 16% |
| Formal process (court, tribunal) | 13% |
| By self with no help | 6% |
| Other/depends | 2% |
| Doing nothing | 3% |
| Don’t know/not applicable | 4% |
Ontario Civil Legal Needs Project, *Listening to Ontarians: Report of the Ontario Civil Legal Needs Project* (Toronto: Ontario Civil Legal Needs Project Steering Committee, 2010) at 26.
As public pressure for access to justice continues to mount, judicial systems across North America have responded. Civil justice reform has included changes such as case management programs to set timelines, early exchange of documents, and increased encouragement to settle. “Simplified rules” for certain civil litigation matters in Ontario within a monetary range of $35,000 to $200,000 have been legislated as a means of simplifying procedures, eliminating unnecessary and costly steps such as limiting the discovery processes, and requiring mandatory meetings and settlement discussions.\(^{29}\) The limit for the Ontario Small Claims Court has steadily increased, and is now $35,000, which will allow businesses and individuals to resolve their disputes in a less formal, and affordable way. Some provinces, such as Alberta, have seen small claims court claim limits increase as high as $50,000. Areas of law such as family and criminal law have responded and are steering away from purely adversarial methods. Collaborative family law lawyers and criminal restorative justice measures both seek to reduce judicial time arguing cases and to spend more time negotiating an appropriate outcome that meets the needs of the parties. Other initiatives, such as mandatory mediation, are similarly being used to divert matters away from trial toward settlement discussions. Since 1999, Ontario has imposed mandatory mediation in civil lawsuits within certain jurisdictions. Not all provinces require mandatory mediation prior to trial. Many administrative tribunals offer voluntary or mandatory mediation and arbitration streams as attempts to resolve disputes earlier.
Several other legal organizations already have in place a comprehensive range of programs and services designed to provide legal assistance to low- and middle-income residents. Legal Aid programs can be found in almost every province and territory. The LSO, Legal Aid Ontario, and Pro Bono Law Ontario all share a common goal to improve access to justice for all Ontarians and have implemented corresponding programs. While their services are heavily utilized, there has been little empirical data to determine if the services are meeting the needs of Ontarians effectively, if there are unmet legal needs,
\(^{29}\) Ministry of the Attorney General of Ontario, “Civil Claims: Simplified Procedure” (4 March 2022), online: Government of Ontario <https://www.ontario.ca/page/civil-claims-simplified-procedure>.
and if there are many people who have been unable to access them. Unfortunately, these programs and incentives are limited and are surely only the beginning of a process to address the barriers the public encounters in accessing justice.
The importance of justice for individuals and for Canadians as a whole cannot be understated. While the solution of improving access to justice for all people may be obvious, implementing a solution is not easy. Legal service models should be designed to target and respond appropriately to the specialized needs of those communities. This would require removing economic and geographic barriers to legal services. Specifically, the legal system would need to have multiple, diverse, and integrated access points and service responses. It would include an alternative system of justice that helps people identify and resolve issues outside the traditional system.
As so aptly described by the Supreme Court of Canada in its 2014 decision *Hryniak v Mauldin*:
> Increasingly, there is recognition that a culture shift is required in order to create an environment promoting timely and affordable access to the civil justice system. This shift entails simplifying pre-trial procedures and moving the emphasis away from the conventional trial in favour of proportional procedures tailored to the needs of the particular case. The balance between procedure and access struck by our justice system must come to reflect modern reality and recognize that new models of adjudication can be fair and just.\(^{30}\)
**The Evolution of ADR and Conflict Resolution**
According to a symposium organized by the Department of Justice Canada in 2000, “the most significant barriers to access can only be overcome through a reorientation in the way we think about conflicts, rights, adjudication and all-or-nothing judicial remedies.”\(^{31}\) At the symposium, lecturer Jacques Dufresne argued that an alternative process treats access to the legal system as a means of last resort, with self-regulation at the base, preventive law and alternatives in the middle ground, and the court at the apex. Disputes that cannot be settled first by alternative means such as conciliation, mediation, and arbitration should go to trial only as a last resort.
The movement toward mediation and acceptance of other alternatives within the legal community has been a slow one. Mandatory mediation was first brought into the civil justice system in Ontario in 1999. Currently, Ontario and Quebec offer mandatory mediation. Some provinces such as Alberta are reintroducing mandatory mediation pilot programs in civil and family litigation. British Columbia offers it only if one party requests it.\(^{32}\) Judicial pre-trials were the closest precursor to mediation. The pre-trials were meant to be neutral evaluations whereby a judge would express their non-binding opinion on a case as a means of encouraging early settlement and avoiding a long, expensive trial. When mandatory mediation was finally introduced into the civil justice system, a significant change to the justice system began to take place.
---
\(^{30}\) *Hryniak v Mauldin*, 2014 SCC 7 at para 2.
\(^{31}\) Department of Justice Canada, Symposium, *Expanding Horizons: Rethinking Access to Justice in Canada* (31 March 2000) at 4, online (pdf): <http://publications.gc.ca/collections/collection_2010/justice/J4-4-2000-eng.pdf>.
\(^{32}\) B Harrison & G Ivanovic, “When is Mediation Mandatory? A Comparative Analysis of Mandatory Mediation Across Canada” (October 2019), online: *McMillan LLP* <https://mcmillan.ca/insights/publications/when-is-mediation-mandatory-a-comparative-analysis-of-mandatory-mediation-across-canada>.
Mediation is a process that occurs before a mediator, someone who is not a judge but instead a non-partisan third party, who assists the parties in reaching a settlement by facilitating their negotiations with their joint consent. Both counsel and their clients are authorized and encouraged to attend. Mediation can be used for a wide range of conflicts, including civil, criminal, commercial, employment, and family matters, as well as in private disputes, administrative tribunals, and many other areas. It is sometimes a mandatory part of the court process or can be sought on a voluntarily basis by parties wanting to resolve their dispute outside litigation.
Unfortunately, mediation is a process that has long been opposed by many lawyers and judges. For some judges, who were familiar with the traditional and formal process of a courtroom, the informal mediation setting was unacceptable. Their preference was for a formal legal proceeding in a courtroom with all parties present, applying the proper rules of courts and rules of evidence, and with representatives acting in accordance with their traditional roles. Informal mediation simply lacked the proper dignity and decorum of the courtroom. Many lawyers expressed the same sentiment, albeit for slightly different reasons. When mediation was first introduced, many lawyers loathed the process and avoided it as much as possible. They saw it simply as an additional cost and administrative step that did not contribute to the action. Lawyers who attended mediation with their clients present and active felt a loss of control over the proceedings. As one lawyer describes:
The first few mediations, I hadn’t had any mediation training. My only training was the general attitude in the profession that this is a lot of horse crap and I had settlements hit me between the eyes and I couldn’t believe my clients sold out on me the way they did. I was concerned that I had a serious client-control problem.\(^{33}\)
**THE TOUGH TRANSITION TO MEDIATION**
Much of the early antipathy toward mediation was the result of a lack of any foundation from schooling or early mentoring because most lawyers truly did not have any idea how to work within the mediation forum. Solicitor and now mediator Joy Noonan recounts her personal experience:
I have no doubt that had I been fortunate enough to have received even a small fraction of the ADR training I now have and employ daily—there would have been fewer anxious nights preparing for mediations and clients would have been better served, faster.\(^{34}\)
Another lawyer put it this way:
I mean, we’re trained as pit bulls, I’m not kidding you, I mean we’re trained pit bulls and pit bulls just don’t naturally sit down and have a chat with a fellow pit bull, the instinct is to fight and you just get it from the first phone call. I’m bigger and tougher and stronger and better than you are.\(^{35}\)
---
\(^{33}\) J Macfarlane, “Culture Change: A Tale of Two Cities and Mandatory Court-Connected Mediation” (2002) 2002:2 J Disp Resol 241 at 301, online: <http://scholarship.law.missouri.edu/cgi/viewcontent.cgi?article=1415&context=jdr>.
\(^{34}\) Noonan, *supra* note 4.
\(^{35}\) Macfarlane, *supra* note 5 at 12.
The role of the judge in our justice system is evolving in response to managing conflicts outside of trial. There is an increasing use of what is known as **judicial mediation**, in which a judge acts as a mediator in facilitating settlement between the parties. This is used as an option prior to proceeding to trial. Former Chief Justice of Ontario Warren K. Winkler reflected that judicial mediation will continue to be expanded beyond its present form and will only enhance access to justice.\(^{36}\) The compelling factor for many of the clients is that the judicial mediation process is free, in contrast to ordinary mediation, which the parties must fund themselves. The process of judicial mediation has been particularly effective and widely used in matters before small claims courts and administrative tribunals.
Judges themselves have also evolved to meet the changing needs of ADR within our justice system. In fact, in many more informal tribunal or small claims court settings where the litigants are often unrepresented and have little of no pre-trial discussions, the judges will refuse to proceed with the trial until the parties have confirmed they have attempted negotiation or mediation. Judges will ask the parties if they have met beforehand to discuss settlement. If the answer is no, the judge might send them out to the hallway of the courtroom to attempt settlement and refuse to begin a trial until the parties have confirmed their attempt.
Similarly, administrative tribunals may use a number of ADR mechanisms to encourage parties to settle disputes before a hearing, such as negotiation, mediation, conciliation, and arbitration. These methods may be mandatory or voluntary, depending on the particular rules of that tribunal. In Ontario, ADR is specifically addressed in the overarching statutory rules governing administrative tribunals. Sections 4.8 and 4.9 of the *Ontario Statutory Powers Procedure Act* allow tribunals to make their own rules respecting the use of alternative dispute resolution mechanisms. Tribunals also employ a similar style of judicial mediation, which allows adjudicative board members and/or tribunal staff to act as mediators or other facilitators in ADR processes. Although mediation may simply lead to more cost and delay before the inevitable hearing, an effective tribunal will not usually impose mediation in all cases. This will largely depend on the particular tribunal. Administrative tribunals account for a significant number of legal actions across Canada. Subsequent chapters in this book will consider the dispute resolution methods within administrative tribunals.
Alternative forms of justice such as mediation are now considered an essential service that is embedded in our justice system. Many regard mediation as the most significant change to occur to the justice system in the past 50 years. Currently, mediation is a mandatory step in the civil litigation process. The *Rules of Professional Conduct* and the *Paralegal Rules of Conduct* enforced by the LSO require lawyers and paralegals to advise their clients of ADR methods. ADR is often a policy requirement for many corporations in their policy manuals. Business and employment agreements use ADR as a required initial pre-litigation step in their agreements and as a preventive measure to deal with potential conflicts. For many tribunals, such as the Human Rights Tribunal and the Landlord and Tenant Board in Ontario, mediation and arbitration are important and sometimes mandatory parts of the tribunal process.
\(^{36}\) WK Winkler, “Some Reflections on Judicial Mediation: Reality or Fantasy?” (24 March 2010), online: *Court of Appeal for Ontario* <https://www.ontariocourts.ca/coa/about-the-court/archives/reflections_judicial_mediation/#:~:text=Is%20Court%2DBased%20Judicial%20Mediation,is%20distinct%20from%20its%20availability>.
Thus, the issue is not whether ADR is necessary or vital to our system of justice. The issue is how our legal services providers and the legal industry are adapting to meet the demand for these holistic practices. Alternatives such as mediation are here to stay. With the proper ADR training, legal services providers such as lawyers and paralegals will be better prepared and able to best represent their clients’ interests.
**The Role of Paralegals in ADR**
The correlation between alternative methods of resolving disputes and the use of paralegals comes from the very essence of the paralegal practice, by its own definition, and the need for regulation. In order to understand how paralegals and ADR are so closely intertwined, we need to consider how many of the factors noted above have jointly and simultaneously led to the growth of both alternative methods and alternative service providers, such as paralegals.
One need only look at the people who use paralegals and ADR to quickly see the similarities. Affordability is one of the key reasons that people use paralegals and seek alternatives to resolving disputes. Middle-income Canadians are unable to access legal aid as a means of using the court system. Yet, Chief Justice McLachlin expressed that Canadians of average means may have to consider remortgaging their homes, gambling their retirement savings, or forsaking their children’s post-secondary education funds to pursue justice.\(^{37}\) The hourly rate of a paralegal is significantly more affordable than that of a lawyer. The cost of legal services does limit access to justice for many Canadians. Thus it is those same people who will seek alternative methods such as ADR to avoid going to trial and use alternative service providers such as paralegals to represent them. As former Chief Justice McLachlin says:
> In the age of the Internet, people are questioning why they, the consumers of legal product, should be forced to go to expensive lawyers working in expensive office buildings located in expensive urban centres. Why, they ask, should a client retain lawyers, when integrated professional firms can deliver accounting, financial and legal advice? Why are simple disputes not resolved in simple, cost-effective mediation rather than by elaborate and expensive court proceedings? Public attitudes and demands are changing.\(^{38}\)
Since one of the primary goals of ADR is to improve access to justice, the ADR process has relied—and continues to rely—heavily on the services of paralegals. Paralegals can participate in the ADR process in several ways. First, paralegals can act in support of a lawyer as they do in other litigation matters. This means that through the entire ADR process, paralegals are often directly involved in gathering and preparing materials that will be presented to the arbitrator or mediator. They assist with administrative arrangements of the ADR proceedings, including preparing clients and other witnesses for what to expect from the ADR proceedings. Finally, they often prepare the documents required once a decision has been made or a settlement has been reached.
\(^{37}\) Canwest News Service, “Access to Justice Is Critical for Canadians” (9 March 2007).
\(^{38}\) Supra note 21.
The involvement of paralegals assisting lawyers in ADR proceedings closely parallels their functions in assisting lawyers in traditional litigation.
Second, in addition to assisting the representation of clients in ADR proceedings, paralegals can also act as third-party facilitators, arbitrators, or mediators. Because arbitrators and mediators do not have to be lawyers, with the proper training and experience, paralegals may be able to qualify for such positions. Since mediators are not regulated, there are no standards that currently exist regarding the certification of mediators. However, paralegals have a tremendous opportunity to fill the void for mediators, as their analytical abilities, legal training, and education in mediation will make them desirable candidates.
Finally, paralegals can represent their own clients in many ADR proceedings. As referenced above, ADR proceedings are conducted privately, within judicial processes, such as our court systems, and in administrative tribunals. As licensed representatives, paralegals can fully and effectively act for their clients in these ADR proceedings. No matter where the paralegal turns, most of their practice as a representative, will involve some form of ADR (e.g., small claim courts, provincial offences court, summary conviction offence matters, or administrative tribunals).
**ADR Standards of Practice and Ethics**
Legal representatives entering the profession must ask themselves how they can represent their clients effectively without ending up in court. There are many alternatives to going to court that representatives can use to resolve their client’s disputes, such as negotiation, mediation, and arbitration. Strong negotiation and mediation skills are key to a representative’s success. Legal representatives must clearly understand both their ethical and professional obligations to the profession and their clients, related to the use of ADR options. Codes of conduct within the legal profession ensure that legal representatives inform and encourage their clients to use these alternatives and, if so instructed by the client, take steps to pursue those options.
**Governance of Legal Representatives**
A centrepiece of Canada’s legal system is to ensure that the public have the right to fundamental justice by obtaining legal advice and legal representation. In 1797, Canada’s oldest law society, the LSO (formerly called the Law Society of Upper Canada) was founded as a way to regulate the legal profession. Over the next 200 years, Canada’s law society leaders from around the country established the Federation of Law Societies of Canada as a vehicle to share ideas and common experiences. This non-profit agency is now the national coordinating body. Every legal representative in Canada, including lawyers, paralegals in Ontario, and Quebec’s notaries are required by law to be a member of a law society and governed by its rules. The function of these law societies is to regulate the legal professional in the public interest. Canadians expect to be served by legal professionals with honesty and integrity in the provision of their services. Canada’s law societies have an important role in hearing and investigating public complaints, and where necessary, impose discipline on legal representatives. The Federation works with law societies to develop high national standards of
regulation “to ensure that all Canadians are served by a competent, honourable and independent legal profession.”\textsuperscript{39}
**Self-Regulation**
The LSO is considered a \textbf{self-regulated body}, which requires that lawyers and paralegals be licensed in order to provide legal services. As a self-regulating body, lawyers and paralegals oversee their own regulation through the LSO in accordance with the \textit{Law Society Act}. The LSO is funded through lawyer and paralegal licensing fees. Members of the LSO elect their own members to become \textit{benchers}, who make up a small executive group to regulate and supervise the legal profession in Ontario. These benchers form a variety of committees, such as the discipline committee, and may also serve as adjudicators at discipline hearings.
The licensing process is an important one as it ensures that its members have a certain level of training and education, experience, competence, and \textbf{professional conduct}. Based on the authority prescribed by the \textit{Law Society Act}, the \textit{Paralegal Rules of Conduct}, the \textit{Rules of Professional Conduct} for lawyers, the LSO’s By-Laws, and the \textit{Paralegal Professional Conduct Guidelines} set out further professional and ethical obligations of lawyers and paralegals. Thus, legal representatives must carefully consider their codes of conduct and by-laws within their profession in the provision of legal services to the public. In view of the principles of the LSO noted above, it is therefore critical for the LSO and its regulated members to consider all methods of conflict resolution, including ADR methods, in the course of their legal practice.
**Codes of Conduct**
Codes of conduct were introduced to the legal profession in the late 1800s for many lawyers in common law jurisdictions to guide their members. The purpose of a code of conduct is to set out, usually in written form, rules that outline specific professional norms, practices, and responsibilities of an individual or organization. Its purpose is to protect the public and to hold, in this case, legal professionals, to a high ethical standard. By nature of their profession and in acting as an “agent” for parties, lawyers and paralegals exercise considerable power. Not only are they privy to sensitive personal and financial information, but they also often deal with clients who may be vulnerable or unsophisticated.\textsuperscript{40} The public therefore requires a way to ensure proper accountability and protection of legal professionals. Prior to the 19th century, there was a common assumption that honour and integrity governed the legal practice and its practitioners. Inappropriate conduct was defined and disciplined through statute law and case law. Today, codes of conducts are used to guide many legal professionals, including lawyers, paralegals, mediators, and notaries. While each law society has its own specific rules of conduct that apply to particular members, all members of the legal profession are required to conduct themselves in accordance with the Federation’s basic principles as follows:
- Act honourably and with integrity;
\textsuperscript{39} “What is the Federation of Law Societies of Canada?” (2022), online: \textit{Federation of Law Societies of Canada} <https://flsc.ca/about-us/what-is-the-federation-of-law-societies-of-canada>.
\textsuperscript{40} J Fairlie & P Sworden, \textit{Introduction to Law in Canada} (Toronto: Emond Montgomery, 2014) at 414.
• Provide competent legal services;
• Serve clients in a courteous and prompt manner;
• Respect client confidences;
• Maintain loyalty to clients and avoid conflicts of interest;
• Ensure that fees for services are fair and reasonable;
• Safeguard and preserve funds and property entrusted to them by their clients;
• When acting as advocate, treat Courts with civility and respect; and
• Encourage public respect for the administration of justice.\textsuperscript{41}
The Federation created a Model Code of Professional Conduct\textsuperscript{42} as a national code for Canadian lawyers. Its rules are designed to establish an ethical standard for the practice of law in Canada while recognizing that regional differences may exist in the application of some ethical standards.
\section*{The Function and Principles of the Law Society of Ontario}
Paralegals and lawyers in Ontario must look to the LSO for guidance as to the provision of legal services, including any form of ADR. As part of its regulatory function, the LSO is responsible for ensuring that lawyers and paralegals meet its high standards of learning, competence, and professional conduct. In Ontario, it is through the \textit{Law Society Act} that the LSO is empowered to regulate, license, and discipline its members. According to the \textit{Law Society Act}, the function of the LSO is as follows:
4.1 It is a function of the Society to ensure that,
(a) all persons who practise law in Ontario or provide legal services in Ontario meet standards of learning, professional competence and professional conduct that are appropriate for the legal services they provide; and
(b) the standards of learning, professional competence and professional conduct for the provision of a particular legal service in a particular area of law apply equally to persons who practise law in Ontario and persons who provide legal services in Ontario.
While the function of the LSO is clearly focused on paralegals and lawyers, the LSO must always keep the public interest of paramount concern. This is echoed quite clearly in the principles to be applied by the LSO and set out in the \textit{Law Society Act}:
4.2 In carrying out its functions, duties and powers under this Act, the Society shall have regard to the following principles:
1. The Society has a duty to maintain and advance the cause of justice and the rule of law.
2. The Society has a duty to act so as to facilitate access to justice for the people of Ontario.
3. The Society has a duty to protect the public interest.
\textsuperscript{41} “Law Society Codes of Conduct” (last visited 27 July 2022), online: Federation of Law Societies of Canada <https://flsc.ca/national-initiatives/model-code-of-professional-conduct/law-society-codes-of-conduct/>.
\textsuperscript{42} “Model Code of Professional Conduct” (October 2019), online: Federation of Law Societies of Canada <https://flsc.ca/national-initiatives/model-code-of-professional-conduct>.
4. The Society has a duty to act in a timely, open and efficient manner.
5. Standards of learning, professional competence and professional conduct for licensees and restrictions on who may provide particular legal services should be proportionate to the significance of the regulatory objectives sought to be realized.
When paralegals were first regulated and licensed in 2007, the *Paralegal Rules of Conduct* (Rules) were also created by the LSO to set out the high ethical standards of Ontario’s paralegals. This *code of ethical conduct* places an emphasis on the relationship between paralegals and those with whom paralegals deal in their practice and employment. While there is a separate code for lawyers, entitled the *Rules of Professional Conduct*, both lawyers and paralegals share many of the same standards imposed by the same regulatory body. The LSO is thus responsible for handling any complaints against lawyers and paralegals and breaches of their respective codes of conduct.\(^{43}\)
The Rules aim to ensure that legal representatives observe professional conduct that includes ADR methods. These requirements are woven throughout the Rules to promote and educate the public about ADR as an important and viable option for resolving conflicts and disputes.
**The Paralegal Rules of Conduct and ADR**
The *Paralegal Rules of Conduct* set out the professional and moral standards that paralegals are required to follow in order to maintain their licence with the LSO. There are nine rules of conduct, which are set out in the box, the *Paralegal Rules of Conduct*. The following discussion in this chapter will focus on specific aspects of the *Paralegal Rules of Conduct* as they relate to a paralegal’s responsibilities and connection with ADR. The full *Paralegal Rules of Conduct* are available on the LSO website.\(^{44}\)
---
**THE PARALEGAL RULES OF CONDUCT**
Rule 1: Citation and Interpretation—Definitions for key terms used throughout the Rules
Rule 2: Professionalism—Issues related to professionalism, such as integrity and civility, undertakings, harassment, and discrimination
Rule 3: Duty to Clients—Client-related issues such as competence, confidentiality, conflict of interest, client property and withdrawal from representation
Rule 4: Advocacy—Duty to clients, tribunals and others, disclosure of documents, interviewing witnesses, communication with witnesses giving testimony, the paralegal as witness and dealing with unrepresented persons
Rule 5: Fees and Retainers—Issues including contingency fees, joint retainers, fee splitting and referral fees
Rule 6: Duty to the Administration of Justice—General duty, security of court facilities, public appearances and statements, and unauthorized practice
---
\(^{43}\) Fairlie & Sworden, *supra* note 40 at 414.
\(^{44}\) *Supra* note 1.
Rule 7: Duty to Licensees and Others—Duty to act with courtesy and good faith
Rule 8: Practice Management—General obligations, marketing, advertising and insurance
Rule 9: Responsibilities to the Law Society—Communications from the Law Society, duties to report, professional misconduct and conduct unbecoming a paralegal
Competence
Rule 3 of the *Paralegal Rules of Conduct* recognizes the duties that paralegals owe to clients. This duty to the client is paramount and is one of the most important duties of the paralegal. As described by Guideline 5 of the *Paralegal Professional Conduct Guidelines*:
This duty includes obligations to be competent, maintain confidentiality, avoid conflicts of interest and continue to represent the client unless the paralegal has good reason for withdrawing. As a result, it is important for the paralegal to know exactly who is a client because it is to the client that most of the duties outlined in the *Rules* are owed.
According to Rule 1.02:
“client” means a person who:
(a) consults a paralegal and on whose behalf the paralegal provides or agrees to provide legal services; or
(b) having consulted the paralegal, reasonably concludes that the paralegal has agreed to provide legal services on his or her behalf
and includes a client of the firm of which the paralegal is a partner or associate, whether or not the paralegal handles the client’s work.\(^{45}\)
An essential part of the duty to the client requires that a paralegal be competent. Thus Rule 3.01(1) requires that “[a] paralegal shall perform any services undertaken on a client’s behalf to the standard of a competent paralegal.” Clients who hire a paralegal do so because they do not have the knowledge or expertise in the legal industry to represent themselves. As a result, they expect the paralegal to have a certain level of competency and skill to deal with their case. A level of competence is important on the basis of both ethical and legal principles. Legal principles suggest that paralegals must adhere to a certain standard of care to avoid any negligence. Paralegals must also consider their ethical responsibilities and use self-assessment to determine if they feel competent to handle the legal matter without undue delay, risk, or expense to the client (Rule 3.01(2)). A lack of competence not only has an impact on the client, to whom there is a disservice, but also brings discredit to the entire legal profession.
According to Rule 3.01(4)(c), a **competent paralegal** is someone who has and applies the relevant knowledge, skills, and attributes appropriate to each matter undertaken on behalf of a client. This includes “implementing, as each matter requires, the chosen course of action through the application of appropriate skills, including … (v) negotiation [and] (vi) alternative dispute resolution.”
\(^{45}\) *Paralegal Professional Conduct Guidelines* (1 October 2014; amendments current to 24 February 2022), online: Law Society of Ontario <https://lso.ca/about-lso/legislation-rules/paralegal-professional-conduct-guidelines>. For the most up-to-date material, please visit the website referenced in this footnote.
Being a competent paralegal requires knowledge of general legal principles and procedures, as well as the substantive law and procedures for the legal services provided. **Substantive law** comprises the statutory law and jurisprudence that creates, defines, and interprets the rights and obligations of those who are subject to it. **Procedural law** comprises the methods and procedures for enforcement of the rights and obligations set out in substantive law.
It is here that the responsibilities to ADR are clearly set out. A competent paralegal will ensure that, once the necessary information has been gathered and investigated, and the correct procedural and substantive law considered, they will properly contemplate the chosen course of action to recommend to the client. Like advocacy (Rule 3.01(4)(c)(vii)), alternative dispute resolution is a chosen course of action that must be considered by the competent paralegal (Rule 3.01(4)(c)(vi)).
At any stage of the retainer, paralegals would also need to communicate the procedural laws, such as statutes and rules of procedure, that impose certain conflict resolution methods on any given legal action. At the outset of any potential legal action, the paralegal must review the procedural act or rules applicable to that particular court or tribunal to determine all the steps of the litigation process, including ADR methods. Each tribunal, court, and jurisdiction has different rules with respect to the use of ADR. Some require that mediation is mandatory, while in others it is voluntary participation by the parties. Each one may have a different procedure that is required during the course of the action and may include or exclude specific ADR methods.
Moreover, it is the paralegal’s duty to ensure that the client is aware of all foreseeable risks, costs, and consequences associated with each course of action. The benefits of ADR will vary at different stages of the litigation process. For example, mediation should be conducted early enough in the litigation process to be cost effective to the parties settling and avoid the excessive costs of litigating the matter in court. Arbitration is advantageous to parties that seek a private adjudicator with a particular specialization, to conduct a hearing that can be tailored to the time and needs of the parties involved. Once all options are explored, the legal representative should not only clearly express a **legal opinion** about the substantive legal implications of the client’s case, but also provide a clear assessment of the pros and cons, including costs, associated with the different courses of action. It is through such a legal opinion that the legal representative can provide **professional judgment** to the client. Professional judgment is the paralegal’s capacity to assess situations or circumstances carefully and to make sensible decisions about client matters and conduct.\(^{46}\)
The competent paralegal must also apply effective communication skills. It is no surprise that one of the leading sources of misconduct and client complaints relates to poor communication with the client. This impacts all stages of the litigation process. Guideline 6 notes the following:
10. Rule 3.01(4) contains important requirements for paralegal–client communication and service. In addition to those requirements, a paralegal can provide more effective client service by
10.1 keeping the client informed regarding his or her matter, through all relevant stages of the matter and concerning all aspects of the matter,
\(^{46}\) S Knight, *Ethics and Professional Practice for Paralegals*, 3rd ed (Toronto: Emond Montgomery, 2015) at 94.
10.2 managing client expectations by clearly establishing with the client what the paralegal will do or accomplish and at what cost, and
10.3 being clear about what the client expects, both at the beginning of the retainer and throughout the retainer.\(^{47}\)
Regardless of how a legal opinion and professional judgment are expressed, either in writing or orally, the paralegal must carefully and clearly communicate ADR options with the client. Any recommendations about ADR should be provided not only at the commencement of the retainer but also during the course of the retainer. As knowledge of the facts and issues evolves in a case, both the client and paralegal may find that outcomes anticipated at the outset of the retainer change. In particular, the client’s expectations can alter drastically due to a number of factors. At the outset of a legal action, some clients firmly believe that they want to “have their day in court” and will “go all the way to the Supreme Court of Canada” to resolve their case. They are emotionally attached to their position and do not necessarily understand the impact of going to court in terms of the costs, as well as the impact on future relationships with the opposing party. They have little experience or understanding of the harsh realities of taking an action to court.
Another factor that can affect the application of ADR is information or a lack thereof. It takes time to gather all the facts of a case in order to consider the possibility of a negotiated settlement. Many cases are simply not ready to contemplate any possible settlements early in the case. Mediation for a legal action regarding a motor vehicle accident, for example, would likely not be appropriate until the parties have obtained a doctor’s report clearly outlining the injuries of the plaintiff.
Similarly, paralegals need to consider these same factors as part of communicating any ADR recommendations to the client during the course of the retainer. For example, mediation would not be appropriate at the early stages of a legal action when not enough information is available, but it might be beneficial at later stages.
In addition, when considering whether to proceed with mediation or negotiation, paralegals should be aware of **sharp practice** from the opposing counsel that may seek mediation as a means of trying to obtain an advantage by using dishonourable means. This includes tactics such as attempting to raise the overall legal costs to the party by scheduling mediation when the parties are clearly not ready or prepared to reach a settlement. Some may utilize it as a delaying tactic by sending opposing clients who do not necessarily have the proper authorization to enter into a settlement, such as a junior-level employee who is representing the client on behalf of the party who is a company. Specifically, Rule 7.01 of the *Paralegal Rules of Conduct* reinforce the general professional courtesy that legal representatives are expected to follow.
(1) A paralegal shall avoid sharp practice and shall not take advantage of or act without fair warning on slips, irregularities or mistakes on the part of other licensees not going to the merits or involving the sacrifice of a client’s rights.
(2) A paralegal shall agree to reasonable requests concerning trial dates, adjournments, waiver of procedural formalities and similar matters that do not prejudice the rights of the client.
(3) A paralegal shall not, in the course of providing legal services, communicate, in writing or otherwise, with a client, another licensee, or any other person in a
\(^{47}\) Supra note 45, Guideline 6.
manner that is abusive, offensive, or otherwise inconsistent with the proper tone of a professional communication from a paralegal.
(4) A paralegal shall not engage in ill-considered or uninformed criticism of the competence, conduct, advice or charges of other licensees, but should be prepared, when requested, to represent a client in a complaint involving another licensee.
(5) A paralegal shall answer, with reasonable promptness, all professional letters and communications from other licensees that require an answer, and a paralegal shall be punctual in fulfilling all commitments.\(^{48}\)
**SHARP PRACTICE**
**Fact Scenario**
You have been contacted by the opposing party, a large company, to attend a mediation with your client. As you are preparing for the mediation, the opposing party discloses the name of the person who will be attending the mediation on behalf of the company. You quickly recognize the name of the person and realize that the person has a very junior-level position with that company.
**Question for Discussion**
What should you be concerned about with respect to the representative that the company is sending?
**Advising Clients**
**Honesty and Candour**
A paralegal has a duty to advise clients on matters that are relevant to the retainer. According to the *Paralegal Rules of Conduct*, a paralegal shall be honest and candid when advising clients (Rule 3.02(2)). Specifically, according to Guideline 7,
1. A paralegal has a duty of candour with the client on matters relevant to the retainer. A paralegal is required to inform the client of information known to the paralegal that may affect the interests of the client in the matter.
2. A paralegal must honestly and candidly advise the client regarding the law and the client’s options, possible outcomes and risks of his or her matter, so that the client is able to make informed decisions and give the paralegal appropriate instructions regarding the case. Fulfillment of this professional responsibility may require a difficult but necessary conversation with a client and/or delivery of bad news. It can be helpful for advice that is not well-received by the client to be given or confirmed by the paralegal in writing.\(^{49}\)
It goes without saying that a paralegal’s job is a business, and the expectation is to earn a profit. The longer a client’s matter is in conflict, the more legal services the client requires, and the more income that client’s paralegal may earn. In situations where an hourly rate is applied by the paralegal, a paralegal may earn more money in an
\(^{48}\) Supra note 1, r 7.01.
\(^{49}\) Supra note 45, Guideline 7.
action that heads to court rather than to an early settlement through ADR processes. Nevertheless, a paralegal must not let their interests interfere with what is in the best interests of the client. Being honest and candid means that the paralegal must be truthful and forthright in advising their client about all matters, including options that may shorten the duration of a legal action or lower its cost, even if it might mean less profit for them in the long run. It is important that clients have a clear understanding of all possible outcomes. Guideline 7 specifies the following:
When advising a client, a paralegal
- should explain to and obtain agreement from the client about what legal services the paralegal will provide and at what cost. Subject to any specific instructions or agreement, the client does not direct every step taken in a matter. Many decisions made in carrying out the delivery of legal services are the responsibility of the paralegal, not the client, as they require the exercise of professional judgment. However, the paralegal and the client should agree on the specific client goals to be met as a result of the retainer.\(^{50}\)
**ADVISING CLIENTS**
**Fact Scenario**
Sue is a newly licensed paralegal. She started her own firm, including hiring a part-time assistant and renting an office space. She is trying her best to market the new firm and generate new clients. One of her clients has submitted an application with the Human Rights Tribunal of Ontario. The client was fired as a result of her poor work skills. The client experienced a miscarriage six months ago. She was required to go back to work immediately, and has since experienced severe depression as a result of the miscarriage. Sue’s client is claiming that the miscarriage should be considered a disability under the Ontario *Human Rights Code* and she should not have been fired. The mediation in this matter is scheduled next week. Sue feels that this would be a great case to argue at the tribunal and she could really start to make a name for herself. She is hoping that the matter does not settle at the mediation. In addition, Sue’s monthly expenses seem to be piling up, and she would earn more legal fees if the matter continues to the hearing stage. Sue decides not to spend much time preparing or rehearsing for the mediation.
**Question for Discussion**
Discuss the possible ethical breaches in accordance with the *Paralegal Rules of Conduct* and other issues that may be of concern.
**Confidentiality**
Many clients that participate in ADR have concerns about the degree of confidentiality that may be experienced during these procedures. As a result, they may be less open to actively participating in ADR. This may be due to their perception of the more informal nature of ADR and a fear of revealing too much about their case during
\(^{50}\) *Ibid*, Guideline 7.
ADR. A paralegal should inform and remind their clients of their duties with respect to confidentiality. The paralegal’s duty of confidentiality is set out in the *Paralegal Rules of Conduct*:
Rule 3.03(1) A paralegal shall, at all times, hold in strict confidence all information concerning the business and affairs of a client acquired in the course of their professional relationship and shall not disclose any such information unless:
(a) expressly or impliedly authorized by the client;
(b) required by law or by order of a tribunal of competent jurisdiction to do so;
(c) required to provide the information to the Law Society; or
(d) otherwise permitted by this rule.\(^{51}\)
The duty of confidentiality commences at the very outset of the paralegal–client relationship, even prior to a retainer, and continues indefinitely after the paralegal has ceased acting for the client. This means it applies to all stages of the legal action, including ADR, and even applies to prospective clients, whether or not a paralegal–client retainer is engaged. In addition, it applies to all information acquired during the paralegal–client relationship, whether or not the information is relevant to the matter for which the paralegal is retained. This is reinforced in Guideline 8: Confidentiality. According to the *Paralegal Professional Conduct Guidelines*:
1. A paralegal cannot render effective professional service to a client, unless there is full and unreserved communication between them. The client must feel completely secure that all matters discussed with the paralegal will be held in strict confidence. The client is entitled to proceed on this basis, without any express request or stipulation.
2. A paralegal’s duty of loyalty to a client prohibits the paralegal from using any client information for a purpose other than serving the client in accordance with the terms of the retainer. A paralegal cannot disclose client information to serve another client or for his or her own benefit.\(^{52}\)
The paralegal must be sure to obtain clear instructions from the client as to what information the paralegal can disclose during any form of ADR. This can be done as part of the early preparation with the client ahead of any ADR process. This understanding will reduce risk to both the client and the paralegal during an ADR session. The client will be less likely to make a statement in error that may jeopardize their position. Having a clear understanding of the information the client wants to keep confidential will reduce the risk of the paralegal breaching the *Rules of Conduct* during ADR processes by stating something that the client wanted to remain confidential.
**Settlement and Dispute Resolution (Rule 3.02)**
The duty to clients in Rule 3 further requires that paralegals advise their clients about settlement and dispute resolution:
(11) A paralegal shall advise and encourage a client to compromise or settle a dispute whenever it is possible to do so on a reasonable basis, and shall discourage the client from commencing or continuing useless legal proceedings.
\(^{51}\) Supra note 1, r 3.03(1).
\(^{52}\) Supra note 45, Guideline 8.
(12) The paralegal shall consider the use of alternative dispute resolution (ADR) when appropriate, inform the client of ADR options, and, if so instructed, take steps to pursue those options.\textsuperscript{53}
Commencing and settling legal proceedings are an important part of the paralegal’s responsibilities to the client. At the outset of a retainer, the paralegal should assist the client in the decision of whether to begin a legal proceeding. Part of that decision will require a discussion about the various pros and cons of substantive and procedural law, discussed earlier in this chapter. However, as the proceedings continue, the paralegal should advise and encourage settlement as soon as reasonably possible. This can be achieved through the various forms of ADR discussed throughout this book, such as negotiation, mediation, arbitration, or similar means, instead of by going to litigation.
Early settlement may be successful through negotiation between the parties. To achieve this, the paralegal should first seek instructions from the client to make an offer of settlement to the other party as soon as reasonably possible. The opposing party may accept the offer or may counteroffer. The negotiations may continue back and forth until settlement is reached. According to Guideline 7:
10. In the course of the proceedings, the paralegal should seek the client’s instructions to make an offer of settlement to the other party as soon as reasonably possible. After receipt of an offer of settlement from the other party, the paralegal must explain to the client the terms of the offer, the implications of accepting the offer and the possibility of making a counter-offer. When making an offer of settlement, a paralegal should allow the other party reasonable time for review and acceptance of the offer. The paralegal should not make, accept or reject an offer of settlement without the client’s clear and informed instructions. To avoid any misunderstandings, the paralegal should confirm the client’s instructions in writing.\textsuperscript{54}
Not accepting a reasonable offer of settlement may expose the client to significant cost consequences. This concept is explored in more detail in Chapter 11, “Selecting the Right ADR Process.”
For the client who is expecting to head to court, settlement at any stage of the proceeding may be difficult to comprehend. Clients are used to what they see on television or in the movies and expect a judge to ultimately resolve their dispute. There may be some disappointment from the client when the decision is settled without heading to court. Yet the reality is that the majority of cases settle before going to court. Therefore, it becomes the paralegal’s responsibility to convey this reality to the client so they are comfortable with that outcome. There continue to be many provincial initiatives focused on encouraging settlement and resolving cases outside of court.
\textbf{Can Paralegals Be Mediators?}
Rule 2.01(6) recognizes that paralegals can also act as mediators. Traditionally, lawyers have often filled the role of a mediator. However, in recent years, as the demand for mediation has expanded, many others from different professions have also filled that
\textsuperscript{53} \textit{Supra} note 1, rr 3.02(11) and (12).
\textsuperscript{54} \textit{Supra} note 45, Guideline 7.
role, including psychologists, social workers, therapists, faith community leaders, and now paralegals. Some paralegals choose to turn mediation into their career, while others act as a mediator on a part-time basis while continuing their primary profession.
Leading a full-time career in mediation is possible and growing in a number of areas. A mediator may choose to work in private practice, specializing in a particular area such as commercial, family, or workplace mediation. Other mediators may choose to work for government organizations such as administrative tribunals and agencies. There are numerous government-based organizations at which paralegals are authorized to practise, such as human rights commissions (Canada and Ontario), the Landlord and Tenant Board, and the Workplace Safety and Insurance Board (Ontario). Still others may choose to work with private firms and organizations, such as school boards, universities and colleges, or other associations that use mediation and conflict resolution regularly.
**The Paralegal Rules of Conduct and Paralegal-Mediators**
**Outside Interests**
For paralegals who wish to practise as mediators, the *Paralegal Rules of Conduct* determine how such an activity should take place. This practice is considered an **outside activity**, which Guideline 2 defines as an activity that may overlap or be connected with the provision of legal services. When participating in such activities, paralegals must carefully adhere to the Guidelines to ensure that the outside activity does not impair their ability to provide legal services to their clients. For example, if a paralegal is scheduled as a mediator in a mediation that involves the client in another matter, it may give rise to a conflict of interest. Either way, a paralegal that chooses to continue in another role, such as a mediator, must, according to the Guidelines, continue to fulfill their obligations under the *Paralegal Rules of Conduct*. This includes duties such as the following:
- act with integrity,
- be civil and courteous,
- be competent in providing legal services,
- avoid conflicts of interest, and
- maintain confidentiality.\(^{55}\)
Whether the activity gives rise to a conflict of interest or causes any impairment, a paralegal would need to consider whether to withdraw from representation of the client or from the outside interest.
**Conflict of Interest**
The *Paralegal Rules of Conduct* state that paralegals, whether acting as mediators or not, must disclose any possible conflict of interest as soon as possible. The concern, according to Guideline 2, is that “[a] paralegal should not carry on, manage or be involved in any outside interest in such a way that makes it difficult to distinguish in
\(^{55}\) Supra note 45, Guideline 2(4).
which capacity the paralegal is acting, or that would give rise to a conflict of interest or duty to a client.”\textsuperscript{56} The Guidelines further explain:
When acting as a mediator, the paralegal should guard against potential conflicts of interest. For example, neither the paralegal nor the paralegal’s partners or associates should provide legal services to the parties. Further, a paralegal-mediator should suggest and encourage the parties to seek the advice of a qualified paralegal or a lawyer before and during the mediation process if they have not already done so. Refer to Guideline 9: Conflicts of Interest for more information on how a paralegal’s outside interests may conflict with the paralegal’s duty to his or her clients.\textsuperscript{57}
In the event of a conflict of interest, the paralegal acting as a mediator should withdraw from the mediation process unless the parties unanimously consent to continue with the paralegal as mediator despite the conflict of interest. Nevertheless, in this situation, paralegals should always use their judgment to determine whether such a conflict of interest would impair their professionalism and ability to remain impartial. If at any point a paralegal-mediator determines that they can no longer remain impartial, they should withdraw from the mediation.
**Acting as a Mediator**
Once the paralegal chooses to act as a mediator, further rules are engaged to set out the responsibilities of the paralegal as a mediator:
2.01(6) A paralegal who acts as a mediator shall, at the outset of the mediation, ensure that the parties to it understand fully that the paralegal is not acting as a representative for either party but, as mediator, is acting to assist the parties to resolve the issues in dispute.\textsuperscript{58}
The objective here is to ensure that there is no confusion on the part of the parties as to what role the paralegal has in the mediation. It is important for the parties to understand that a paralegal–client relationship does not exist, and that the paralegal acting as a mediator is not providing legal services or legal opinions to either party. Keep in mind that according to the Guidelines, “this does not preclude the mediator from giving information on the consequences if the mediation fails.”\textsuperscript{59}
**OUTSIDE INTERESTS**
**Fact Scenario**
You have been hired as a mediator in a personal injury case. You are also a partner with a paralegal firm and have had many years of experience dealing with personal injury cases. Clients continue to hire you as a result of your extensive experience.
\textsuperscript{56} \textit{Ibid} at 2(2).
\textsuperscript{57} \textit{Ibid} at 2(6).
\textsuperscript{58} Supra note 1, r 2.01(6).
\textsuperscript{59} Supra note 45, Guideline 2(5).
Confidentiality
Like paralegals, mediators are required to keep any client information confidential unless the parties consent. For the paralegal-mediator, this responsibility not only is set out in the *Paralegal Rules of Conduct*, which the paralegal must follow, but also is included in other aspects of the mediation, including the mediation agreement prepared by the mediator. The mediation agreement clearly sets out the obligations of confidentiality that bind both the mediator and the parties involved during the mediation and subsequent to the mediation. Any information that the parties may discuss while in caucus is confidential unless the parties involved consent to disclosure. Any information about the mediation itself, such as any information and documents during the mediation and post-mediation, is confidential. Parties choose mediation often because of its private nature. Mediators should inform the parties of this duty at the outset of the mediation and also in the mediation agreement.
**CONFIDENTIALITY**
**Fact Scenario**
You are a paralegal representing a client in a mediation in a landlord and tenant matter. Your client is the tenant in this dispute who is defending an application by the landlord about unpaid rent. The client has told you that he would like to do everything possible to stay in the apartment, and has some money set aside to pay the rent for the next three months. He was behind a week every month only because of the timing of when he was paid. However, he recently found out that his workplace, which has been under significant economic strain, may be cutting employees, and he may be one of them. He does not want the landlord to know about the fact that he may be unemployed. He is concerned that, because the mediation is informal, the information may be used against him and he will be kicked out of his apartment.
**Question for Discussion**
What can you do to assure your client that both you and the mediator will keep all information and documents confidential?
Angela is a student who lives in the basement apartment of a house owned by her landlords, Mary and Leo. Angela has lived in the apartment for the past nine months while attending college. Overall, Mary has been happy with the living arrangement and her landlords are much nicer and more reasonable than her previous landlord. This apartment is quiet and Angela has a lot of privacy so that she can concentrate on her school work. The rent is reasonable and within her very limited budget. She has also found Mary to be easy to talk to when any minor issues arose.
Mary and Leo began renting out their basement apartment earlier this year. They needed some extra income and Mary likes knowing that someone else is in the house when Leo goes away on business. Both Mary and Leo like their current tenant, Angela. She is always on time with her rent, is very polite, and seems to be trustworthy.
Last month, there was a leak that completely flooded one of the closets in the basement. Unfortunately, there was water damage to Angela’s personal belongings, including her special, prized competitive figure skates. Angela would like to be compensated approximately $1,000 for all of the damage, stress, and inconvenience. She has obtained a written estimate that it would cost $600 to replace the skates alone.
Mary was shocked that her tenant asked for $1,000 to cover the damages that she had suffered. She spoke to Leo about it and he insisted that skates cost less than $100 and said that Angela is trying to take advantage of them.
Leo ended up offering Angela $60 so that she could buy a new pair of skates at Canadian Tire. Angela was offended by the insulting offer. She has temporarily borrowed a pair of skates from a friend, but really needs her own pair of customized figure skates as soon as possible because her next skating competition is just six weeks away.
Angela is considering taking the matter to small claims court, but she doesn’t know anything about law and she cannot afford to hire a lawyer. Her lease will be up in three more months, but she had hoped to extend the lease because she still has two semesters before she finishes her college program.
The parties have not decided whether they will continue with this living arrangement—it will depend upon the outcome of this dispute.
**Discussion of Scenario**
- **Retaining a Paralegal:** If Angela cannot afford to hire a lawyer, she could consider representing herself. However, since Angela doesn’t know anything about law, a paralegal would be an affordable option.
- **Consider ADR:** It would take too long to get a small claims court date since Angela needs the money to replace the skates as soon as possible. She should discuss ADR options with her paralegal.
- **Quick Resolution with Lower Cost:** The paralegal will likely suggest negotiation or mediation as good options for Angela to consider in an effort to resolve this dispute. Both of these processes have the potential to resolve the matter quickly and at a lower cost than going to court.
CHAPTER SUMMARY
Over the last 30 years, significant changes to the justice system have affected the way legal services are delivered and used. Economic and societal pressures have led to a “corporatization” of lawyers and law firms, reduced numbers of sole practitioners, and resulted in excessive legal fees and increasing costs and delays for trials to resolve disputes. The consequence of these changes in the legal industry has been significant. Hardest hit have been average Canadians who can no longer afford to access the justice system through the traditional methods of legal representation and adjudicative court systems. The COVID-19 pandemic has continued to highlight significant changes to the Canadian legal system both for the better and worse as legal services had to adapt to an online environment and delays grew.
Unfortunately, the traditional legal industry itself has been slow to respond and often reluctant to change. Many lawyers avoid using alternative methods such as mediation and seek to resolve disputes through the singular method of adjudication, much to the detriment of their clients.
As public pressure for access to justice continues to mount, the legal industry has responded in numerous ways to meet this demand. ADR methods are increasingly used to find affordable and effective ways to resolve disputes without going to court. The shift to problem-solving as a way of providing legal services is a significant development away from the traditional professional practice of “adversarialism.” Similarly, the demand for paralegals has grown as people seek alternative service providers to lawyers and self-representation. This has in turn led to the regulation of paralegals in Ontario and the acknowledgment of paralegals as authentic participants in the legal system.
The licensing of paralegals by the LSO and the provision of legal services to clients give rise to important duties for the paralegal in the resolution of disputes. At a time when legal costs are excessive and scheduled court appearances are delayed for long periods, alternatives to resolving disputes are an important consideration and benefit for parties in the long run.
As a result, the regulatory framework of the paralegal profession is set up to ensure that paralegals inform, encourage, and implement the use of ADR methods. Beginning with the regulatory body of paralegals, the LSO recognizes that its primary duty is to protect the public interest. This duty is clearly reinforced in section 4 of the *Law Society Act*, which outlines the functions and principles of the LSO and its members. Based on the authority prescribed in the *Law Society Act*, paralegals must adhere to specific ethical obligations as set out in codes of conduct and other statutory regulations. Specifically, the *Paralegal Rules of Conduct* set out the professional and moral standards that paralegals are expected to follow. The Rules further aim to ensure that paralegals observe professional conduct that includes ADR methods.
Despite current changes to the legal industry, much needs to be done to continue the trend away from advocacy and toward the encouragement of settlement. In order to improve access to justice, changes need to be reinforced at the earliest stages of education and training of legal representatives. Proper education and training in ADR can shape professional attitudes and help practitioners develop crucial conflict resolution skills. The hope is that in a growing industry of ADR, by providing legal representatives with these skills, they will be better prepared to meet the needs of all Canadians.
KEY TERMS
access to justice, 8
alternative dispute resolution (ADR), 2
code of ethical conduct, 18
competent paralegal, 19
judicial mediation, 13
Law Society of Ontario (LSO), 2
legal opinion, 20
mediation, 12
outside activity, 26
procedural law, 20
professional conduct, 16
professional judgment, 20
rights-based model, 3
*Rules of Professional Conduct and Paralegal Rules of Conduct*, 2
self-regulated body, 16
sharp practice, 21
substantive law, 20
REVIEW QUESTIONS
1. Describe how a rights-based model of justice has slowed the change to employ methods of alternatives to adjudication.
2. Outline and describe the economic and social changes in the legal profession that have led to the increasing use of ADR practices.
3. What programs has our legal industry provided in response to the need to provide more alternatives to our justice system and improve the public’s access to justice?
a. Case management.
b. Legal Aid Ontario.
c. Pro Bono Law Ontario.
d. Mandatory mediation.
e. All of the above.
4. Differentiate between the terms *access to justice* and *access to courts* and describe why they are different.
5. Describe why lawyers and judges were reluctant to embrace mediation as a mandatory part of the litigation process.
6. What are the possible roles and methods of participation of a paralegal within the ADR process?
a. Paralegals can act in support of a lawyer as they do in other litigation matters.
b. Paralegals can also act as third-party facilitators, arbitrators, or mediators.
c. Paralegals can represent their own clients in many ADR proceedings.
d. All of the above.
7. What is *judicial mediation*? Describe how it is used as a method of ADR in our legal system.
8. How has the global pandemic affected the delivery of legal services in Canada?
9. Discuss the impact of the *R v Jordan* decision on criminal trials.
10. What legislation provides the LSO with the power and authority to regulate the legal profession in Ontario?
11. What are the guiding principles of the LSO? Provide the statutory or other authority for your answer.
12. The LSO is considered a “self-regulated body.” Describe what that means and how such a body would function.
13. As members of the LSO, paralegals must adhere to professional and ethical obligations. List the various authorities that set out those obligations.
14. Define a code of conduct and list the elements of the code of conduct that applies to paralegals and to lawyers. Describe the purpose of that code of conduct as it relates to paralegals.
15. Which specific sections of the *Paralegal Rules of Conduct* make reference to ADR?
16. Describe and distinguish between substantive and procedural law.
17. Generally, when should ADR be considered during the litigation process? Describe the advantages and disadvantages and what factors should be considered in your answer.
18. What is the paralegal’s responsibility with respect to the client and settlement?
19. Can a paralegal be a mediator? Provide the statutory or other authority for your answer.
20. You have been hired as a paralegal to represent a new client and bring an action before the small claims court. At issue is the fact that your client was hired to renovate a house, and the owner has refused to pay him saying that it was “shoddy workmanship.” Your client is quite angry and is eager to take this case “all the way to the Supreme Court of Canada” if he has to. You decide to file the claim immediately without properly discussing the possible courses of action with your client. Discuss the possible ethical breaches in accordance with the *Paralegal Rules of Conduct*.
EXERCISES
1. Position Activity: Take a Stand (see Appendix B)
2. Negotiation Role Play: Sell That Stroller (see Appendix C)
REFERENCES
Bill 14, *An Act to Promote Access to Justice by Amending or Repealing Various Acts and by Enacting the Legislation Act*, 2006, 2nd Sess, 38th Parliament, Ontario, 2006 (first reading 27 October 2005).
*Canadian Charter of Rights and Freedoms*, s. 7, Part I of the *Constitution Act, 1982*, being Schedule B to the *Canada Act 1982* (UK), 1982, c 11 at s 7.
Canadian Lawyer. “2021 Legal Fees Survey: Results” (Canada: Canadian Lawyer, May 2022), online: [Canadian Lawyer](https://www.canadianlawyermag.com/news/features/2021-legal-fees-survey-results/362970).
Canadian Lawyer. “Fees Rising Before Downturn—2020 Legal Fees Survey” (May 2022), online: [Canadian Lawyer](https://www.canadianlawyermag.com/surveys-reports/legal-fees/fees-rising-before-downturn-2020-legal-fees-survey/329033).
Canwest News Service. “Access to Justice Is Critical for Canadians” (9 March 2007).
Cory, Peter de C. *A Framework for Regulating Paralegal Practice in Ontario: Report* (Toronto: Ministry of the Attorney General, 2000).
Department of Justice. “Just Facts—Self Represented Litigants in Family Law” (June 2016), online: [Department of Justice](https://www.justice.gc.ca/eng/rp-pr/fl-lf/divorce/jf-pf/srl-pnr.html).
Department of Justice Canada. *Expanding Horizons: Rethinking Access to Justice in Canada* (31 March 2000), online (pdf): [http://publications.gc.ca/collections/collection_2010/justice/J4-4-2000-eng.pdf](http://publications.gc.ca/collections/collection_2010/justice/J4-4-2000-eng.pdf).
Fairlie, J & P Sworden. *Introduction to Law in Canada* (Toronto: Emond Montgomery, 2014).
Federation of Law Societies of Canada. “Model Code of Professional Conduct” (October 2019), online: [https://flsc.ca/national-initiatives/model-code-of-professional-conduct](https://flsc.ca/national-initiatives/model-code-of-professional-conduct).
Federation of Law Societies of Canada. “What is the Federation of Law Societies of Canada?” (2022), online: [https://flsc.ca/about-us/what-is-the-federation-of-law-societies-of-canada](https://flsc.ca/about-us/what-is-the-federation-of-law-societies-of-canada).
Federation of Law Societies of Canada. “Law Society Codes of Conduct” (2022), online: [https://flsc.ca/national-initiatives/model-code-of-professional-conduct/law-society-codes-of-conduct/](https://flsc.ca/national-initiatives/model-code-of-professional-conduct/law-society-codes-of-conduct/).
Galanter, M. “The Vanishing Trial: An Examination of Trial and Related Matters in Federal and State Courts” (2004) 1 *J Empirical Leg Stud* 459.
Guardian News. “‘I’m Not a Cat’: Lawyer Gets Stuck on Zoom Kitten Filter During Court Case” (9 February 2022), online (video): [YouTube](https://www.youtube.com/watch?v=IGOofzZOyI8).
Harrison, B et al. “When is Mediation Mandatory? A Comparative Analysis of Mandatory Mediation Across Canada” (October 2019), online: [McMillan LLP](https://mcmillan.ca/insights/publications/when-is-mediation-mandatory-a-comparative-analysis-of-mandatory-mediation-across-canada).
*Hryniak v Mauldin*, 2014 SCC 7.
Ianni, RW. *Report of the Task Force on Paralegals Prepared for the Ontario Ministry of the Attorney General* (Toronto: Queen’s Printer, 1990) [Ianni report].
Knight, S. *Ethics and Professional Practice for Paralegals*, 3rd ed (Toronto: Emond Montgomery, 2015).
*Law Society Act*, RSO 1990, c L.8.
Law Society of Ontario. *Law Society Act, By-Law 4*, online: [https://lso.ca/about-lso/legislation-rules/by-laws/by-law-4](https://lso.ca/about-lso/legislation-rules/by-laws/by-law-4).
Law Society of Ontario. “Law Society Online Annual Report” (last visited 18 May 2022), online: Law Society of Ontario [https://lso.ca/annualreport/2020/home](https://lso.ca/annualreport/2020/home).
Law Society of Ontario. *Paralegal Professional Conduct Guidelines* (1 October 2014; amendments current to 24 February 2022), online: [https://lso.ca/about-lso/legislation-rules/paralegal-professional-conduct-guidelines](https://lso.ca/about-lso/legislation-rules/paralegal-professional-conduct-guidelines).
Law Society of Ontario. *Paralegal Rules of Conduct* (1 October 2014; amendments current to 24 February 2022), online: [https://lso.ca/about-lso/legislation-rules/paralegal-rules-of-conduct](https://lso.ca/about-lso/legislation-rules/paralegal-rules-of-conduct).
Macfarlane, J. “Culture Change? A Tale of Two Cities and Mandatory Court-Connected Mediation” (2002) 2002:2 *J Disp Resol* 241.
Macfarlane, J. *The New Lawyer* (Vancouver: University of British Columbia Press, 2008).
McLachlin, B. “The Legal Profession in the 21st Century,” Remarks at the 2015 Canadian Bar Association Plenary, Calgary (14 August 2015), online: [https://www.scc-csc.ca/judges-juges/spe-dis/bm-2015-08-14-eng.aspx](https://www.scc-csc.ca/judges-juges/spe-dis/bm-2015-08-14-eng.aspx).
McMurtry, R et al. *Listening to Ontarians: Report of the Ontario Civil Legal Needs Project* (Toronto: Ontario Civil Legal Needs Project Steering Committee, May 2010), online (pdf): [http://www.lsuc.on.ca/media/may3110_oclnreport_final.pdf](http://www.lsuc.on.ca/media/may3110_oclnreport_final.pdf).
Ministry of the Attorney General of Ontario. “Fact Sheet: Simplified Procedure Under Rule 76 of the Rules of Civil Procedure” (4 March 2022), online (pdf): <http://www.attorneygeneral.jus.gov.on.ca/english/courts/civil/fact_sheet_simplified_procedure_76.pdf>.
National Self Represented Litigants Project. “Finally, Canadian Data on Case Outcomes: SRL vs. Represented Parties” (18 April 2016), online: NSRLP Blog <https://representingyourselfcanada.com/finally-canadian-data-on-case-outcomes-srl-vs-represented-parties>.
Noonan, J. “Holistic Legal Training: When Should ADR Training Be Introduced?” (March 2009) 17:2 OBA Alternative Dispute Resolution Section Newsletter.
Olijnyk, Z. “Legal Services in a Most Unusual Year—2021 Legal Fees Survey” (25 May 2021), online: Canadian Lawyer <https://www.canadianlawyermag.com/surveys-reports/legal-fees/legal-services-in-a-most-unusual-year-2021-legal-fees-survey/356483>.
Regina v Lawrie and Pointts Ltd, 1987 CanLII 2442, 59 OR (2d) 161 (BCSC).
R v Jordan, 2016 SCC 27.
Statistics Canada. “Canadian Income Survey, 2020” (23 March 2022), online: <https://www150.statcan.gc.ca/n1/daily-quotidien/220323/dq220323a-eng.htm>.
Statutory Powers Procedure Act, RSO 1990, c S.22.
Wiggins, CB & RL Lowry. Negotiation and Settlement Advocacy: A Book of Readings (St Paul, Minn: West, 1997).
Winkler, WK. “Some Reflections on Judicial Mediation: Reality or Fantasy?” (24 March 2010), online: Court of Appeal for Ontario <https://www.ontariocourts.ca/coa/about-the-court/archives/reflections_judicial_mediation/#:~:text=Is%20Court%2DBased%20Judicial%20Mediation,is%20distinct%20from%20its%20availability>.
Appendix A Definition of a Paralegal
Law Society Act, RSO 1990, c L.8
Interpretation
1(1) In this Act, …
“person who is authorized to provide legal services in Ontario” means,
(a) a person who is licensed to provide legal services in Ontario and whose licence is not suspended, or
(b) a person who is not a licensee but is permitted by the by-laws to provide legal services in Ontario;
• • •
Provision of legal services
(5) For the purposes of this Act, a person provides legal services if the person engages in conduct that involves the application of legal principles and legal judgment with regard to the circumstances or objectives of a person.
Same
(6) Without limiting the generality of subsection (5), a person provides legal services if the person does any of the following:
1. Gives a person advice with respect to the legal interests, rights or responsibilities of the person or of another person.
2. Selects, drafts, completes or revises, on behalf of a person,
i. a document that affects a person’s interests in or rights to or in real or personal property,
ii. a testamentary document, trust document, power of attorney or other document that relates to the estate of a person or the guardianship of a person,
iii. a document that relates to the structure of a sole proprietorship, corporation, partnership or other entity, such as a document that relates to the formation, organization, reorganization, registration, dissolution or winding-up of the entity,
iv. a document that relates to a matter under the Bankruptcy and Insolvency Act (Canada),
v. a document that relates to the custody of or access to children,
vi. a document that affects the legal interests, rights or responsibilities of a person, other than the legal interests, rights or responsibilities referred to in subparagraphs i to v, or
vii. a document for use in a proceeding before an adjudicative body.
3. Represents a person in a proceeding before an adjudicative body.
4. Negotiates the legal interests, rights or responsibilities of a person.
Representation in a proceeding
(7) Without limiting the generality of paragraph 3 of subsection (6), doing any of the following shall be considered to be representing a person in a proceeding:
1. Determining what documents to serve or file in relation to the proceeding, determining on or with whom to serve or file a document, or determining when, where or how to serve or file a document.
2. Conducting an examination for discovery.
3. Engaging in any other conduct necessary to the conduct of the proceeding.
Appendix B Activity: Take a Stand
**Type:** Position Activity
**Participants:** Each student working with a partner
**Level of Difficulty:** Introductory
**Time:** Set aside approximately 20 minutes for this activity, including 10–15 minutes for the questions and answers and 5–10 for the debrief.
**Objectives**
- Introduce ADR and conflict.
- Allow participants to take a position and discuss the reasons (interests) why they took that position.
- Allow students an opportunity to take a position and understand the reasons “why” they are taking it.
- Begin to understand the reasons for positions and how they are similar to conflict.
**Procedure**
- Can be used as an in-person activity or virtual in breakout groups of two people.
- Use an open area large enough for people to move freely on two sides of an imaginary line in the middle of the room.
- The educator instructs the groups by saying the following: “I am going to ask a few questions that require students to choose a position on a particular topic. Each side of the room will be assigned a particular position on that topic.” Then ask students to move to the side of the room that most applies to them.
- After students have moved to the position, casually ask students why they took a certain position and what motivated them.
- You can go as long as you would like with this activity. The point is to get people talking about why they took certain positions (e.g., finances, culture, education, family).
**Questions to Get You Started**
The educator asks, “What is your preference?” between:
- tea or coffee
- beer or wine
- dog or cat
- car or bike
- breakfast or no breakfast
- sugar or salt
- chocolate or chips
- meat eater or vegetarian
- morning person or night hawk
- introvert or extrovert
- city living or country living
- homework or no homework
- Tim Hortons or Starbucks
- thrift shop or name brand shop
- book or movie person
**Debriefing with Students:**
- Ask the students what the factors led them to take a certain position. What motivated them to take that position?
- They should begin to list the following:
- Beliefs/values/morals
- Religion
- Background
- Personal life/experiences
- Expectations
- Finances
- Environment
- Experiences
- Physical state
- Education
- Culture
- Convenience
- Ask students why we have conflict. What are the main causes of conflict in the world?
- Point out to students that the two lists are very similar. Often the positions we take lead us to conflict.
- Advise students that conflict will be explored in the next class.
Asmita and Neelabh are expecting their first child. They would like to buy a stroller for their new baby. They live in a small town that is quite a distance from the big city. They are a new couple, and money is quite tight these days. They have a lot of items that they need to buy for the baby. They decide that they can only afford to buy a used stroller. However, safety is a huge priority and they have heard that some older models may not meet current safety standards. The baby’s due date is in less than a month, so they need to find something quickly. They heard about a store that sells new and second-hand strollers called Go Baby. Inside the store, they notice that there are all kinds of new strollers with a variety of features. Most are new, with very few used strollers. The new ones are quite pricey. There are some shops nearby that sell new strollers but they would likely be out of their price range. Asmita notices one in the corner that is quite dusty. The stroller is made by Prego and seems to be an older version. There is not a price listed on the stroller. Asmita fondly remembers the stroller that her mom used in her childhood with her siblings that was made by Prego. It seemed to last forever. She knows from the flyers she has seen that most strollers cost around $400. Asmita checked Kijiji before coming to the shop and found that many used strollers are usually half the price of a new one. However, this one is a much older model and likely has been sitting there for a while. Asmita and Neelabh would like to negotiate a good price for the used Prego stroller. As new buyers, they do not want to be taken in this deal. If they do not buy a stroller here, they would have to drive an hour and a half into the city. Gas prices have risen lately and their vehicle is not good. It would likely cost them $100 in gas alone!
**Seller:** Maurice, Go Baby
Maurice started Go Baby a few years ago after having his own kids and realizing there was a huge market for new and used baby gear. He does have some concerns about selling used strollers and always makes sure that the strollers meet the current safety standards. However, he is finding that most new parents want the newest stroller on the market and that there is not a big market for older strollers even if they meet the safety standards. Maurice would like to clear out any older stroller models as soon as possible, and move the inventory. His shop is filling up and they are taking up too much space. At 8 p.m., a couple enters the store (Asmita and Neelabh) and inquires about the old used stroller in the corner. Maurice thinks this is his lucky day since he would really like to sell the Prego stroller as it is an eyesore in his shop. He bought the used stroller for $200 from a distributor. A few months after he bought the used stroller, Prego suffered some bad press due to some stroller recalls and he has not been able to sell it since. He would like to sell the stroller
that has been sitting in his store now for three years. Three years ago Maurice did a maintenance check on it, but has not done one since then. Every penny counts, so he would like to sell the stroller for a profit or at least not lose his money. Maurice also knows that the stroller is an older model and he is not sure when he would get another interested buyer. However, he would rather do without the sale then sell it for less than he bought it for. The closest used stroller store is in the big city—at least an hour and a half drive.
© [2023] Emond Montgomery Publications. All Rights Reserved.
|
AIRWAY FOCUSED ORTHODONTICS
BROCK RONDEAU, D.D.S. I.B.O., D.A.B.C.P., D-A.C.S.D.D., D.A.B.D.S.M., D.A.B.C.D.S.M.
Dr. Rondeau has been treating children’s orthodontic orthopedic problems for over 35 years and has taught over 24,000 dentists worldwide. He recommends early orthodontic treatment for children utilizing a functional philosophy which is a non-extraction, non-surgical approach. By developing the arches with functional appliances he avoids the extraction of permanent teeth. He utilizes functional appliances to reposition the lower jaw forward which prevents orthognathic surgery and future TMJ and snoring and sleep apnea problems.
Treatment must be implemented to prevent children from mouthbreathing which causes malocclusions and many health problems such as ADHD, aggressive behaviour, poor marks in school, bedwetting, bruxism, snoring and sleep apnea.
Since 75% of children and adults have a malocclusion general dentists need to take courses in order to treat them. Parents are looking for general dentists to help not only improve the appearance of their children but also increase their overall health by creating beautiful, broad smiles, patent airways and healthy TM joints.
Recently the term has emerged “Airway Orthodontics”. This used to be known as “Functional Jaw Orthopedics” which I have been practicing and teaching for over 35 years. It basically addresses the need to think about the importance of ensuring a patent airway when treating the patients malocclusion. It also stresses the importance of early orthodontic treatment for children. Unfortunately in most North American undergraduate dental programs as well as graduate orthodontic programs the early orthodontic treatment of children is not taught on a consistent basis. Functional jaw orthopedics is basically treating the skeletal problems early to ensure that the patient has a patent airway which is the key to health. Everyone, including children, need to be able to breathe through their nose and an adequate amount of oxygen is again the key to proper growth and health. Airway obstructions which can cause sleep apnea in children prevents the child from obtaining Stage 3 sleep which restricts the production of growth hormones that significantly restricts their growth as well as brain development.
BLOCKED AIRWAY
LACK OF SLEEP IN CHILDREN
- RESTRICTS GROWTH
- POOR ACADEMIC PERFORMANCE
- ADHD (ATTENTION DEFICIT HYPERACTIVITY DISORDER)
It has been estimated that 70% of children have a malocclusion. Since 90% of the face is developed by age 12 it is extremely important to treat our children early if we want to guide and possibly modify the growth of our younger patients. The key to achieving beautiful broad smiles which all children and adults desire is to develop the arches with functional appliances preferably at an early age. This arch
development has a positive effect on the airway. It converts many children from mouthbreathing to nasal breathing which is one important key to good health. Children with crooked teeth, deficient mandibles, protruding upper teeth, etc., are extremely self-conscious. When these problems are solved their self-image improves and they become more positive which helps ensure a better future for them. Parents seek out orthodontic practitioners that can improve the appearance and the health of their children.
Researchers commonly find that airway obstruction that causes breathing disorders is associated with a variety of mental challenges. ADHD in children and adults, anxiety depression, irritability, memory deficits, inability to concentrate and decreased alertness.\(^1,2,3\)
Studies have shown that children with obstructed airways have more behavioural problems in school. Dr. David Gozal found that airway obstruction in children such as sleep apnea can reduce a child’s IQ by 10 points.\(^4\) Dr. Gozal also found that children with airway obstruction often developed more physiological changes that often lead to heart disease. The good news is that children that have had their enlarged tonsils removed experienced some reversal of this problem.\(^5\)
The first thing a clinician must observe is that is the child a mouth breather or nasal breather. Most nasal breathers have a normal swallow which involves the tongue touching the roof of the mouth each time which expands the maxilla. This does not happen with mouth breathers as the tongue does not expand the maxilla upon swallowing but rather expands the mandibular arch. This leads to a constricted maxillary arch. The constricted maxillary arch often moves the tongue too far back which blocks the airway which leads to snoring and sleep apnea. This constricted upper arch often causes our younger patients to have dental crowding (malocclusion). The ideal treatment is to expand the maxillary arch with functional appliances to eliminate the crowding. This eliminates the crowding and also makes more room for the tongue which helps improve speech and prevents sleep apnea. Narrow maxillary arch can also limits the ability to breathe through the nose. Nasal breathers receive 20% more oxygen then mouth breathers.
I believe the key to a proper airway and indeed optimum health is to first establish a proper size maxillary arch. The roof of the mouth (palate) is the floor of the nose. When the maxillary arch and palate are expanded to normal this expands the nasal cavity both horizontally and vertically which frequently transforms a mouth breather into a nasal breather. This constriction of the maxillary arch often causes the mandible to go posteriorly which causes a skeletal Class II malocclusion. If the mouth breathing causes a constriction of the maxillary arch which causes a Class I crowded malocclusion then the logical treatment plan would be to expand the constricted maxillary arch to normal to make room for all the permanent teeth with fixed or removable functional appliances.\(^6\) Unfortunately many orthodontic clinicians have not been trained to think this way and they choose to extract bicuspid to make room for the permanent teeth. This further constricts the maxillary arch and leads to many health problems including TM Dysfunction and sleep apnea.\(^7,8\)
The key to proper treatment of children with airway problems is to first make the correct diagnosis. What is the cause of the airway obstruction? I have included a copy of the Pediatric Sleep Questionnaire that should be given to all children to help diagnose the problem.
**BRUXISM**
Bruxism is extremely common among children and adolescents with airway obstruction. One in four patients with sleep apnea grind their teeth at night according to research at Baylor University.\(^9\) When there is an airway obstruction children snore, stop breathing (sleep apena) and then brux by moving their lower jaw forward to open the airway.\(^10\) The term is called “Sleep Bruxism”. The treatment is to place composite buildups on the lower primary molars to open the vertical which will open the airway.
**Three ways to open the airway:**
1. Expand the maxillary arch with functional appliances. Open the airway horizontally.
2. Advance the mandible with functional appliances. Open the airway anteriorly.
3. Composite buildups lower primary molars open the airway vertically.
If the cause of the Class II skeletal malocclusion is the mouth breathing causing the constriction of the maxillary arch and which then causes the mandible to go posteriorly it would seem that the treatment of choice would be as follows:
1. Expand the maxillary arch back to its normal width in order to accommodate the mandible which will then be moved forward to its correct Class I position.
2. The utilization of a functional jaw orthopedic appliance, fixed or removable, to reposition the lower jaw forward to its original Class I skeletal position from the Class II skeletal retrognathic position.
The first priority of any malocclusion involving dental crowding is to address the problem of a constricted upper arch. Ideally the child’s jaw should be U-shaped not V-shaped. Narrow V-shaped arches cause crooked teeth and malocclusions. V-shaped arches create a narrow palate which often causes a deviated septum, obstructs the nasal airway and encourages mouthbreathing. To help evaluate the width of the maxillary arch I recommend the placement of a cotton roll between the upper first permanent molars. The length of the cotton roll is 37 mm which is the ideal width of the first molars in permanent detition. If the child is a nasal breather the maxilla will expand approximately \( \frac{1}{2} \) mm per year. Girls grow to approximately age 15 and boys to approximately age 17. Mouth breathers will expand more slowly since the tongue does not expand the maxilla upon swallowing. One important key is that is their room for the eruption of the upper and lower lateral incisors. If there is not adequate room for the laterals incisors then the arches must be developed so there is room for the central and lateral incisors in both the maxillary and mandibular arches.
**CASE STUDY, MALE AGE 8**
**Diagnosis:**
- Constricted upper arch
- Intermolar width 27 mm.
- No room laterals
- Males will grow until age 17.
**Treatment plan:**
- Must expand maxillary arch to 35 mm to eliminate crowding when the permanent teeth erupt.
- Maxillary Schwarz Appliance
- Expand arch to 35 mm
- Eliminate crowding
We’re back in the classroom this September! Enjoy $100 off the course fee with this ad
BROCK RONDEAU
D.D.S., I.B.O., D.A.B.C.P., D.A.C.S.D.D., D.A.B.D.S.M., D.A.B.C.D.S.M.
DIPLOMATE INTERNATIONAL BOARD OF ORTHODONTICS
DIPLOMATE AMERICAN BOARD OF CRANIOFACIAL PAIN
DIPLOMATE ACADEMY OF CLINICAL SLEEP DISORDERS DISCIPLINES
DIPLOMATE AMERICAN BOARD OF DENTAL SLEEP MEDICINE
DIPLOMATE AMERICAN BOARD OF CRANIOFACIAL DENTAL SLEEP MEDICINE
Course Objective & Content
The purpose of this comprehensive program is to teach general and pediatric dentists how to diagnose and treat simple orthodontic cases. Emphasis will be placed on thorough records and diagnosis. Treatment will involve using a combination of functional appliances, mainly in mixed dentition and fixed orthodontic braces (straight wire technique) in permanent dentition. Dr. Rondeau’s systematic approach, organization and marketing tips make incorporating orthodontics into the general practice relatively easy.
Session 1. Early Treatment Mixed Dentition, Functional Appliances, Diagnostic Records, Cephalometrics, Practice Management
Session 2. Straight Wire Mechanics, Class II Treatment, Twin Block”, Rick-A-Nator”, Carriere Motion 2, Bracketing, Banding of Molars, Archwires
Session 3. TMJ in Orthodontics, Sagittal & Tandem Appliance, Class III, Splint Therapy, Joint Vibration Analysis, Carriere Motion Appliance 3, Myofunctional Appliances
Session 4. MARA™ Appliance, Open Bite Cases, Impacted Cuspids, Clear Braces, Case Finishing, Retention, Snoring & Sleep Apnea, Clear Aligners, Molar Distalization
Toronto, ON
Session 1 .................................................. September 23 & 24, 2022
Session 2 .................................................. November 18 & 19, 2022
Session 3 .................................................. January 20 & 21, 2023
Session 4 .................................................. March 3 & 4, 2023
Participants must register 30 days prior to the course
Dates and hotels are subject to change
Per Session Fee: $1,095 (plus applicable taxes)
Includes extensive course manual
Payment in Full: $3,980 (plus applicable taxes)
for all 4 sessions – SAVE $400
Includes 4 course manuals
Bonus for Full Payment:
• Bring 2 staff members to Level I Session I at no cost
• Free patient education video online access featuring 6 interceptive ortho cases
Earn a Total of 138 Continuing Education Hours!
(upon completion of all tests and lab exercises)
Internet Course Available
Rondeau Seminars (Canada) Inc.
PACE Provider for FAGD/MAGD Credit
Approval does not imply acceptance by any regulatory authority or AGD endorsement.
5/17/2021 to 2/29/2024
Provider ID# 217433
1-877-372-7625
rondeauseminars.com
Rondeau Seminars reserves the right to cancel or reschedule any portion of the seminars due to insufficient enrollment or scheduling conflicts. Cancellation policy in effect. Plus taxes where applicable.
CONSTRICITED MAXILLARY ARCH
SEVERE BRUXISM
NO ROOM FOR LATERAL INCISORS
27 mm
CAUSES OF BRUXISM
AIRWAY OBSTRUCTION
PATIENT’S BRUX TO OPEN THE AIRWAY
ENLARGED TONSILS
CAUSES ANTERIOR TONGUE THRUST
CHRONIC TONSILLITIS
PUSH TONGUE FORWARD DUE TO PAIN AND DECREASES IN THE AMOUNT OF SPACE WHICH CAUSES AN ANTERIOR TONGUE THRUST.
TARVADE, SUCHITA MADHUKAR, AND SHEETAL RAMKRISHNA. "TONGUE THRUSTING HABIT: A REVIEW." INT J CONTEMP DENT MED REV 2015 (2015): 1-5.
ANOTHER STUDY SUGGESTS THAT THERE IS A POSITIVE CORRELATION BETWEEN SLEEP DISORDERS AND BRUXISM. THERE WAS AN IMPROVEMENT IN BRUXISM AFTER TONSILS AND ADENOID SURGERY.
DIFRANCESCO, RENATA C., ET AL. "IMPROVEMENT OF BRUXISM AFTER T & A SURGERY." INTERNATIONAL JOURNAL OF PEDIATRIC OTORHINOLARYNGOLOGY 68.4 (2004): 401-405.
TREATMENT PLAN
REFER TO EAR NOSE THROAT SPECIALIST FOR EVALUATION AND REMOVAL OF TONSILS
TREATMENT PLAN
EXPAND MAXILLARY ARCH
SCHWARZ APPLIANCE
1 MIDLINE SCREW
ADAM’S CLASPS FIRST MOLARS
ADAM’S CLASPS SECOND PRIMARY MOLARS
SCHWARZ EXPANDED MAXILLA
ROOM FOR LATERALS
27 mm + 8 mm = 35 mm
CROOKED FRONT TEETH
LINGUAL BONDED RETAINER
27 mm
35 mm
CROOKED TEETH
STRAIGHT TEETH
AGE 8
AGE 12
PREVENT RELAPSE
T.P. ARCH PREVENT RELAPSE
EFFECTS ON AIRWAY
ENLARGED TONSILS REDUCE THE SIZE OF THE PHARYNGEAL AIRWAY
SURGICAL REMOVAL OF ENLARGED TONSILS HAS A SIGNIFICANT IMPROVEMENT OF THE AIRWAY REDUCED BRUXISM
BLOCKED AIRWAY
LACK OF SLEEP IN CHILDREN
1. RESTRICTS GROWTH
2. POOR ACADEMIC PERFORMANCE
3. ADHD (ATTENTION DEFICIT HYPERACTIVITY DISORDER)
OBSTRUCTED AIRWAY
SLEEP APNEA
PROBLEMS PAYING ATTENTION IN SCHOOL
OFTEN TIRED
BEHAVIOUR PROBLEMS
MISDIAGNOSED ADHD
CONSTRICED ARCH
BROAD ARCH
AGE 8
AGE 12
REMOVAL TONSILS ADENOIDS
IMPROVEMENT IN BEHAVIOR
ATTENTIVENESS IN SCHOOL
INCREASE LEVEL OF ENERGY
INCREASE ACADEMIC PERFORMANCE
INCREASE GROWTH AND DEVELOPMENT
ELIMINATE NOCTURNAL ENURESIS
CROOKED TEETH
STRAIGHT TEETH
AGE 8
AGE 12
FEE PHASE I $3,000
SCHWARZ APPLIANCE
BRACES 6 FRONT TEETH
TP ARCH
LINGUAL BONDED RETAINER
PARENTS HAPPY. NO UPPER AND LOWER BRACES ON PERMANENT TEETH
SAVED $4,000
BROAD SMILE
CHAPTER
SCHWARZ APPLIANCE
FACT “Ugly teeth do not kill people. Collapsed airways do.”
Signs of Airway Obstruction
1. Narrow V-shaped maxillary arch
2. Mouth breathing
3. Open mouth posture
4. Snoring
5. Bed wetting
6. Chronic ear infections (enlarged adenoids)
7. Dark circles under eyes
8. Restless sleep
9. Crooked teeth (constricted arch)
10. Falling asleep at school
11. Hyperactivity
12. Aggressive behavior
13. Undersized, weight
14. Bruxism
15. Chronic allergies
16. Enlarged tonsils
17. Morning headaches
18. Low grades in school
The advantages of expanding the maxilla is that it opens the nasal airway and helps improve nasal breathing. Another benefit of a broad upper arch would be more room for the tongue which would make it easier for the patient to speak. Other advantages include making room for all the permanent teeth thereby eliminating the need for the extraction of permanent teeth. The patient ends up with straight teeth and a beautiful broad smile.
It is extremely important for orthodontic clinicians to learn to treat children’s malocclusions early and to develop the upper and lower arches with removable or fixed functional appliances in order to avoid extraction of permanent teeth. We must constantly implement treatment plans for our younger patients that develop arches and not cause constricted arches by extracting permanent teeth. Parents are becoming more educated today and they will seek out orthodontic clinicians who are ‘Airway Focused’ and not extraction oriented. The long term health our children depends on our treating them with a functional jaw orthopedic approach.
PROPOSED ACTION PLAN
1. Screen all children with the Pediatric Questionnaire included in this article.
2. Educate your entire team to all look for signs of airway obstruction.
3. Educate your entire team about the importance of treating children’s malocclusions and airway obstructions early with functional appliances.
4. Evaluate mouthbreathing and nasal breathing.
5. Watch free webinars at www.rondeauseminars.com on early orthodontic treatment.
6. Make a commitment to educate yourself and your team to help improve the overall health of your patients by treating children’s malocclusions early.
7. Register yourself and your team to take the Airway Focused Orthodontic course for general dentists and separate courses for team members. All orthodontic courses also available online.
Pediatric Sleep Questionnaire
Date: ____________________________
Patient Name: _______________________
Date of Birth: _______________________
| WHILE SLEEPING DOES YOUR CHILD…. | YES | NO | DON’T KNOW |
|----------------------------------|-----|----|------------|
| Snore more than half the time? | | | |
| Always snore? | | | |
| Snore loudly? | | | |
| Have “heavy” or loud breathing? | | | |
| Have trouble breathing or struggle to breathe? | | | |
| HAVE YOU EVER… | YES | NO | DON’T KNOW |
|----------------|-----|----|------------|
| Seen your child stop breathing during the nights? | | | |
| DOES YOUR CHILD… | YES | NO | DON’T KNOW |
|------------------|-----|----|------------|
| Tend to breathe through the mouth during the day? | | | |
| Have a dry mouth on waking up in the morning? | | | |
| Occasionally wet the bed? | | | |
| Wake up feeling un-refreshed in the morning? | | | |
| Have a problem with sleepiness during the day? | | | |
| Has a teacher or other supervisor commented that your child appears sleepy during the day? | | | |
| Is it hard to wake your child up in the morning? | | | |
| Did your child stop growing at a normal rate at any time since birth? | | | |
| Is your child overweight? | | | |
| THIS CHILD OFTEN… | YES | NO | DON’T KNOW |
|-------------------|-----|----|------------|
| Does not seem to listen when spoken to directly. | | | |
| Has difficulty organizing tasks. | | | |
| Is easily distracted by extraneous stimuli. | | | |
Total number of “Yes” responses:
If eight or more statements are answered “yes”, consider referring for sleep evaluation.
References
1. Johal A. Health-related quality of life in patients with sleep-disordered breathing: Effect of mandibular advancement appliances. J. prosthodont Dent 2006;96(4):298-302.
2. Itzhaki S., Dorchin H., Clark G., Lavie L., Lavie P., Pillar G. The effect of 1-year treatment with herbst mandibular advancement splint on obstructive sleep apnea, oxidative stress, and endothelial function. Chest 2007;131(3):740-749.
3. Weisbluth M, Davis AT, Poncher J, Reiff J. Signs of airway obstruction during sleep and behavioral, developmental, and academic problems. J Dev Behav Pediatr 1983;4(2):119-121.
4. Gozal D. Sleep-disordered breathing and school performance in children. Pediatrics 1998;102(3 pt 1):616-620.
5. DiFrancesco, Renata C., et al. "Improvement of bruxism after T & A surgery." International journal of pediatric otorhinolaryngology 68.4 (2004): 441-445.
6. Lawton HM., Battagel JM., Kotecha B A A comparison of the Twin Block and Herbst mandibular advancement splints in the treatment of patient with obstructive sleep apnea: A prospective study. Eur J Orthod., 2005;27(1):82-90.
7. Tarvade, Suchita Madhukar, and Sheetal Ramkrishna. "Tongue thrusting habit: A review." Int J Contemp Dent Med Rev 2015 (2015): 1-5.
8. Raskin S, Limme M, Poirier R. Could mouth breathing lead to obstructive apnea syndrome. A preliminary study (article in French). Orthod fr 2000;71(1):27-35.
9. Restrepo, CC., Gomez, S., Manrique R. Treatment of bruxism in children: A systematic review November 2009 Quintessence international (Berlin, Germany: 1985) 40(10):849-55.
|
Hi All
As the weather warms up, it is time to think of more rides. We have plenty of blank Sundays over the next couple of months, so if you would like to go to a particular destination, now is the time to put your hand up. There will be plenty of support for first time ride leaders so there is nothing to stop you. Just see our Ride Coordinator Reg and let him know.
Alan Leahy’s Memorial Service: It was good to see so many from our branch attend the service and also very pleasing to see so many from other branches as well. It was a very moving service as many of us will remember Alan with great fondness.
Welfare Officer: Deb Johnson has offered her services for this important role. She may be contacted on 0424658877. Please let her know if you are not well or if you know of one of our members who needs some help.
We are still looking at an alternate venue for our Branch meetings, so if you have a suggestion, please let one of the Committee members know. We need a place which has a relatively quiet meeting room to cater for up to 50 which does not charge a lot for the room or a fixed price per head. The “gold coin donation” is our preferred way of covering the room cost. We need a fixed booking, not a place where we have to work around special events. We also need to be able to store our Quartermaster’s cabinet and last but certainly not least is good food at a reasonable price.
Christmas Party: Tony Collins has kindly offered his home as the venue for our Christmas Party which will be held on Saturday 8th December from 11:00 am. Help will be required from 9:30 am to set up the shade structure. Please let Tony know if you are able to assist. If coming by car, could you please bring a chair. Meats and condiments will be provided but salads and deserts will be required. Please let Tony know if you are coming and if you will be bringing food. We expect costs will be $25 per head and only $15 for those bring food. Details for payment etc will be provided shortly.
John Peffer 40751
President Ulysses Fremantle Branch
Proud Web Sponsors
Chain Reaction: Call 08 9258 5600
Custom Bike Electrics: Call 08 93542270
Willetton Exhaust: Call 08 9354 5004
Mobile Travel Agents: Call 0466 254 332
All Motorcycle Electrical Diagnostics & Repairs
Full Bike Restorations
Joel Pughese
9354 2270
0407 771 057
www.custombikeelectrics.com.au
Premila Dawson
International Mobile Travel Consultant
m: 0466 254 332
p: 1300 365 688 Ext 306
e: email@example.com
www.mtatravel.com.au/pdawson
FREMANTLE BRANCH MEETING
2ND TUESDAY OF THE MONTH AT THE
LEOPOLD HOTEL 326 CANNING HWY BICTON WA.
The committee is the servant of the Group, not the Master
2017/2018 COMMITTEE:
President John Peffer Member 40751
firstname.lastname@example.org
Secretary/Treasurer Mark Gilbert Member 62437
email@example.com
Committee Julie Dally Member 67503
Paul Turner Member 61557
Reg Williamson Member 60253
Mick KatarSKI Member 55306
Ride Coordinator Reg Williamson Member 60253
firstname.lastname@example.org
Wheezy Rider Editor Mick KatarSKI Member 55306
email@example.com
Web Master Ron Spencer Member 53780
firstname.lastname@example.org
Quartermaster Paul Turner Member 61557
email@example.com
Membership Inquiries John Peffer Member 40751
firstname.lastname@example.org
AROUND THE BRANCHES
ARMADALE BRANCH
Richard Peddel 93908764
BUNBURY BRANCH
Trevor Rose 0407998872 email@example.com
ESPERANCE BRANCH
Steve Smith (Homer) firstname.lastname@example.org
GERALDTON BRANCH
Bruce Ralph 08-99642392 0427-642-392
Bruce Ralph email@example.com
JOONDALUP GROUP
Ken Eaton 0893012727 firstname.lastname@example.org
MANDURAH BRANCH
President email@example.com
Secretary firstname.lastname@example.org
PERTH BRANCH
John Gliddon 93320440 0417-945-789
WARNBRO SOUND WANDERERS
Julie Wilcox, Branch President, 9593 1905
Chris Glover, Branch Secretary, 0419 919 275
Pauline Marwick, Branch Treasurer, 0418 957 668
GREAT SOUTHERN BRANCH
Ray Prior 0898429293 email@example.com
KALGOORLIE
Andrew Mason 0890914220 0419922860
WEB ADDRESSES
National Ulysses site: www.ulyssesclub.org
Fremantle Ulysses site: www.ulyssesfremantle.com
Note: Next meeting, Tuesday 9th October 2018
Plods and Saturday morning coffee
Wednesday morning Plods meet at South Beach for a 9:30am start.
Any enquiries regarding plods can be directed to any of the following:
Will Duncan 0403014197
Patrick Hayes 0414756452
Mick Webb 0893396874
The Saturday morning coffee get together will also continue to take place at the former site of the Victoria Café, however commencement will be from 9.00am.
DISCLAIMER. All expressions of opinion are published on the basis that they are not to be regarded as expressing the official opinion of the Ulysses Club but are included for general interest only. The Ulysses Club Fremantle accepts no responsibility for the accuracy of any of the opinions or information contained in the Wheezy Rider and readers should rely on their own enquiries in making any decisions touching their own interest. Errors and omissions excepted. Publication of articles at Editor’s discretion.
THE BREAKFAST CLUB IS HERE
Another great turnout at the Kalamunda Pub - Thanks Swan Valley Hills
Next Breakfast Club
Saturday September 29th @ 9.30am
(week after the Odyssey)
Back to where it all started in the West
KELLY’S CAFE
CNR CAMPBELL ROAD AND BIRNAM ROAD CANNING VALE
Hosted by the Armadale Branch
Please TXT Tony with your branch numbers ASAP to help with booking - 0419830062
Free Wine Raffle as usual
Coming up
October - Bunbury 11.00am Brunch
November - Warnbro Sound Serpentine Cafe
December - Joondalup Kings Park BBQ
More Information
Tony- 0419830062
Ken - firstname.lastname@example.org
Some shots from the Memorial Ride to Lake Leschenaultia
A WARM WELCOME AWAITS YOU
AT THE YERECOIN TAVERN
GREAT HOME COOKED MEALS
COLDEST BEER FOR MILES
B B Q FACILITIES. LIMITED OVER NIGHT ACCOMMODATION
DISCOUNT ON ADVANCE GROUP BOOKINGS
SECURE PARKING FOR BIKES
CONTACT YOUR HOSTS CHARLIE & DI CLARKE [Ulysses members]
PHONE 9654 6032
E MAIL email@example.com
For those dealing with depression before/during/after addiction rehab we have been requested to promote Dr Keenan’s guide for those requiring more information.
Dr Keenan’s guide can be accessed via the following link:
https://www.inpatientdrugrehab.org/depression/
WA Companies who support the Ulysses Club
(Please ensure you supply Club ID)
American Motorcycles,
211 Albany Highway Victoria Park WA 6100
Tel: (08)9361 4884. 10% Discount on most after market parts and workshop
Five Star Yamaha,
54 Rockingham Rd Hamilton Hill WA 6163
Tel: 08 9430 4090
Up to 20% Discount on parts and accessories
Hoon’s Workshop,
U3/5 Church Road, Maddington WA 6109
Tel: Vince 9493 5444. Trailer, Towbars, Bike Modifications & Custom Parts painted or chromed & more..... By a Ulyssian for Ulyssians
In City Used Motorcycles Pty Ltd.,
614 Albany Highway Victoria Park WA 6100
Tel: 08 9470 4446. Special Ulysses discount
Kim Britton Kawasaki,
2/91 Dickson Road Rockingham WA 6168
Tel: 08 9592 1113
Special Ulysses price on application
Mack 1 Motorcycles,
237 Great Eastern Highway Midland WA 6056
Tel: (08) 9250 2522. 15% Discount on access and 5% Discount for tyres plus free fitting
Motomax,
Dealer for Royal Enfield, Benelli, Sherco, SWM and Cfmoto. Motorcycle sales, service and parts.
28 Hutton St Osborne Park WA 6017. Ph. 9244 4441 or Ric Steele 0417 977 937. http:www.motomax.com.au/ 15% Discount
Motorcycles Plus,
126 Kewdale Road, Kewdale WA 6105
Tel: (08) 9353 4567. 10% Discount on parts, labour and repairs and tyres
Rockingham Powersports,
59 Dixon Road Rockingham WA 6168
Tel: (08) 9527 5093 10% Discount
Total Motorcycle Accessories,
1028 Albany Highway East Victoria Park WA 6107
Tel: (08) 9472 3030
Special Ulysses price on application
Tyres for Bikes,
621 Albany Highway, Victoria Park, WA 6100
Tel: 08 9362 6262. 10 % Discount
Some shots from Paul’s ride to Boddington
Some shots from Col’s ride to Lake Clifton Tavern
23 Things You Never Knew About Motorcycles
By Tim Watson - June 25, 2013
There is it seems some debate as to what was the first ever motorcycle made. Some think it was the coal-powered SH Roper from 1869, while others say the first proper motorcycle was Gottlieb Daimler’s wooden-framed gasoline engine version of 1885.
I’m a sucker for trivia and useless information so I attempted to do some research with books and the internet about this but instead found myself lost in a myriad of weird facts and stories about motorcycles that took on a life all of its own.
Here’s a little of some of the more diverse things that I discovered and whilst some of you may already be aware of these I was genuinely surprised about some of the thing I learned.
- The name Hayabusa, as used by Suzuki, is actually a Peregrine falcon as well as a World War 2 Japanese Kamikaze fighter plane – the Nakajima Ki-43 known more widely as the Zero.
- Did you know that modern sports bike tyres do not contain any actual rubber? The tread of a tire is composed of synthetic rubber, which has been compounded to give a compromise between durability and traction.
- The longest distance riding a motorcycle in 24 hours is 2,019.4 miles and was set by American L. Russell “Rusty” Vaughn at the Continental Tire Test Track, Uvalde, Texas, USA, on 10 August 2011. Vaughn used his own 2010 Harley-Davidson FLHTK Electra-Glide Limited for the attempt and completed 238 laps of the test track and earned himself a place in the Guinness Book of World Records.
- I didn’t realize in the world of cinema Steve McQueen’s infamous 65 ft motorcycle jump in the film The Great Escape was actually done by American Triumph dealer Bud Ekins who did it in just one take.
- Nor was I aware that in the 1970s TV cop series CHiPs, actors Larry Wilcox and Erik Estrada rode Kawasaki Z1000s with BMW fairings and that prior to the show Estrada underwent an intensive eight-week course, to learn how to ride. In 2007 it was revealed that Estrada didn’t actually have a motorcycle license during the time CHiPs was in production, and he only qualified after three attempts, while preparing for an appearance with a motorcycle on a later reality television show.
- I tried to find out what happened to the motorcycles used in the 1970s cult film Easy Rider and opinions on web sites range from both bikes being destroyed during filming to actor and Grizzly Adams TV star Dan Hegarty apparently owning one. But there appears to be more Easy Rider motorcycles out there for sale than were ever actually made for the film. So I got no further with this.
• Nobody it seems knows either what exactly happened to Marlon Brando’s Triumph 650 Thunderbird motorcycle from the film ‘The Wild One’. Some people claimed that it was Brando’s own motorcycle that he agreed to ride on the set. Thereafter the trail goes cold. Surprisingly Johnson Motors, which imported Triumph to the USA, was at the time very unhappy about the Triumph logos being seen on Brando’s bike and asked unsuccessfully for them to be taken off the gas tank when filming started.
• The first company that advertised its motorcycle’s top speed of over 100mph was Brough Superior that made the claim for its SS100 in 1924. Considered even today to be innovative and beautifully designed machines, Brough motorcycles were the first to have prop stands, twin headlights, crash bars, interconnected silencers and 1000cc v-twin engines. Every SS100 was road tested (yes on public roads) to check that it could reach 100mph. If it didn’t it was returned to the factory for further work.
• Engineering genius and owner of Brough Superior, George Brough, also wrote all of his company’s advertising copy describing his motorcycles as “atmosphere disturbers”.
• Some of today’s motorcycle companies are more diverse than you would ever believe. Many started from humble beginnings such as Ducati which was a family-owned firm that opened in Bologna, Italy, in 1935 making parts for radios before building motorized bicycles fitted with a 48cc SIATA engine. By 1950, more than 200,000 of these Ducati ‘Cucciolos’ (Italian for puppy) had been sold and two years later the company started making its own motorcycles and engines.
• Aside from making bikes today Kawasaki also manufacturers personal watercraft, ships, electronics, construction equipment tractors, trains, helicopters, jet engines, missiles and space rockets.
• While rival Yamaha began life in 1887 as a piano manufacturer but today is a multi-national conglomerate which still produces musical instruments, but also boats, car engines, swimming pools, industrial robots, wheelchairs, RVs, electronics, and golf carts amongst other things and motorcycles.
• Suzuki began life at the turn of the 20th Century making weaving looms for Japan’s then burgeoning silk industry. However, company founder Michio Suzuki wanted to diversify his company and began an engineering firm that started making small cars and its own engines during the 1930’s. The first Suzuki motorcycle appeared in 1952 and was really a motorized bicycle called a Power Free. It was fitted with a two-stroke 36cc engine and was unique at the time as it featured a double-procket gear system that allowed the rider to either pedal with engine assistance, pedal without the engine or simply disconnect the pedals and use the engine. Today, aside from the production of motorcycles, Suzuki makes cars, marine engines, wheelchairs and is Japan’s second largest manufacturer of small cars and trucks.
• In 1946 Honda began selling pushbikes fitted with two-stroke 50cc generator engines originally designed for use with army field telephones. And 46 years later on it launched arguably the most technically complex production motorcycle ever made with the 1992 Honda NR750. The NR boasted oval pistons with two con rods and eight valves per cylinder. Designed initially as a race bike, Honda made 300 road-going versions of the NR available to the public and at the time it was considered one of the most expensive motorcycles you could buy.
There is so much technical information about motorcycles out there that it’s hard to choose one interesting fact over another. But here are a few points that leapt out at me.
• The gearshift lever on a motorcycles was invented by Harold Willis, of Velocette Motorcycles, in 1927 prior to that motorcyclists relied on a system of a foot clutch and hand shifter.
• In 10,000 miles the average four-cylinder motorcycle engine will have completed 100,000,000 revolutions and it’s estimated that a con-rod of a modern sports bike engine at full revs withstands 10 tons of compression and tensile forces 500 times a second.
• BMW was the first manufacturer to patent and use telescopic forks on its R12 in 1932, yet ironically does not use the system on its big bikes today.
And although BMW claims it has been making Boxer twin engines for its bikes since 1923, production actually stopped for a few months in 1986 when the company thought all of its bikes in the future should have triples and four-cylinder engines. Customer demand persuaded BMW to continue with the Boxer and the production line was re-started again.
Recognized around the world as a leader in crash helmets manufacture for both on the race track and road, ARAI was actually a hat making company founded in Japan in 1926 making headgear for the construction industry. Company founder Hirotake Arai was once a motorcycle stunt rider and the company is still privately owned today and run by the third generation of the Arai family.
When I started out on my research to find out precisely the first production motorcycle ever made (which incidentally is purported to be a 148cc 2.5 hp Hilberand Wolfmuller built in Germany from 1894–1897) I never envisioned I would get so distracted by the huge amount of facts and figures out there about motorcycles. But I did learn a thing or two.
---
**Opel Motorcycles**
(Excerpt from cybermotorcycle.com)
Adam Opel founded the Opel Company in 1863 to make sewing machines and bicycles, and by the mid 1920s they were the largest producer of bicycles in the world.
Motorcycle production was over three periods, the first between 1902 and 1907. From the Armistice of 1918 through to 1923 they built motor bicycles with the liquid-cooled engine powering the rear wheel. Franz Gnädig, who was previously a partner in the famous K.G. Krieger-Gnädig firm joined Opel in 1928, and this marked the beginning of the third phase of motorcycle production. The company purchased the rights to Ernst Neumann-Neander’s brilliant Neander motorcycle, and they began building it as the Opel Motoclub, a stunning 500cc OHV 1 machine in red and silver. The design utilised a pressed metal frame which allowed drastic reduction of the hours required for assembly.
Photos compiled courtesy of Lost Perth (Facebook)
Opened 1897
Closed 1989
Top: A woman and child in a car seat, smiling at the camera.
Bottom: A view down a road with trees on either side, leading to a building with a sign that reads "Highway 101."
Mills & Ware's
QUALITY BISCUITS
SOME LIGHT HUMOUR
"You told me you'd spend your whole life trying to make me happy."
"I didn't expect to live this long."
"I can't say I'm entirely pleased with my hip replacement."
PUSH
If That Doesn’t Work
PULL
If That Doesn’t Work
We Must Be Closed.
TODAYS OFFER
Buy ANY 2 drinks & pay for them both....
An Aussie Poem
The sun was hot already - it was only 8 o'clock
The cocky took off in his Ute, to go and check his stock.
He drove around the paddocks checking wethers, ewes and lambs,
The float valves in the water troughs, the windmills on the dams
He stopped and turned a windmill on to fill a water tank
And saw a ewe down in the dam, a few yards from the bank.
"Typical bloody sheep," he thought, "they've got no common sense,
"They won't go through a gateway but they'll jump a bloody fence."
The ewe was stuck down in the mud, he knew without a doubt
She'd stay there 'til she carked it if he didn't get her out.
But when he reached the water's edge, the startled ewe broke free
And in her haste to get away, began a swimming spree.
He reckoned once her fleece was wet, the weight would drag her down
If he didn't rescue her, the stupid sod would drown.
Her style was unimpressive, her survival chances slim
He saw no other option, he would have to take a swim.
He peeled his shirt and singlet off, his trousers, boots and socks
And as he couldn't stand wet clothes, he also shed his jocks.
He jumped into the water and away that cocky swam
He caught up with her somewhere near the middle of the dam.
The ewe was quite evasive, she kept giving him the slip
He tried to grab her sodden fleece but couldn't get a grip.
At last he got her to the bank and stopped to catch his breath
She showed him little gratitude for saving her from death.
She took off like a Bondi tram around the other side
He swore next time he caught that ewe he'd hang her bloody hide.
Then round and round the dam they ran, although he felt quite puffed
He still thought he could run her down, she must be nearly stuffed..
The local stock rep came along, to pay a call that day.
He knew this bloke was on his own, his wife had gone away,
He didn't really think he'd get fresh scones for morning tea
But neither was he ready for what he was soon to see.
He rubbed his eyes in disbelief at what came into view
For running down the catchment came this frantic-looking ewe.
And on her heels in hot pursuit and wearing not a stitch
The farmer yelling wildly, "Come back here, you lousy bitch!"
The stock rep didn't hang around, he took off in his car
The cocky's reputation has been damaged near and far
So bear in mind the Work Safe rule when next you check your flocks
Spot the hazard, assess the risk, and always wear your jocks!
|
Happy Fall Season!
Editor's Note
The summer is coming to a close and the kids are headed back to school. For many of the masters swimmers, we are entering our fall season, getting back to indoor swimming, and training for the next competition. But before that, our swimmers had had a busy summer with various open water and pool swim meets. From our North Carolina state championship at Goldsboro to the Dixie Zone competition at Greenville SC to the USMS Nationals meet at Geneva OH, our NC masters swimmers were well represented. Fun open water race at Lake Luke and a charity swimming event Lake Jocassee had participations from many NC teammates as well.
My objective is to recap on the excitement from this summer and keep you up-to-date on swimming events happening in our state and around the country. I appreciated the photos and write-up contributions from many of you, masters swimmers in North Carolina, and please keep them coming. We want to hear from you.
Have a safe and enjoyable Labor Day’s weekend!
In this newsletter, you will find news and updates about:
- NC State LCM Championships on July 25th in Goldsboro NC
- Dixie Zone LCM Championships on July 24-26 in Greenville SC
- USMS LCM National Championships on August 6-9 in Geneva OH
- USMS Coaching Certification on August 15th
- Open Water Race on 8/15 at Lake Lure
- Upstate Splash on 8/29 at Lake Jocassee
- NCMS achieving USMS Top 10 SCY rankings
- Our Chairman's Corner on Whistling Dixie
- Upcoming Swimming Events...
Twenty swimmers from North Carolina made the trip to Geneva, Ohio for the 2015 Summer Nationals at the Spire Institute. A total of 963 swimmers from across the country and even other countries attended the meet.
The venue was excellent with a huge amount of deck space and stands on both sides of the pool. The vastness of the space gave the illusion that the pool was shorter than other 50 meter pools. That illusion was quickly shattered in my first event. Just off the pool deck were Spire Fuel and the Gold medal hospitality, making food quickly accessible to swimmers. The deals the vendors had were also excellent as some of my friends picked up new tech suits for $60. My personal favorite was the bar that was setup in the vendor space with windows over-looking the pool. They had craft beers and wines from the area, so the athletes could have some additional carbo-loading between events. The few negatives were small warmup pool (5 lanes x 25 yards) and the air quality in the pool degraded over the course of the weekend.
The competition was exactly what I have experienced in other National Meets. From watching Erika Braun breaking the national 50 Back record, Laura Dennison from New England qualify for the Para-Olympic games (her 50 fly on NEM’s relay inspired another swimmer to give her his gold medal), Heidi George smashing her world record in the 1500 free by 6 seconds, to Jamie Miller’s closing 50 of his 200 fly, the action never stopped. The pool was definitely fast as I dropped time in every event that I had swum 2 weeks before at Dixie Zones. The team from NC finished 4th in the regional club competition out of 20 clubs.
It was good to see friends from teams that I have swam on in the past and have met from other meets. If you’ve never experienced a national meet, please take advantage of Nationals being in Greensboro in 2016. You’ll be able to cut a lot of the cost with it in Greensboro and you’ll experience the great sportsmanship of a national meet.
USMS LCM National Championships continued...
photos from Erika Braun
Mixed Medley Relay! Celia Wolff, Steve Robling, Scott Dallamura, Erika Braun.
North Carolina women representing!
Kerry Lindauer, Celia Wolff, Erika Braun, and Alicia Uhl.
Congratulations to Erika Braun in the 50m Backstroke with a time of 31.38 seconds setting a new USMS National Record!
Ah, Long Course, nothing is quite like it! It happens to be my personal favorite, especially when I get to swim in this pool (right): the Goldsboro Family YMCA pool. Last Saturday was the day, and it was great fun. The water was blissfully cool, about 80°F, which is wonderful for those of us who have been training in 87-90°F water. As always, meet director, Coach Tammy Yates and the group of officials and volunteers did a phenomenal job with this meet. That is in my opinion the reason that the meet keeps growing. The sad part is that Tammy is leaving, and we just really hope this meet will continue to be offered.
There was food and water and Gatorade for the swimmers, which were greatly appreciated by all. TRYM (Twin Rivers YMCA Masters) showed up in record numbers: 19 of our swimmers plus the coach were there. Several had never competed in a Masters’ meet, and they were so excited. I believe this is the biggest representation of any team at meets here in NC.
This makes a point: we need more meets in Eastern North Carolina. For most of us here, Charlotte is a 6-hour drive, Greensboro 4.5 hours, etc. So I do hope that more meets will become available in this part of the state. A little personal note: for me this was the first real meet since I had back surgery in December of 2014, and I was very happy to put in a couple of good times and just the feeling of being there with my friends was amazing. Swimming is good for body and soul!
There were some very fast swims and there was a lot of camaraderie: people from other teams substituted very sportsmanlike in some relays that were short a swimmer. After all, they can still register as an NCMS relay. Let’s hope there will be a meet at this facility again next year, and that many NCMS swimmers will show up to participate, you won’t be disappointed!
The 2015 Shut Up & Swim Roy Dessloch Invitational, which was also our Dixie Zone LCM Championships, took place at the Westside Aquatic Complex in Greenville SC. 130 swimmers registered, including 27 from our team, swimming with many great individual finishes (multiple age-group winners) and combined with a bunch of fun relays (organized by our quick Jon Klein), our NCMS club took home 2nd place overall.
I had the privilege attending the U.S. Masters Swimming Coaches Certification course held in Raleigh on the 15th of August. There were coaches from several eastern states and from teams across North Carolina. What impressed me was the background of the participants. There were coaches with teams of all sizes. There were participants who coached themselves and needed guidance. There were coaches new to masters swimming. There were tri-athletes who were interested in improving the technique and others taught swimming.
I got the most out of the dialog between the participants. It was invaluable for anyone involved in coaching. It helps me appreciate my own conditions at the YMCA in New Bern. Kudos to Bill Brenner and Dominic Latella for a professional job well done.
**Workout tip for beginners:** One of the most valuable motivational tool we have is the pace clock. If your facility does not have a clock get yourself a watch to time your swims. Whatever your level of ability or age, learning how to use the clock for workout is a great tool. When a new swimmer joins our club we immediately start pace clock education. Your individual time is not important and the rest interval is not dictated, but the repeat times for any set distance must be the same. It amazes me how quickly they begin to improve their time. We then add specific rest intervals but allow them to extend them as needed. Eventually, as the techniques and conditioning improve, we move to a more disciplined workout. The clock is a great motivator.
**Short workouts:** The other suggestion I have is for swimmers who are limited in their workout time. It is important that you work all the energy systems; aerobic (moderate effort 70%), anaerobic (challenging effort 85%), lactic acid tolerance (race pace effort 100%). Most swimming workouts involve the first two systems for most of their time. But if you are limited in your workout time you must spend more time on the third system. The less time you have the more speed-work you need. Race pace sets are very difficult, but by controlling your rest intervals you will be able to hold your speed and achieve consistency you want.
I have included some race pace sets that we were given in the material we received at the coaches course.
| Workout | Description |
|---------|-------------|
| **1650** | 11 lengths - rest 20
10 lengths - rest 20
9 lengths - rest 20
8 lengths - rest 20
7 lengths - rest 20
6 lengths – rest 10
5 lengths - rest 10
4 lengths - rest 10
3 lengths - rest 10
2 lengths - rest 10
1 length |
| **Super 500 [3X500 on 12:00]** | 25 rest 10
25 rest 10
50 rest 10
25 rest 10
75 rest 10
50 rest 10
50 rest 10
25 rest 10
75 rest 10
50 rest 10
25 rest 10 (2x) |
| **Broken 200 [4X200 on 6:00]** | (rest 10 @ 50)
total time including rest |
| **Sprint 50’s** | 20 X 50 on 1:30 |
(All these times are race pace for the distance your training for)
Frank McGrath is Master swim coach since 2003 at the YMCA in New Bern
30 years age-group and High School swim coach
20 years swimming official level 5
15 years meet director for age-group meet
Each year, USMS publishes a list of the Top 10 times that have been swum in every individual and relay event for each of the three pool courses. For SCY Season, running from June 1st 2014 to May 31st 2015, North Carolina Masters Swimming has 168 individual and 26 relays achieving the Top 10 rankings in their Age Groups. Our NCMS Top 10 SCY relays are listed below. For the individual listings, please visit: www.usms.org/comp/tt/
| Place | Age Group | Event (26) | Time | Swimmer1 (Age) | Swimmer2 (Age) | Swimmer3 (Age) | Swimmer4 (Age) |
|-------|-----------|------------|--------|----------------|----------------|----------------|----------------|
| 2 | M18+ | 400 Free | 3:19.36Y | Mark Weber (24) | Morten Andersen (44) | Marko Blezveski (22) | Bradley T Burk (40) |
| 2 | M25+ | 400 Free | 3:28.79Y | James Gilchrist (33) | Kevin R Happ (26) | Steve W Robling (44) | Roy Burch (29) |
| 4 | M25+ | 800 Free | 8:20.71Y | Stratton Smith (50) | Tyge Pistorio (49) | James Gilchrist (33) | William A Davis (47) |
| 7 | M35+ | 400 Free | 3:41.66Y | Burak Erdem (41) | Graham Whitehead (39) | Alex C Llinas (37) | John Moore (53) |
| 3 | M35+ | 400 Medley | 3:56.42Y | Burak Erdem (41) | Jay R Carmine (37) | Scott J Dallamura (36) | David A Berting (58) |
| 10 | M35+ | 400 Medley | 4:27.33Y | John Challis (41) | Bill T McCormick (42) | Terence Ayers (37) | Christopher Xistris (37) |
| 5 | M45+ | 400 Free | 3:38.10Y | Tyge Pistorio (49) | Eric C Cornell (45) | Lawrence B Lee (46) | Steve Pegram (45) |
| 2 | M45+ | 400 Medley | 4:14.83Y | Stratton Smith (50) | Lawrence B Lee (46) | Norman E Schultz (49) | Eric C Cornell (45) |
| 9 | M45+ | 400 Medley | 4:56.29Y | John Moore (53) | Jonathan W Washburn (57) | Henry P Singletary (54) | Ben Bowie (54) |
| 6 | M55+ | 400 Free | 3:53.08Y | James A McFarland (55) | Jonathan W Washburn (57) | David A Berting (58) | Alan E Toll (60) |
| 3 | W18+ | 200 Medley | 1:53.35Y | Chantal M Woodard (26) | Amanda Rubel (22) | Rachael E Mullen (25) | Arianna Vanderpool-Wallace (24) |
| 1 | W18+ | 400 Free | 3:46.18Y | Kathleen P Marrese (22) | Lindsey E Lynskey (31) | Emily R Schwartz (23) | Alicia K Uhl (38) |
| 2 | W18+ | 400 Medley | 4:13.63Y | Emily R Schwartz (23) | Alicia K Uhl (38) | Kathleen P Marrese (22) | Kristen B Smith (31) |
| 8 | W25+ | 800 Free | 9:57.59Y | Michelle Dempsey (45) | Rachael E Mullen (25) | Hollie J Mervich (40) | Eddie C Carter (44) |
| 1 | W35+ | 200 Free | 1:36.42Y | Kerry Lindauer (40) | Alicia K Uhl (38) | Jennifer Stringer (38) | Erika L Braun (43) |
| 1 | W35+ | 200 Medley | 1:51.31Y | Jennifer Stringer (38) | Kerry Lindauer (40) | Alicia K Uhl (38) | Erika L Braun (43) |
| 1 | W35+ | 400 Medley | 4:04.48Y | Jennifer Stringer (38) | Kerry Lindauer (40) | Alicia K Uhl (38) | Erika L Braun (43) |
| 1 | W35+ | 800 Free | 7:58.40Y | Erika L Braun (43) | Jennifer Stringer (38) | Alicia K Uhl (38) | Kerry Lindauer (40) |
| 6 | X18+ | 400 Medley | 4:15.35Y | Chantal M Woodard (26) | Amanda Rubel (22) | Kevin R Happ (26) | James Gilchrist (33) |
| 4 | X25+ | 400 Free | 3:53.27Y | Amy S Holland (43) | Gino F Biondi (53) | Ryan McAnelly (31) | Elizabeth H Lindsey (37) |
| 7 | X25+ | 400 Free | 4:03.33Y | Ashley B Howard (27) | Koren T Ayers (38) | Andy Clark (46) | Robert T Reading (53) |
| 2 | X25+ | 400 Medley | 4:15.53Y | Amy S Holland (43) | Sonny Nguyen (35) | Ryan McAnelly (31) | Elizabeth H Lindsey (37) |
| 1 | X35+ | 200 Free | 1:32.01Y | Van Fletcher (39) | Erika L Braun (43) | Kerry Lindauer (40) | Henry D Stewart (51) |
| 1 | X35+ | 200 Medley | 1:40.34Y | Erika L Braun (43) | Todd Torres (46) | Kerry Lindauer (40) | Van Fletcher (39) |
| 9 | X45+ | 200 Free | 1:41.73Y | Jonathan E Klein (57) | Melissa Gass (47) | Celia Wolff (49) | Peter G Hollett (55) |
| 8 | X45+ | 200 Medley | 1:54.07Y | Sara L Meredith (46) | Lawrence B Lee (46) | Celia Wolff (49) | Steve W Robling (45) |
**Publication Schedule for the Top 10 listings is as follows:**
| Course | For Swims Between | Submission Deadline | Publication Date |
|-----------------|-------------------|---------------------|------------------|
| Yards | Jun 1 & May 31 | June 30 | August |
| Short Course Meters | Jan 1 & Dec 31 | January 26 | April |
| Long Course Meters | Oct 1 & Sep 30 | October 20 | December |
Lake Lure Open Water
8/15/2015
Took place during the Lake Lure Olympiad Sports Festival weekend at Rumbling Bald Resort on Lake Lure NC. With beautiful weather and calm race conditions, swimmers competed in the 1 and 2-mile swims. Our NCMS well represented from Wilmington, MSA, and Asheville masters groups, among many others; with masters swimmers Andy Pulsifer (Asheville area) and Alicia Uhl (Wilmington area) finished 1st overalls in the 2 milers.
Asheville Masters swim group!
Zach and Andy Pulsifer
Lindsay Wilson, Ben Bowie, Wendy Bowie, Dave Berting, Alicia Uhl, Jonathan Washburn, Leanne Vella, Jim McFarland, Logan Wallace
Mecklenburg Swim Association (MSA) masters group
Come back here next year as Lake Lure to host 2016 USMS National Open Water Championships...
Upstate Splash Charity Open Water Swim
8/29/2015
This 2015 inaugural event was a success at Lake Jocassee in Salem SC. The organizer has a mission of "bringing swimmers together to save children's lives. The money raised from our events will be used to give At-Risk kids an opportunity to receive free swim lessons to help prevent childhood drowning". In total, there were 219 swimmers, representing 9 different states and participating in either the 2.1 or 2.4 mile race. Cheerful volunteers greeted swimmers and provided encouraging support everywhere. After the finish, participants were treated with food and beverages, thanks to the generosity of many local sponsors. Planning has already been in progress for 2016, including electronic timing!
Grant Haines, Lelah Olender, Sonny Nguyen
The North Carolina LMSC is part of USMS's Dixie Zone, which consists of the LMSCs from the Carolinas, Georgia, Florida, Alabama, Mississippi, Tennessee, and Louisiana. The USMS Zone membership is quite similar to that of USA Swimming’s Southern Zone.
After June's racially-motivated and horrific Charleston SC church massacre, there has been significant national discussion about what certain historical Southern symbols mean in today's America. Two months ago, South Carolina removed the Confederate Battle Flag from Statehouse grounds, and dialogue continues regarding current appropriation of Confederate States symbols or terms in a modern multicultural and diverse United States. This discussion includes a reevaluation of our USMS Dixie Zone appellation.
Below is an email stream about changing the name of our USMS Dixie Zone. Zone Chair Matt Hooper initiated the discussion among the Zone LMSC Chairs. I've removed name and (lightly) masked geographic identifiers, but the conversations are verbatim. The issue will be decided at the upcoming USMS Convention in Kansas City later this month.
To rename our Zone is not a decision to be made lightly, or reflexively in the name of political correctness. I recently learned of an internet acronym, "SJW", which is an ironic and derogatory term (Social Justice Warriors) denoting those who vehemently exhort and demean others about certain issues while hiding behind Internet identities. I hope that discussions of Dixie Zone naming will not degenerate into ad hominem attacks or "SJW" pronouncements, but will be of respectful dialogue about an issue important enough to merit current scrutiny. I look forward to NC LMSC athletes' comments, which I will present at the Zone meeting in Kansas City. Please reply or comment to: firstname.lastname@example.org
Here's the email stream, which took place in late June:
From: (redacted)
Subject: our zone name
Date: Thursday, June 25, 2015, 9:29 AM
"In light of issues with the Confederate battle flag recently, we were wondering if we might be able to change the name of our zone? Certainly understand the historic nature, and it makes it easy to figure out which one we are on a map, but maybe it's time to move past that not-so-great history...some great suggestions: South, Southern, Southeast...I don't know if this would need to be done in conduction with USA Swimming, as our LMSC and Zones mimic their LSC and Zones. Would certainly welcome the chance to work with them on this too. Please let us know thoughts".
Responses, from the Dixie Zone Chair and from several LMSC Chairs within Dixie Zone:
"I received the below earlier this week, and in response I indicated that I would forward it out for discussion by the Zone. We may wish to have this discussion at Convention, but may also wish (or be forced) to start before then.
I will also mention that this matter has already been brought to the national office. The office appears to have referred it to a diversity task force, so we may hear from that angle as well. Thoughts"?
Chair, USMS Dixie Zone
"I agree that renaming our Zone is not a decision to be made lightly...I was born in (a large cold Northern state with 10,000 lakes) and grew up in (another, larger windy Northern city). Yes, I am a “damn Yankee”. And I personally find the “Stars and Bars” and the term “Dixie” offensive. Why anyone would take pride in having ancestors who took part on the losing side of such a catastrophic conflict is beyond my comprehension...In short, I remain opposed to changing the name of our Zone...I also refuse to bow to the pressures of political correctness...If renaming our Zone is the correct thing to do now, then it was the right thing to do a year ago when no one even considered our name an issue".
"I would be deeply offended for us to change the name. I am a proud descendant of Confederate soldiers and am very proud of our Southern history- I don't consider it a 'not so great history' at all, and those who say that know nothing about the War Between the States. It is shameful that hate groups have been using the Confederate flag for their causes and thus giving the Confederacy an undeserved bad name. There is nothing wrong with being from Dixie, and to change the name would imply that there is".
"I'm from (a Midwestern Hoosier state), and...don’t have any emotional response to the word. But i also want to be respectful for those that might find it potentially offensive. If something as relatively simple as changing our name and removing representations of the confederate flag allows us to be more inclusive and more welcoming to what is close to 25% of our Zone population, already underrepresented in our sport, i think that it is at least worthy of discussion. Peace".
"I grew up in (the Old North State), and the term "Dixie" is not an offensive or emotionally-charged title for me. Having said that, I plan to ask our LMSC membership about this issue via our next newsletter before presenting the opinion. I don't think that we as state Chairs should make this decision on our own - we should gather opinion from those we represent...Though I respect those who are standing up for ancestral or regional pride-based "Southern Heritage", I also recognize that the modern interpretations of CSA terms such as "Dixie" or symbols such as the Confederate Battle Flag have divided many. I also respect the opinions of those who have come to view that flag as one of an exclusionary, racist, feudal economic system from a bygone era. (Interestingly, the other well-recongized Confederate flag, the original "Stars and Bars", hasn't yet come to focus in national debate - indicative perhaps of a modern myopia on CSA images)...USMS is and should continue to be THE organization of and for all USA adult swimmers, and even inadvertent exclusionary imagery does not serve that goal".
As one can see from the email exchanges above, even at the Zone Chair level, we have divergent views on this matter within our membership. We need input from our members to make the proper decision as we move forward. Again, please email me at: email@example.com
Thanks, Jon Blank NC LMSC Chair
MARK YOUR CALENDAR
For Upcoming Swimming Events:
www.ncmasters.org
www.usms.org/comp
- Sep 12: 10th Annual Steve Barden Memorial SCY Swim Meet, Asheville NC
- Online Entries close at 11:59pm on Wed 9/9.
- Sep 27: Swim the Loop, Wrightsville Beach NC
- Online Registration closes Fri 9/25.
- Oct 9 – 11: Dixie Zone SCM Champs / Rowdy Gaines Masters Classic, Orlando FL
- Online Entries close at 5:00pm on Sun 10/4.
- Apr 28 – May 1, 2016: USMS Spring SCY National Championships, Greensboro NC
- Jul 21 – 24, 2016: USA Masters Games Swimming, Greensboro NC
As always, we want to hear from YOU! Please contact your North Carolina LMSC Officers with any comments/feedback and swimming news to be included in our next newsletter.
| Position | Officer | Town |
|---------------------------------|------------------|--------|
| LMSC Chair | Jon Blank | Raleigh|
| Vice Chair | Steve Weatherman | Raleigh|
| Secretary | Jennifer Perrottet| Jacksonville|
| Treasurer | Jeff Murray | Charlotte|
| Registrar and Webmaster | George Simon | Raleigh|
| At large member | Jerry Clark | Charlotte|
| At large member, Coaches' Chair | Kristen Smith | Wilmington|
| At large member | Don Gilchrist | Greensboro|
| At large member, Newsletter editor | Sonny Nguyen | Mooresville|
| Records & Top 10 Chair | vacant | |
| Official's Chair - ex officio | Tom Cox | Raleigh|
Volunteer needed to fill this position. Join us and make a difference for our NCMS. If interested, please email firstname.lastname@example.org
HAPPY SWIMMING
|
Front end electronics and FPGA developments
Patrick Gessler
for the Joint Electronics Group
Detector Developments (WP75) + Data Acquisition (WP76)
European XFEL GmbH
Overview
- Front end electronics
- Overview of typical Detector-Data-Acquisition Chains
- Usual tasks and pitfalls depending on detector and detection principle
- Introduction into MicroTCA as data acquisition platform
- Motivation
- Overview
- FPGA developments
- Brief introduction into FPGAs
- Main tasks and required features
- Programming principles followed
- High-Level Algorithm Programming Framework with Simulink
- High-Speed and Low-Latency Serial Interfaces
- High resolution trigger
- Pulse energy detection
- Conclusion
Overview of typical Detector-Data-Acquisition Chains
Typical chain for a 0D type detector (e.g. APD, MCP, Photo Diode, etc)
Experiment or Diagnostic Setup (Particle Generation)
Sensor
Amplifier (e.g. charge sensitive)
Cable
Amplifier (e.g. shaping amplifier)
Signal Shaping (e.g. stretching, CFD, Filter)
Amplifier (e.g. ADC interface)
ADC
FPGA (e.g. processing, formatting, buffer)
Computer (e.g. control, online data storage)
Storage (e.g. memory, disks, tapes)
Post Processing (e.g. by user)
Feedback
VETO
Timing
Typical chain for a 2D CCD type detector
Experiment or Diagnostic Setup (Particle Generation)
Sensor
Amplifier (e.g. charge sensitive)
ASIC
Sequencing
Signal Shaping (e.g. stretching, CFD, Filter)
Amplifier (e.g. ADC interface)
ADC
FPGA (e.g. processing, formatting, buffer)
Computer (e.g. control, online data storage)
Storage (e.g. memory, disks, tapes)
Post Processing (e.g. by user)
Feedback
VETO
Timing
Control
Front end electronics: Typical tasks depending on detector and detection principle
- Convert collected charge into voltage or current
- The bandwidth of the amplifier could be lower than the one of the sensor (like in the example)
- Charges are collected and formed in a current
- The amplifier produces a proportional output voltage
Front end electronics: Typical tasks depending on detector and detection principle
- Pulse stretching
- To sample all important properties with limited sampling speed
- To reduce noise by oversampling and later averaging
- To reduce jitter based effects (sampling time fluctuations)
- Negative:
- Fast signal properties are lost
- Time between pulses has to be longer
Front end electronics: Typical tasks depending on detector and detection principle
- Constant Fraction Discrimination (e.g. for ToF experiments)
- Using a threshold for time determination provides an error
- Amplitude independent time detection by constant fraction
- Divider and time delay are usually user parameters!
Front end electronics:
Typical tasks depending on detector and detection principle
- Low pass filtering
- Def.: All frequency components UP TO the cut-off frequency will pass
- The cut-off is the 3dB line → this means higher frequencies are only attenuated!
- The order of the filter defines the “sharpness” of the cut-off
- Applications
- Reduce high frequency noise
- Match signal bandwidth to ADC sampling rate or input bandwidth
- To avoid signal reflections and imaging effects in the data
Front end electronics: Typical tasks depending on detector and detection principle
- High pass filtering
- Def.: All frequency components ABOVE the cut-off frequency will pass
- The cut-off is the 3dB line → this means lower frequencies are only attenuated!
- The order of the filter defines the “sharpness” of the cut-off
- Applications
- Reduce low frequency noise
- Block DC voltages (remove constant offset)
- Allow edge detection
- Band pass filtering
- Combines low and high pass and provide two cut-off frequencies
- Notch filter
- Is the inverse of the band pass filter
Front end electronics: Typical tasks depending on detector and detection principle
- AC and DC input coupling to ADCs
- AC: Alternating Current
- Used for alternating (usually periodic) signals
- Includes high-pass filter to block DC voltages!
- Be aware of high-pass filter effects like fluctuating base line
- Positive: Usually only passive connection (capacitor)
- DC: Direct Current
- Used for arbitrary signals
- Usually includes an amplifier (increases noise and limits bandwidth)
- Due to the amplifier mostly low-pass filter behavior
- Positive: constant base line (no drifts)
Introduction into MicroTCA – Motivation
- Limitations on existing VME based solutions
- Bandwidth: only one parallel bus
![Diagram showing VME Bus with components CPU, ADC1, ADC2, TDC, DAC]
- No module replacement at run time (Hotswap)
- Remote control
- Health management
- Redundancy
- No in-crate timing distribution
Introduction into MicroTCA – ATCA and MTCA
- Advanced Telecommunication Computing Architecture (ATCA)
- Advanced Mezzanine Card (AMC)
- Micro Telecommunication Computing Architecture ($\mu$TCA)
Introduction into MicroTCA – MicroTCA.4
- xTCA not designed for physics applications (e.g. Timing, Interfacing, ADCs)
- xTCA for Physics Group at PCI Industrial Computing Manufacturers Group (PICMG)
- Participants from labs and industries
- Defined extensions of the standard for our applications
- Timing interface on the backplane
- High-speed module interconnections
- More space → double size modules
- Modular interfacing and signal shaping → Rear Transition Modules (RTMs)
Introduction into MicroTCA – In-crate Timing
- 2 radial clocks per AMC, Low jitter, configurable direction
- 8 bussed M-LVDS lines, For triggers, clocks and interlocks
Curtsey: Kay Rehlich (DESY)
MicroTCA.4 allows
- High-bandwidth communication between
- Boards and CPU via PCIe
- Boards via point-to-point connections
- Synchronization via Timing Receiver
- Trigger
- Clocks
- Machine parameters
- Bunch structure
- Remote control and monitoring
- Module changes during operation (Hotswap)
- Functional extension via RTMs
If you are interested in this topic, please register for the MicroTCA Workshop in December @ DESY: http://mtcaws.desy.de
Brief introduction into FPGAs
- Field Programmable Gate Array (FPGA)
- Allow hundreds of thousand logic functions
- All in parallel (if required)
- Reprogrammable by the user
Simplified Configurable Logic Block (CLB)
“Only” 665 pins.
Largest one has 1760 pins
(source: Xilinx)
Brief introduction into FPGAs
- Field Programmable Gate Array (FPGA)
- Flexible inner structure
Not shown here:
- RAM
- Clock Modules
- Gigabit Transceivers for
- PCIe
- 10GbE
- DDR interfaces
- CPUs
- DSPs
Simplified Configurable Logic Block (CLB)
Look-Up Table (LUT) examples with 2 inputs only
“Only” 665 pins.
Largest one has 1760 pins
(source: Xilinx)
Brief Introduction into FPGAs - Example
Defined Program: $Q = A \text{ and } B$
Brief Introduction into FPGAs - Example
Defined Program: $Q = A \text{ and } B$
Step 1: Translate and Map
- LUT
- A
- B
- Q
Brief Introduction into FPGAs - Example
Defined Program: $Q = A \text{ and } B$
Step 1: Translate and Map
Step 2: Place
Brief Introduction into FPGAs - Example
Defined Program: $Q = A \text{ and } B$
Step 1: Translate and Map
Step 2: Place
Step 3: Route
Main tasks and required features of FPGAs
- Receive data from
- Integrated circuits (e.g. ADCs)
- Other modules via communication interfaces
- Synchronize data flow (Triggers, clocks)
- (Online) Processing of data (with run-time parameters)
- like integration, peak detection, TDC, FFT, etc
- (Re-)Formatting and coding of data
- like 10Gb Ethernet
- Transmission of data (e.g. high-bandwidth, low-latency)
- Monitoring, debugging and diagnostics
VHDL Programming basic example
entity myAND is
port( A: in std_logic;
B: in std_logic;
Q: out std_logic
);
end myAND;
architecture RTL of myAND is
begin
Q <= A and B;
end;
Providing Structure: Start-Up Projects
Top Level Project
Board/Hardware related Modules
(e.g. clock, triggering, ADC readout, switches,…)
Application related Modules
(e.g. Algorithms, special interfaces, formatting…)
Hardware (AMC)
Special Connections
Defined Interface
Providing Structure: Start-Up Projects
Top Level Project
Board/Hardware related Modules
(e.g. clock, triggering, ADC readout, switches,…)
Application related Modules
(e.g. Algorithms, special interfaces, formatting…)
- Register A (e.g. Offset)
- Register B (e.g. Window Size)
- Memory C (e.g. Filter Coeff.)
How to change parameters at run time?
Hardware (AMC)
Special Connections
Defined Interface
Providing Computer Connection: PCIe / II Bus
PCIe to CPU
PCIe to II Bus Bridge
Internal Interface Bus (Board) – BAR0
Internal Interface Base
Internal Interface Bus (Application) – BAR1
Internal Interface Base
Module A
Module B
Module C
Memory
Application Top Level VHDL File
Workflow example
This system allows **automatic** detection of installed firmware and loads **correct** XML files with Register und Memory descriptions.
Workflow example (with remote f/w upload)
It also allows centralized remote firmware management (e.g. version tracking and remote upload synchronized with s/w updates)
FPGA programming is time intensive and requires specialists, however most applications and algorithms are conceptualized by users unfamiliar with FPGA programming.
For the European XFEL, a high level FPGA framework is being developed that allows for users with no prior HDL knowledge to develop their algorithm modules which can be integrated in a top VHDL project.
High Level FPGA Algorithm Development
The Framework should:
- Abstract end user from hardware programming languages and concepts such as Pin placement, clock routing, etc.
- User design environment automatically setup for the target board;
- Library with blocks that simulate the behavior of available features;
- User defined registers and memories and generate the necessary logic to later communicate with the bus protocol;
- Easy to port and distribute applications to other projects/boards.
The Project Definitions block: the user defines for which board the algorithm is going to be developed as well as the bus protocol:
- Generate the IO available for the chosen board and examples of expected input signals;
- Includes the System generator block and defines its parameters according to the FPGA board.
BUS block allows for users to define registers and memories which are later accessible by the chosen protocol.
This is an example of a 16 bit wide user register.
Specific blocks are available on the library which will accurately simulate the behavior of features available on the board;
In Hardware, the block is replaced with the real implementation.
The final Algorithm is processed to integrate the top level FPGA Project:
- Generate Final Design with bus interface logic based on defined user registers and chosen protocol;
- Netlist file of final design inserted in ISE project;
- Standalone Module of User application to share and distribute
- XML file with register information similar to the VHDL developed applications.
Low-Latency data transmission: VETO System for data reduction and memory optimization
- Optimize picture quality of 2D detectors
- Limited frame capacity in ASICs (~300-700 frames)
- Replace bad frames with new ones in ASIC before read out and transmission
- Data reduction
- Discard useless data before transmission
- Implementation
- FPGAs of diagnostics and detectors provide bunch information with low-latency
- Configurable central VETO unit per experiment decides on bunch quality
- FPGAs of detectors (maybe also diagnostics) receive the decision and react on it
- Using a common protocol with beam based feedback system
Diagram:
- VETO Sources: Avalanche Photo Diode, PES, TPS
- VETO Unit: Configurable decision matrix
- VETO User: e.g. Digitizer
- Clock and Control: 2D detector
- Front-end electronics: FEEs
- Detector Head
High-Bandwidth data transmission
10Gb Ethernet data streaming
Driving force: fast and large area detectors
| Detector type | Sampling | Data/pulse | Data/train | XFEL/sec | LCLS/sec |
|------------------------|--------------|------------|------------|----------|----------|
| 1 Mpxl 2D camera | 4.5 MHz | ~2 MB | ~1 GB | ~10 GB | ~300 MB |
| 1 channel digitizer | 5 GS/s | ~2 kB | ~6 MB | ~60 MB | ~0.2 MB |
Chosen architecture:
- Timing Receiver
- In-Crate FPGA/DSP Card
- Digitizer
- PCI express
- In-Crate CPU
- MTCA4 crate
- Train Builder
- PC Layer
- Online storage
- Offline storage and archive
- 2D pixel FEE
- 1D FEE
- camera
- Typical throughputs
- Front End Electronics FEE
- Front End Interface FEI
- PC layer
- Data cache
- Data Management
25th October 2013 | Joint Instrumentation Seminar | DESY | Patrick Gessler
Triggering Basics:
“A trigger defines the point in time relative to an event (e.g. detector signal) to be observed”
The trigger is used to start data acquisition and processing.
In the digital world:
- Signal and trigger are quantized in discrete time steps
The trigger time is only known at the step size of the sampling time of the trigger.
Comment: If the trigger has a constant time to the following sampling clock edge and therefore also to the signal, the problem is not there anymore.
High Resolution Trigger
- In many applications the signal sampling clock is much higher than the trigger sampling clock (factor > 8)
- In this case the uncertainty is higher than the signal sampling accuracy!
Solutions:
- Synchronize clock sampling phase to experiments reference
- Not always possible (due to internal PLLs)
- Increases noise through external clock
- Increase sampling speed for trigger
- Usual maximum in FPGAs: between 1 and 2.5 GBPS
- Using Time-to-Digital converter (TDC) technology
High Resolution Trigger
- Different TDC implementations in FPGA possible
- The currently under implementation at XFEL:
- Using logic propagation delays
Challenges:
- complicated timing relations in FPGA
- Calibration and temperature induced drift compensation
- Expected resolution: down to 50ps
Pulse Energy Detection
- Different possibilities tested
- Integration (summing of samples) and
- Cross-Correlation (Matched filtering)
Tests done at Petra III with XFEL FXE, P01 and P11 groups
Conclusion
- Analog front end electronics are required in order to:
- Convert the charges of a sensor to be detected
- Shape the signal for the digitalization process
- Amplify and filter the signal to optimize signal-to-noise ratio
- A transition from VME to MicroTCA for the XFEL.EU was required:
- To increase the availability (reduce downtime)
- Allow for higher data bandwidths for faster digitizers and detectors
- The development of FPGAs:
- Allows for high flexibility and also includes high complexity
- Many effort had been done on simplifying the work to:
- Speed up the development time
- Reduce errors
- Improve maintainability
- Key algorithms are under development or test
- Non-experienced people can do FPGA programming in Simulink
|
African-American woman, Midshipman 1st Class Sydney Barber, makes US Naval Academy history
By Stacy M. Brown
NNPA Newswire Correspondent
Midshipman 1st Class Sydney Barber, a mechanical engineering major from Illinois, has been named brigade commander for the spring semester at the U.S. Naval Academy in Annapolis, Maryland.
Barber, a track star with a stated desire to work as a Marine Corps ground officer, becomes the first black woman to lead the Naval Academy’s student body.
“The brigade commander heads the brigade’s day-to-day activities and trains the class of approximately 4,500 midshipmen. Barber becomes the 16th woman to serve in that role. “Earning the title of brigade commander speaks volumes, but the title itself is not nearly as significant as the opportunity it brings to lead a team in doing something I believe will be truly special,” Barber said in a news release. “I am humbled to play a small role in this momentous season of American history.”
As a walk-on sprinter and hurdler of the Navy Women’s Varsity Track and Field team, Barber has lettered all three years of competing and is an Academy record holder for the outdoor 4x400m relay, according to her biography.
She is the co-president of the Navy Fellowship of Christian Athletes Club, secretary for the National Society of Black Engineers, and a USNA Gospel Choir and Midshipman Black Studies Club member.
Barber serves as the 13th company’s executive officer and currently serves as the Brigade’s 1st regiment executive officer.
She also initiated a STEM outreach program that leverages mentoring, literature and service lessons to serve middle school-aged girls of color.
Barber led a team to organize the inaugural U.S. Naval Academy Black Female Network Breakfast to
Continued on page 3
Ward 2 City Council Special Election headed to a runoff
By Jackie Hampton
Publisher
Martin Priestel announced in October that he was resigning as city council representative effective Oct. 5, 2020 after serving Ward 2 for seven years and Tuesday a special election was held where seven candidates were vying for the position.
Three women, Angelique Lee, Melinda Todd, Funmilayo Tillman, and three men, Tyrone Lewis, James Paige and Thomas Powell sought to become the next councilperson for Ward 2 but at the end of the day there was no clear winner. Neither candidate received over 50% in such a wide field of candidates.
With a low turn-out only 17% of registered voters, Lee lead the field with 49% of the vote, followed by former City of Jackson Police Chief and former Hinds County Sheriff Tyrone Lewis with 30% of the vote.
Lee, a lobbyist and educator said, “I am very appreciative of the voters who voted for me and I encourage them to return on Dec. 8 for the runoff.”
Lewis, the first African American elected as sheriff of Hinds County in 2011, said his campaign had anticipated a low turn-out after such a high turnout in the November 3 general election.
“We made an attempt to touch as many people as possible. Moving forward, we will be very aggressive with more boots on the ground as we head to the run-off,” he said.
Lewis said he will continue to run a campaign focusing on crime, economic development and infrastructure. He said the campaign was very appreciative of the volunteers and voters that participated in the general election but Ward 2 voters should not take this campaign lightly.
“My wisdom and experience outweighs anything else,” he said.
Mississippi governor adds seven counties to mask mandate
By Leah Willingham
Associated Press/Report for America
Mississippi Gov. Tate Reeves is adding seven counties to his list of counties under a mask mandate, bringing the total to 22.
“Wearing a mask helps,” Reeves said at a briefing with press Monday. “It helps you. It helps your family. It helps your friends.”
Mississippi, like states across the country, is facing a surge in coronavirus cases. The seven-day rolling average of the positivity rate in Mississippi has risen from 6.75% Nov. 1 to 17.21% Nov. 15, according to Johns Hopkins University data analyzed by The Associated Press.
There are no Intensive Care Unit beds available in Jackson for several days last week, and hospitals are facing intense stress.
“We’re really entering into dark days,” Dr. Alan Jones, assistant vice chancellor for clinical affairs at the University of Mississippi Medical Center, which had zero ICU beds available Monday. “I really think it’s going to get bad for a quite while before it gets better.”
Reeves said he implemented the mask mandates in counties with the highest number of new cases.
The 15 counties under the mandate are Hinds, Madison, Pontotoc, Tate, Winston, Itawamba and Montgomery. The 15 already under a mandate were Benton, Carroll, Covington, DeSoto, Forrest, Harrison, Humphreys, Jackson, Lamar, Lauderdale, LeFlore, Lee, Marshall, Rankin and Yalobusha.
The state Health Department said Monday that Mississippi, with a population of about 3 million, has reported more than 134,800 confirmed coronavirus cases and at least 3,545 deaths from COVID-19 as of Sunday evening. There have been 580 cases and two deaths from the virus before. Both deaths occurred on Saturday and were identified later using death certificates.
As the Thanksgiving holiday approaches, health officials are warning Mississippians to avoid even more. Physicians have been urging families to stick to small gatherings and avoid large parties and events where vulnerable populations could be put at risk for coronavirus infection.
“We don’t really want to see Mississippi ‘Thanksgiving’ and bury her by Christmas,” said Dr. Mark Horne, president of the Mississippi State Medical Association. “It’s going to happen. You’re going to say ‘Hi’ at Thanksgiving. ‘It was so great to see you,’ and you’re going to either be visiting by FaceTime in the ICU or planning a small funeral before Christmas.”
In a virtual conversation with Horne Friday, state Health Officer Dr. Thomas Dobbs asked college students and other people returning home for the holidays to get tested before seeing family members and isolate themselves in the days before making a trip.
“We know that a lot of folks are going to go back home for the holidays, but we don’t want them taking coronavirus with them,” Dobbs said.
“Right now, it’s time to take care of yourself, take care of your family and take care of your vulnerable because it is out there in force.”
Habitat for Humanity Mississippi Capital Area (HFFMCA) is celebrating a major milestone with the construction of its 650th house, sponsored by Nissan-Canton.
With the completion of this home, HFFMCA will have built or renovated simple and sustainable homes for 650 families in Hinds, Madison and Rankin counties since the non-profit’s founding in 1986.
Nissan-Canton has helped the non-profit reach this milestone by sponsoring 13 homes and donating four Nissan vehicles to HFFMCA to support its efforts.
“The Nissan-Canton team is humbled to build a home for another deserving family,” said Tim Fallon, vice president of Manufacturing, Nissan Canton Vehicle Assembly Plant, Nissan North America, Inc. “We are proud of our long-standing partnership with Habitat for Humanity Mississippi Capital Area that works diligently to uplift the Mississippi communities and make homeownership a reality for so many.”
“Nissan has been an incredible corporate sponsor for years. During the pandemic their leadership worked with us to ensure a hardworking family would still have the opportunity to move into the home for which they had worked,” said Merrill McKewen, HFFMCA executive director.
Located at 4644 Meadow Ridge Drive, the home features an open plan with four bedrooms and two bathrooms – welcomed space for new homeowners Twanza Payne and JaMichael Sanders and their four children who have been living with relatives.
“JaMichael and I work hard because we want to provide our children with a strong foundation in life. A big part of that is having a home of our own for our family,” Payne said. “For the first time in our lives, we will come home at the end of the day to our own home and we are thrilled and grateful.”
The 2020 Nissan-Canton home is part of HFFMCA’s five-year initiative to revitalize homes in the historic Broadmoor neighborhood in north Jackson. With HFFMCA’s two construction staff members and subcontractors following COVID-19 guidelines, the affiliate has been able to continue work on the Broadmoor Initiative.
To date, HFFMCA has completed rehabs of six homes, built four new homes and demolished three derelict homes in the Broadmoor area. Next on HFFMCA’s schedule is the rehabbing of five more homes and the demolition of seven more abandoned homes.
Habitat homes are sold at no profit with an interest-free mortgage to families who cannot qualify for traditional bank loans. Homeownership combined with Habitat’s required financial education allows these families to invest in the community and their future simultaneously.
“Today, like never before, everyone understands the importance of having a clean, safe place to call home. Now more than ever, Habitat’s work is critical,” McKewen said.
“Because of the current crisis, far too many families struggle to afford a decent place to live. Our commitment to the families we currently serve and families in our community is still strong. We are very proud of the impact our organization that means over 2,500 people wake up every morning in a safe, decent, affordable home.”
To learn more about how you, your church, your civic club or your business can make a difference in creating a brighter, safer future for local families, please call Habitat for Humanity Mississippi Capital Area at 601-353-6060 or visit www.habitatmsca.org.
Tougaloo College recognizes Norma Williams during American Education Week.
By Edelia “Dr. Jay” Carthan
Staff Writer
The Division of Education, Supervision and Instruction at the historic Tougaloo College recognizes Professor Norma Williams for 57 years of service during American Education Week.
“Mrs. Williams built several bridges while at Tougaloo College establishing relationships that will forever have an impact on all students’ lives whose paths she crossed. The Division of Education at Tougaloo College recognizes Mrs. Norma Williams during American Education Week,” Dr. Thelma Williams-Black, Dean of Education at Tougaloo College said in an interview.
Williams has spent more time at Tougaloo College than any one else on campus. Not only has she been on campus, Williams began and ended her educational journey at Tougaloo College.
Her parents, George and Susie Jones, taught at Tougaloo. Her father served as an agricultural farm teacher, math instructor, a shop teacher, and mathematics instructor. Her mother served as an English instructor at Tougaloo High Preparatory School and Tougaloo Southern Christian College.
Their enthusiasm for teaching inspired Williams to choose teaching as her profession.
She attended Tougaloo Elementary School, a young girl, Tougaloo High School as a teenager and enrolled in Tougaloo Southern Christian College as a college student. She joined Tougaloo’s staff before becoming a member of the faculty with the Division of Education, Supervision and Instruction at Tougaloo College.
Williams received her Bachelor of Science degree in Health and Physical Education from Tougaloo Southern Christian College; a Master’s Degree in Health and Physical Education with a minor in Recreation from North Carolina College at Durham.
Williams has held several positions while at Tougaloo including director of Intramurals; liaison officer, enrichment coordinator, activity director and administrator of the National Youth Sports Program; director of Athletics, where she served as the first female athletic director; and women’s intercollegiate sports programs in the state of Mississippi; Women’s Basketball coach; chairman of the Department of Health, Physical Education and Recreation, and, served as professor of Health, Physical Education and Recreation before retiring this year.
As an official photographer, she was often seen on campus with a camera strapped across her shoulders.
Williams said several events contributed to her success as a physical education teacher, specifically one involving her daughter when she pledged to Sigma Theta Sorority, she had to maintain her grades. She received a C in her father’s Algebra class. When she asked him to change her grades so she could maintain good standing, he said no. She couldn’t believe it. He later explained to her the importance of following through with your expectations. This learning experience followed her throughout her teaching career and she used it as a teaching tool.
“She did her job, and she worked with students to help them grow and be professional. She always emphasized to athletes to take their classwork seriously. She is an asset to Tougaloo College,” her former student, Edelia Carthan, Class of 2020, said.
“Mrs. Norma Williams was not only a professor and advisor, but also one who genuinely cared about us as students. She was passionate about sharing her thoughts which challenged us and made us better in the end. As a colleague, Mrs. Williams always took her commitment to the Department of HPER seriously. It was indeed a pleasure to learn from her and to serve along with her at Tougaloo College,” recalls Alvin Carter, TC Class of ‘03.
Louisville athletic director and Hall of Famer James Coleman said he and Williams were classmates. “She started a year before me at Tougaloo College in 1963. She was a team player and very supportive throughout her career and was always a highly effective teacher.”
Tougaloo College celebrates, recognizes and congratulates Williams for 57 years of service during American Education Week for a job well done.
American Education Week, November 16-20, is celebrated during the third week of November every year to celebrate public education and honor individuals who are making a difference in ensuring that every student receives a quality education.
For more information about Tougaloo College, visit www.tougaloo.edu or for more information about American Education Week, visit www.nea.org/aew.
Williams (right) with former student, Rukia Lumumba, at ICE raids hearing held on the Tougaloo College campus Nov. 7, 2019.
State History, Civil Rights Museums honor essential workers with free admission
Special to The Mississippi Link
In appreciation of all frontline and essential workers who have saved lives and given their services during the COVID-19 pandemic, admission to the Museum of Mississippi History and the Mississippi Civil Rights Museum was free Tuesday, November 17, from 9 a.m.-4 p.m.
These individuals included healthcare workers, teachers, law-enforcement officers, firefighters and others. Guests were not required to provide identification to receive free admission.
Safety precautions at the museums included requiring all visitors to wear masks and observe social distancing guidelines. Masks were available on-site.
All public spaces were sanitized and thorough cleaning continued every day.
Hand sanitizing stations were provided and staff were on-site to ensure that social distancing guidelines were maintained.
A limited number of visitors were allowed inside the museums at one time. The maximum number of people per group was twenty.
Regular museum hours are Tuesday-Saturday 9 a.m.-4 p.m.
The museums are open free of charge Sundays from noon-4 p.m.
The museums are located at 222 North Street in Jackson.
For more information email firstname.lastname@example.org.
PHOTO OF THE WEEK regarding 2020 Presidential Election
Mya Bridgeman, 12 years old
“This election means to me that there is hope for a president who will do right by all people.”
Veteran and military caregivers face new challenges during the pandemic
AARP and partners offer solutions and services to those in need
By Amy Goyer
AARP
As a live-in caregiver for my father, who was a veteran of WWII and the Korean War and developed Alzheimer’s later in life, there were many challenges around providing hands-on care, managing his health care and obtaining home-based services. Fortunately, we found support from the Department of Veterans Affairs (VA).
Dad passed on two years ago, and I frequently reflect about how much more difficult it all would have been with the new obstacles created by the coronavirus. Veteran and military caregivers are fighting on the frontlines in this pandemic in unprecedented ways. But AARP is here to offer guidance and assistance. Each of the resources below can be found at www.aarp.org/ms.
Challenge: Making connections
As military and veteran caregivers focus on care for their loved ones, they struggle with isolation, which can be detrimental to physical and mental health. Getting together with friends or attending caregiver support groups can be very helpful, but in-person connections are largely no longer possible due to the pandemic.
Support:
- AARP Family Caregivers Discussion Group: A place to connect, share practical tips, offer support, and discuss family caregiving experiences with other caregivers.
- AARP Friendly Voices: Created to combat isolation, caregivers can sign up for friendly calls from trained volunteers for themselves and/or their loved ones.
- Challenge: Help for In-home and distance caregivers
Many caregivers have cut back or completely cancelled in-home help due to concerns about their loved ones’ health and safety. Adult day services and community centers are closed or operating on a limited-back basis, limiting days and number of participants. Transportation services may not be available, or caregivers may curtail use if they are not confident of safety precautions in place. The more caregivers go it alone, the faster they can become overwhelmed and burned out. Caregivers whose loved ones live in facilities are also struggling with limited or no in-person visits and diminished ability to advocate for them.
Support:
- AARP Community Connections: Created in response to the pandemic, Community Connections provides a listing of local mutual aid groups—neighbors helping neighbors.
- Military Guide: AARP and the Elizabeth Dole Foundation created Supporting Military, Veteran and Family Caregivers During the Pandemic, a fact sheet with practical tips about how to update your caregiving plan, deal with medications, handle medical visits and telehealth, create regular social connections, and maintain personal safety and well-being.
- Nursing Homes: For those who are caring for veterans living in facilities, AARP provides up-to-date information on all the issues facing nursing homes today.
- Challenge: Work-life balance
Not only are military and veteran caregivers doing more hands-on caregiving, many are also working paid jobs at home due to the pandemic. For some, their time is stretched even thinner as they ensure their children are staying on-task with e-learning. Caring intensely for multiple people while working exacerbates stress levels quickly.
Support:
- Military Caregiver Employers Guides: This toolkit provides guidance for employers to better understand the unique challenges facing caregivers in the workplace.
- Challenge: Self-care
Concerns about the uncertainty of the pandemic and keeping loved ones and themselves safe and healthy are common for everyone these days. But for caregivers, the pressure to protect loved ones is particularly intense as our veterans and wounded military service members are more susceptible to becoming seriously ill from COVID-19.
As caregivers struggle to meet the needs of service members and family members, while dealing with fewer caregiver supports, self-care moves even further down the list. The sum of all of these issues can lead to emotional and physical exhaustion, disturbed sleep, feelings of negativity, apathy and hopelessness – a path to caregiver burnout.
Support:
- Mental Health Center: AARP’s mental health resource page is designed to provide advice and guidance to caregivers and others seeking additional help during these tough times. As the pandemic unfolds, AARP will continue to work hard to deliver free resources and other solutions at aarp.org/
Amy Goyer is an AARP family and caregiving expert and author of Juggling Life, Work and Caregiving. Connect with Amy at amygoyer.com, Facebook, Twitter in AARP’s Online Community and in the AARP Facebook Family Caregivers Group.
A letter to Miss USA 2020, Mississippian Asya Branch
Representative Alice G. Clarke
District 69
Hinds County
November 10, 2020
Dear Miss Branch,
Congratulations upon being crowned Miss USA 2020! The passion and perseverance you have demonstrated to achieve your dreams, is not only commendable, but it is monumentally historic. Ecclesiastes 3:1, reminds us that “to every thing there is a season, and a time to every purpose under the heaven,” and that revelation is all the more applicable as our nation is in a season of historic firsts for women, especially women of color. You are the first African-American woman to win the 2020 Presidential election, which has allowed the United States of America to witness the election of the first female and first African-American female to the office of Vice President, it is with an equal tenor of excitement that we celebrate your ascent to the Miss USA throne, as the first African-American Miss Mississippi, to be crowned with the prestigious and coveted title. What an amazing accomplishment!
During your reign as Miss Mississippi, you consistently demonstrated infallible character as the epitome of a true queen, gently defined by poise and grace and grounded in humility. Your impeccable representation of the great state, before millions of viewers on national television, transcends barriers that are now removed, and ceilings that are now shattered. The magnitude of your new title as Miss USA instantaneously placed you on the international stage as America’s ambassador of hope and infinite possibilities to inspire the dreams of girls and boys alike, from around the world, who will look to your success and rededicate their efforts with an unwavering zeal to pursue their own.
I am immensely elated that you and I now both share the esteemed and historic honor of being Mississippi firsts in our respective pursuits. Additionally, my pride, as well as that of every other Mississippian, overflows with enthusiasm of the fact that the nation’s premier pageantry queen hails from our beloved home state. Your story is your own, however, you are the voice of empowerment for generations of children and women who were the central focus of your platform, undoubtedly the catalyst to catapult you to victory. We salute your remarkable accomplishments, and can’t wait to see what the next chapters hold in store for your continued success.
Sincerely,
Alice G. Clarke
House of Representatives, District 69
VoteCast: Mississippi voters mixed on state of nation
The Associated Press
Voters in Mississippi made their pick for president while holding mixed views about the country’s directions, according to an expansive AP survey of the American electorate.
The race between President Donald Trump and Democratic rival Joe Biden concluded Nov. 3, as the nation grapples with the ravages of a global public health crisis and mired in the economic downturn it brought on. AP VoteCast found that 48% of Mississippi voters said the U.S. is on the right track and 51% of voters said it is headed in the wrong direction.
Here’s a snapshot of who voted and what they said about basic AP preliminary results from AP VoteCast, a nationwide survey of about 133,000 voters and nonvoters — including 1,249 voters and 292 nonvoters in Mississippi — conducted for The Associated Press by NORC at the University of Chicago.
Trump Vs Biden
In the race for president, voters under 45 were split between Trump and Biden while Trump led among older voters.
Black voters were more likely to favor Biden but Trump was preferred over Biden among white voters.
Trump had an apparent advantage over Biden among college-educated voters. Voters without a college degree were more likely to favor Trump.
Both suburban voters and voters in small towns and rural areas were more likely to support Trump over Biden.
Race For Senate
In the race for U.S. Senate, voters under 45 modestly preferred Mike Espy over Cindy Hyde-Smith while Hyde-Smith was preferred among older voters.
Black voters were more likely to back Espy over Hyde-Smith but white voters were more likely to support Hyde-Smith over Espy.
Hyde-Smith appeared to lead among college-educated voters. Hyde-Smith led among voters without a college degree.
Suburban voters modestly preferred Hyde-Smith over Espy. Voters in small towns and rural areas were more likely to favor Hyde-Smith.
Facing The Pandemic
The coronavirus pandemic has spread through the U.S., for roughly eight months, killing more than 250,000 Americans. Overall, 24% of voters in the state in the U.S. is saying it is mostly under control, while 27% said it’s somewhat under control. Forty-two percent of voters think the coronavirus is not at all under control in this country.
On The Issues
The coronavirus pandemic was top of mind for many voters in Mississippi. Thirty-three percent said it is the most important issue facing the country today.
Voters also considered the economy a major issue, with 29% saying it ranked at the top.
Eleven percent named health care, 10% named racism and 5% named law enforcement.
National Economy
Voters were closely divided in their assessments of the nation’s economy. Overall, 51% described economic conditions in the U.S. as excellent or good, and 48% called them not so good or poor.
Staying At Home
Among registered voters who chose not to cast a ballot in Mississippi, 42% said that was because they don’t like politics generally, 21% said they don’t like the candidates and 17% said they are concerned about being exposed to the coronavirus.
In Mississippi, 74% of nonvoters were younger than 45 and 88% did not have a college degree.
AP created this story automatically using results from AP VoteCast, a survey of the American electorate conducted by NORC at the University of Chicago for NPR, NewsHour, Univision News, USA Today Network, The Wall Street Journal and The Associated Press.
The survey of 1,249 voters in Mississippi was conducted for eight days, concluding as the close of polls. Interviews were conducted in English and Spanish. The survey combines a random sample of registered voters drawn from the state voter file and self-identified registered voters selected from nonprobability online panels. The margin of sampling error for voters is estimated to be plus or minus 3.6 percentage points.
Find more details about AP VoteCast’s methodology at https://ap.org/votecast.
HCHRA celebrates Head Start Awareness Month
The Head Start Program was created in 1965 by President Lyndon B. Johnson to provide comprehensive emotional, social, health, nutritional and educational opportunities for economically disadvantaged families across the United States. Fifty-five years later, its premise remains the same: every child – regardless of circumstances at birth – has the ability to reach their full potential.
On October 22, 1982, President Ronald Regan proclaimed October as Head Start Awareness Month to bring attention to how instrumental Head Start and Head Start programs had been in creating quality learning that prepares children with a “head start” in life. Regan proclaimed, “Perhaps the most significant factor in the success of Head Start has been the involvement of parents, teachers and all community.”
Despite the COVID-19 pandemic, Hinds County Human Resource Agency (HCHRA) found a unique way to celebrate Head Start Awareness Month. Because all classroom instruction is taking place through distance learning, HCHRA could not invite elected officials or other guests into the classroom, but they were able to use video conferencing to connect their virtual classrooms with the community.
HCHRA invited firefighters and healthcare professionals to talk to students about safety and careers in the service industry. After hearing sirens and seeing tall ladders and flashing lights, students and their telethons several students raised their hands, jumped up and down, and shouted that they want to become doctors and firefighters too.
HCHRA President and CEO Kim Cockrel said, “By the time Head Start Awareness Month rolls around next year, COVID-19 will be a thing of the past and they can invite congressmen to visit their Head Start centers.”
“Head Start is one of our strongest defenses in the fight against generational poverty,” said Cockrel. “Having the support of elected officials who enact legislation and control federal funding for Head Start is vitally important to helping children succeed and strengthening communities all across America. It’s important for them to see the tremendous impact the program has on children and families—now, and well into the future.”
HCHRA Project Head Start serves low-income families and children ages six weeks through four years old who reside in Hinds County. Families of children with disabilities are given priority for enrollment regardless of income.
For more information about HCHRA, visit www.hchra.org.
Over 9,000 Mississippi students quarantined as virus spreads
By Leah Willingham
Associated Press/Report for America
As cases of coronavirus rise in Mississippi, health officials are warning that schools and extracurricular activities could turn into hot spots.
Several high school sports teams have had to cancel or postpone games due to concerns in recent weeks. More than 9,000 students and almost 800 teachers were quarantined for coronavirus exposure in Mississippi last week, according to the state Department of Health. Since the start of the school year, about 4,500 students have tested positive for the virus.
“The schools have become one of the bigger issues this week,” State Epidemiologist Dr. Paul Byers said during an online conversation Friday hosted by the Mississippi State Medical Association. “When we look at what’s going on in the schools, now is not the time to change our course. We need to continue what we did before to make sure that we prevent transmission in those settings.”
While students and staff are generally safe during learning time in classrooms, infections are occurring during other hours like when students are participating in after school activities, gathering for lunch or socializing in school hallways, Byers said.
Tupelo High School and Lafayette County High School both had to forfeit football play-off games this week because of COVID-19 cases within the programs.
The boys’ and girls’ basketball team at LeFlore County High School went on quarantine Thursday morning, the day after Tuesday, when the students might have been exposed to the virus by someone from another team, the Greenwood Commonwealth reported.
“We are just following protocol and doing right now right now,” said Clinton Gatewood, athletics director for the Wood Leflore Consolidated School District.
Basketball and other indoor activities during the winter months are of particular concern, Dr. Thom Dobbs, Mississippi’s state health officer, recommended that schools with outbreaks send students home for virtual learning for at least a couple of weeks out of caution. He said if schools move to virtual learning, extracurriculars would be temporarily halted, too.
“For crying out loud, if you go virtual as a school, that needs to include the extracurriculars, and the sports,” he said.
Byers said it’s important that schools stick to the Health Department’s guidelines for in-person learning during the pandemic. He said he has seen school officials talk about no longer recommending that students quarantine if they are exposed to the virus and instead making it a parent’s decision whether or not a child stays home.
“That’s not going to work for us,” Byers said.
The state health department announced Thursday afternoon in JPS Central Office headquarters.
Thompson actively serves on the PTA’s and booster clubs of multiple schools in JPS. She and her husband Emmanuel have three children. They include four IPS graduates two from Wingfield, and two more from Forest Hill. Two of her children are currently enrolled in JPS schools—a senior at Wingfield and a sophomore in the Early College High School program at Tougaloo.
Thompson and her husband are entrepreneurs and community leaders. In addition to her independent Mary Kay beauty company and business, Thompson and her husband operate Thompson Technologies, a computer repair and information technology services company. They seek to improve their areas through their work within the city of Jackson and their involvement in the Brookleigh Homewoners Association and the Association of South Jackson Neighborhoods.
A five-year veteran volunteer organizer for the national health movement, GiftTech, Thompson recently served on the organization’s National Advisory Council. Her passion for fitness and empowering others extends to her ministry at her church, Greater Bethel Apostolic Assemblies Church of Jackson. There; she serves as the assistant communications director and the coordinator of the finance ministry.
A month ago I shared with a member of Greater Mt. Nebo African Methodist Episcopal (A.M.E.) Church, the church I’m privileged to pastor, that I would be leaving for a two-week visit to Rwanda, to visit friends and pastoral colleagues. To me it should have elicited no surprise as she knew that I had led groups to Rwanda since 2012, a country described by “The Land of a Thousand Hills,” owing to its incredible natural beauty.
However, what I received was a rather horrified look and a question by saying, “Well, I’m still praying for you.”
Her subsequent comments revealed the ongoing coronavirus pandemic and her assumption that I was placing myself at great risk. It was bad enough, she felt, that I would be on two flights to get there, totaling 16 hours in the sky. With my four-year layover in Addis Ababa, Ethiopia after leaving the United States. But she assumed that Rwanda would be a place where the pandemic was running rampant and therefore was placing myself at considerable danger.
After sharing with her my reports which detailed Rwanda’s commitment to combating the virus, her anxiousness dissipated but she ended our conversation by saying, “Well, I’m still praying for you.”
I left two days after my encounter with the member, confident that all would be well. My assurance was not unfounded over the course of my trip.
Rwanda, through its leadership and the many people I met, displayed a resilience and determination to protect its population from this dreaded virus, and consequently obliterated the disparaging term used by some elected officials to describe Africa.
My experience was not unusual. The requirements for my entry into Rwanda are required for everyone arriving into the country since the international airport in Kigali, the capital city, reopened at the beginning of August. With Ethiopian Airlines, my air lines of choice when travelling to Africa, currently requires that all passengers must have a recent negative SARS-CoV-2 RT-PCR test result in order to board their flights from the United States. Upon exiting my flight in Rwanda, on the tarmac, before even entering the terminal building, Rwandan government officials met all passengers to determine whether we had the required certification. Once we entered the building, we were greeted by Ministry of Health officers who administered a temperature check.
After passing through Passport Control, I proceeded to the baggage claim area when I heard “someone” state in a clear voice, “Welcome to Kigali International Airport.” While in Rwanda, I was reminded to wash your hands frequently, engage in social distancing and wear a mask.” That “someone” turned out to be a robot, who repeated that friendly, yet firm message several times before I entered the baggage claim area.
From there I proceeded to a government-approved hotel where I would spend the night. Upon my arrival at the hotel, but before I checked in, I was required to take another COVID-19-related test. I was then quarantined in my hotel room until the next morning, when upon receiving my negative test result, I was then free to move throughout the country.
During my 14-day visit, visiting the capital city, Kigali, and parts of the rural countryside, everyone wore masks, from the youngest children to elderly people, with virtually no exception. Temperature checks were conducted at restaurants, office buildings and stores. Social distancing was enforced at churches.
It became abundantly clear that Rwanda took very seriously its mission to protect its citizens from this dreaded virus. The result; as of today, February 28, in a country of just over 13 million people, they have experienced only 35 deaths from the corona virus. The country implemented the key preventive measures almost immediately after the first case was reported on March 13. No blame game, no uncertainty on the part of the national government and no squabbling among the people as far as I could tell based upon my conversations with many people. Despite the inconvenience caused upon the populace; and yes, the economic challenges they faced, the many people I spoke to were gratified since it spared the nation from countless more cases and deaths from COVID-19.
Yet here is the contradiction: After a very satisfying, safe visit to one of Africa’s jewels of a nation, upon my return to the United States at Dulles International Airport, no government official asked me any COVID-19-related questions. No one inquired as to whether I had been sick while out of the country. There were no temperature checks administered. No official asked for a recent COVID-19 test result.
In fact, I was surprised to the severe precautions that occurred in January after my last visit to Rwanda. So many safeguards were implemented by Rwanda to protect its citizens from the potential threat of others coming in carrying it. Was my experience upon my return to America another indication of the cavalier approach and reaction to the pandemic still raging in the United States? Perhaps we can learn from the successful experience of an African nation that has achieved remarkable success in fighting this pandemic.
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**COMMENTARY**
By Dr. Jonathan Weaver
With masks in tow, Dr. Jonathan Weaver (center) stands in Rwanda with Edouard Ntaryisaba CEO, DGrid Energy (left) and Dr. Jean Mfizi, an epidemiologist and deputy vice chancellor for public affairs, Adventist University of Central Africa.
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**National Diabetes Month**
By Hannah Byrd,
Public Relations
Diabetes Foundation of Mississippi
November is National Diabetes Month (DFM), and while the holidays may be all about getting closer to family, Mississippians with diabetes need to be extra mindful of sugar this year.
According to the U.S. Centers for Disease Control and Prevention, diabetes has become an underlying condition for approximately 4 in 10 COVID-19 patients, with the disease present in approximately half of those under 65 who have died from the disease.
This makes diabetes self-care more important than ever, said Dr. Lillian Lien, director of the University of Mississippi Medical Center’s endocrinology division, adding that insulin needs can spike unexpectedly during a COVID-19 infection.
“While good blood glucose control has always mattered, the pandemic brings extra motivation,” she said. “We are seeing that patients with both diabetes and COVID-19 experience longer hospitalizations, hospital stays and a higher risk of death. That’s why the work of the Diabetes Foundation of Mississippi (DFM) is especially important now,” said Lien, who sits on the board of directors.
“It ensures that Mississippians with diabetes can access what they need to take the best care of themselves.”
Indeed, we at the DFM want all Mississippians with diabetes – type 1 or type 2 – to know that we are here to teach them how to live with diabetes, support you in times of crisis and be an emergency resource when you don’t know where to turn.
Although we may be gathering virtually or socially distanced, we’re still surviving. We can toast the fact that a vaccine seems to be in sight.
For more information visit mdiblues.org or call the DFM at (601) 957-7878.
Ben Seale, MD
President
Board of Directors
Diabetes Foundation of Mississippi
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**In light of pandemic, flu vaccinations more important than ever for people at highest risk**
The American Heart Association, the leading voluntary health organization devoted to a world of longer, healthier lives, is helping to keep families and communities informed from the facts, providing facts, resources and encouraging people to get a flu vaccine.
“Getting the flu vaccine is especially important this year. If you get the flu, you may need to be hospitalized, in addition to COVID-19, in an already overwhelmed healthcare system. Get your flu shot. Avoid getting the flu. Stay out of the hospital due to the flu,” said Eduardo Sanchez, M.D., M.P.H., FAAPF, American Heart Association senior scientific officer for prevention and former commissioner of health for the state of Texas. “In a normal year, the flu is serious and can even cause death. The flu vaccine can keep you out of a hospital.”
While it is important for almost everyone six months and older to get a flu vaccine, it’s especially important for those at highest risk:
- Seniors and people with underlying risk factors such as heart disease, stroke and diabetes, among others. According to the Centers for Disease Control (CDC), those are 74% less likely to be hospitalized due to the flu.
- Pregnant women – those who are vaccinated are 40% less likely to be hospitalized due to the flu.
According to the CDC, people who are black or Latinx may be at increased risk for the flu and are least likely to get the flu shot. Over the past 10 flu seasons, non-Hispanic black people were hospitalized at the highest rates and Latinx people were hospitalized at the third highest rates for the flu. Native Americans were second highest.
Some people have misinformation and concerns about the flu vaccine, causing them to skip it altogether. Here are some facts:
- **The vaccine does not cause the flu.**
The flu vaccine cannot cause the flu. It may cause very mild side effects. The most common are soreness, swelling or redness on your arm near the site of the shot that might last only 1 or 2 days. However, the mild symptoms you might experience from the vaccine are much less severe than the flu itself.
- **It is safe and effective and easy to access.**
The flu vaccine is safe and effective for preventing the flu, and is easy to get at places that are taking extra safety measures like:
- your doctor’s office,
- pharmacy, and
- some employers that are providing drive-thru vaccinations.
- **It is accessible even without insurance.**
Many community pop-up vaccination sites, federally funded programs, local health departments, community health centers and some places like churches and community centers offer the vaccination at no cost for those who qualify.
- **It is not too late to get vaccinated.**
Flu season typically peaks between December and February, so getting the vaccine now is better than waiting. You need at least two weeks for your body to develop antibodies to the virus. However, being vaccinated anytime during flu season is better than not at all.
“No one wants the flu. The best way to keep your family and yourself safe from the flu is by getting the flu vaccine,” said Dr. Sanchez. “Don’t forget to take your mask when you go for your flu vaccination.”
The American Heart Association’s flu vaccine campaign is made possible nationally in part by generous support from the Anthem Foundation and Sanofi Pasteur.
For more flu information and resources, visit heart.org/flu-prevention.
God’s grace is sufficient
By Pastor Simeon R. Green III
Special to The Mississippi Link
I like the story that I read about a man who was talking to the Lord. It felt as though his case was more than he could bear, it was just too heavy. He asked the Lord, “Is there any way that I could trade crosses? I cannot bear this cross anymore.” The Lord said, “Yes.”
Then he invited him into a room and said, “Just lay your cross down right there.” This was a large room, and it was filled with all kinds of crosses. The Lord said, “Just pick up any one of these crosses that you want.” So the man searched through all the crosses, and when he got finished, he picked up the one he had laid down. The Lord said, “That is the very one that you carried in here.” You see, God gives a person grace for the cross that he carries, and His grace is sufficient.
In the Book of Job, we can read of how Job had a beautiful life. God had really blessed him with lots of sheep, goats, children, much land and lots of money. Indeed, he had a wonderful life. Job was a man of prayer. He gave offerings as he was supposed to do. Then, suddenly, one day, in just a short time, Job lost everything.
Job had three friends who showed up to try to comfort and help him. Basically, they said, “You must have sinned somewhere, Job. You have done something wrong. Nothing like this has ever happened to you. So, we will tell you what you need to do, Job. You need to search your life well, so that you can see where you failed God. Then, you need to repent and get right with the Lord.”
Job was a good man, but some bad things happened to him. First and foremost, there are certain laws of nature that have been in existence since the beginning of time. These laws have always had hurricanes, tornadoes, floods, earthquakes, fires and drought. Every time one of these things happen, it does not always mean that it is God’s judgment.
We live in a world where things happen. In our society, we understand these things. We understand that when it thunders, it is not the sound of angels bowling over in Heaven. When we have rain, it is not because God is crying. When we have earthquakes, it is not because God is stomping His feet. When we have tornados, it is not because God is turning His finger and making funnels. Hurricanes do not start because God sneezed.
Bad things happened to the Apostle Paul, but it was not because he sinned or failed God. God used to remind the devil of these things. The next time something bad happens in your life and the devil attacks you saying, “You cannot be right with God; you cannot be saved.” You need to remind him of the beloved Apostle Paul, who loved God, but bad things happened to him. Therefore, we know it is not uncommon for bad things to happen to good people.
Rev. Simeon R. Green III is pastor of Joyous Road Church of God, 31 Joyous Road, Hampton VA 23869. He is a member of the National Association of Evangelism Church of God, Anderson, Ind.
Adjusting to God’s promises
By Shewanda Riley
Columnist
As a child and now as an adult woman, something I always admired about my late daddy was that he always kept his promises. If he said he was going to do something, it was done. If fact, even before I could tell time, I remember as a child that I always knew it was 5 p.m. or dinner time because that was the time he always came home from work.
I may not have always agreed with my daddy, but I always trusted and respected him because of that consistency. Some say that the relationship you have with your natural father also affects how you see your relationship with God.
I agree that because I trusted my daddy, I also trust God…when he says he’s going to do something, I believe it’s going to happen.
What I’ve learned as an adult is that God’s promises are trustworthy even when others are not. Sometimes I’ve thought that because that I believed God promised didn’t happen when I thought it should, God’s purpose had changed.
One of the most intriguing movies I’ve seen in recent years was The Adjustment Bureau which shows how much our free will can impact how we perceive God’s preordained plans and promises for our lives. A friend recommended that I see it and thought I would enjoy it because it had great spiritual concepts that I should pay attention to. He was right; I did enjoy the movie and especially liked the following lines spoken by Harry Mitchell (played by Antje Traue Mackie) who worked for the mysterious organization called The Adjustment Bureau: “Most people live life on the path we set for them. Too afraid to explore any other. But once in a while people like you come along and kind of destroy the obstacles we put in your way. People who realize free will is a gift, you’ll never know how to use it until you fight for it, I think that’s The Chairman’s real plan. And maybe, one day, we won’t write the plan. You’ll.”
These lines reminded me of scriptures in the bible that talk about God and his plans for our lives. Proverbs 9:21 says, “Many are the plans in a man’s heart, but it is the LORD’s purpose that prevails.” Since God gave us free will and the ability to choose, maybe part of His greater purpose is that we start making better choices and remember His promises.
One day as I was praying, God gave me this revelation how to hold onto promises I was still waiting for him to fulfill: “God’s promises remain the same even when people leave and I commend you for it. Still I am continuing praying about some recent changes in my life. I thought of it as an answer to my prayers about those recent changes.
It was comforting to know that no matter how long I’ve been waiting on those promises to be fulfilled, God’s promises were still valid. I just needed to keep waiting because even if the plan changed, God’s promises remain unchanged. In Jesus Name…Amen.
Shewanda Riley is a Fort Worth, Texas based author of “Love Hangover: Moving from Pain to Purpose After a Relationship Ends” and “Writing to the Beat of God’s Heart: A Book of Prayers for Writers.” Email email@example.com or follow her on Twitter @shewandariley.
New Bethel Missionary Baptist Church
Pastor, Dr. F. R. Lenoir
Sunday School - 9:15 a.m.
Sunday Morning Worship - 10:30 a.m.
Live Radio Broadcast
WOAD AM 1300 - 11:00 a.m. - 12:00 p.m.
New Bethel M. B. Church - 450 Cullerston Ave. - Jackson, MS 39209
601-969-3487/969-3482 • Fax # 601-969-1957 • E-Mail: firstname.lastname@example.org
Crossroads Church of God
Sharing The Love Of Christ With Others
Sunday Morning Fellowship 9:30 a.m.
Sunday School 10 a.m.
Sunday Worship Service 11:15 a.m.
Wednesday Prayer/Bible Study 7 p.m.
Sunday Worship Service 10 a.m.
Rev. Mark Jackson, Pastor
231-A John Day Road - Off Hwy 16 East • Canton, MS 39046
Church: 661-859-2658
LEGAL
Office of Transportation
Disadvantaged Business Enterprise (DBE) Annual Goal
Fiscal Years 2021-2023
In accordance with the regulations of the United States Department of Transportation (USDOT), 49 CFR Part 26, the City of Jackson/Office of Transportation has created a Disadvantaged Business Enterprise (DBE) Program. It is the purpose of the City of Jackson/Office of Transportation to create a level playing field on all projects that can contribute for USDOT assisted contracts, as defined in Part 26. In accordance to the required process and the latest Census Data, the City of Jackson/Office of Transportation proposes the following DBE Annual Goal for Fiscal Year 2021 (2.5%). The City of Jackson/Office of Transportation will also impose project goals where applicable. The proposed annual goal and its rationale are available for inspection from 8 am to 4 pm, Monday through Friday, in the Office of Transportation for thirty days following the date of publication of this notice. Comments on the proposed annual goal will be accepted by the City of Jackson/Office of Transportation and the Office of Transportation-FTA (OT-FTA) for twenty (20) calendar days from the date of publication of this notice. Comments directed to: Christine Welch, Deputy Director of Office of Transportation, 17878 Highway 80W, Jackson, MS 39204, phone number 601-960-1908, email email@example.com.
10-29-2020, 11-5-2020, 11-12-2020, 11-19-2020, 11-26-2020, 12-3-2020
LEGAL
ADVERTISEMENT FOR BIDS
CITY OF JACKSON, MISSISSIPPI
LEGAL PUBLICATIONS FOR 2021
Pursuant to Section 21-3-39 of the Mississippi Code of 1972, as amended, notice is hereby given that the City of Jackson, Mississippi ("City of Jackson"), seeks competitive bids for the City of Jackson's annual contract for legal publications.
Sealed bids will be received in the Department of Municipal Clerk at City Hall in the City of Jackson, until 3:30 p.m., Tuesday, December 8, 2020, for the publication of the City of Jackson's ordinances, ordinances, resolutions and other notices required to be published. All submitted bids should be sealed and plainly marked "Bid for Legal Publications" on the outside of the envelope.
Each bidder is responsible for documenting its bid with the necessary attachments evidencing its qualifications and compliance with all relevant criteria set forth in Section 13-3-31 of the Mississippi Code of 1972, as amended.
Each bid must be submitted on the bid form provided by the Department of Municipal Clerk. Bid forms may be obtained from the Department of Municipal Clerk. Each bidder must quote a per word rate of one-hundred-word advertisement to the nearest one-tenth of a dollar, e.g. $0.999999. The quoted per word rate must be for a first, second and third publication. Bidders must also include a flat rate for supplying a proof of publication.
Official bid documents can be downloaded from Central Bidding at www.centralbidding.com. Electronic bids and sealed bids must be submitted at www.centralbidding.com. For any questions relating to the electronic bidding process, please call Central Bidding at 225-810-4814.
The determination of the low bidder will be based on a per word rate of a one-hundred-word advertisement, a first (1) and a second (2) proof of publication. The successful bidder will be awarded a one-year contract for the term of January 1, 2021 through December 31, 2021.
By: Angela Harris
Angela Harris, City Clerk
City of Jackson, Mississippi
Bid Specifications for Legal Publications 2021
Scope
The City of Jackson, Mississippi ("City of Jackson"), seeks competitive bids for the City's annual contract for legal publication.
11-19-2020
LEGAL
Advertisement for RFPs
RFP 2020-21 Next Generation Firewall
Sealed, written formal rfp proposals for the above rfp will be received by the Board of Trustees of the Jackson Public School District in the Business Office, 662 South Prentiss Street, Jackson, MS 39201, until 10:00 A.M. (Local Prevailing Time), December 09, 2020 at which time and place they will be publicly opened and read aloud. A bidder’s voice call will be held at 1:00 PM (local prevailing time), December 09, 2020. The Board of Trustees reserves the right to reject any and all rfp’s, to waive informalities, and to withhold the acceptance of any rfp if approved for forty-five calendar days from the date rfp’s are opened.
Proposed terms and detailed specifications may be obtained free of charge by calling 601-960-1908 or emailing firstname.lastname@example.org, calling (601) 960-8799, or documents may be picked up at the above address or downloaded from JPS website at www.jackson.k12.ms.us.
11-19-2020, 11-26-2020,
LEGAL
NOTICE OF PUBLIC HEARING OF THE JACKSON HISTORIC PRESERVATION COMMISSION
I. APPLICATIONS FOR CERTIFICATE OF APPROPRIATENESS
A. OLD BUSINESS
1. CASE NO. 2020-21, REQUESTED BY: THEO AND JESSICA DAVIS TO ADD A STORAGE BUILDING AT 1628 LINDEN PL. LOCATED IN THE BELHAVEN HISTORICAL DISTRICT.
2. CASE NO. 2020-29, REQUESTED BY: SEAN AND MEG McCURDY TO REBUILD COLONIAL REVIVAL FRONT DOOR ENTRANCE AT 1670 DEVINE ST. LOCATED IN THE BELHAVEN HISTORICAL DISTRICT.
3. CASE NO. 2020-30, REQUESTED BY: BARRY W. HOWARD TO DEMOLISH THE BUILDING AT 703 NORTH LAMAR ST. LOCATED IN THE PARISH HISTORICAL DISTRICT.
B. NEW BUSINESS
1. CASE NO. 2020-31, REQUESTED BY: KARL N. TAYLOR TO DESIGNATE THE KAZERY HOUSE AT 4920 ROBINSON ROAD EXTENSION TO JACKSON LOCAL LANDMARK.
2. CASE NO. 2020-32, REQUESTED BY: CHARLES TURNAGE TO REPLACE EXISTING WINDOWS AND WINDOWS WITH THE SAME LOOK AS THE EXISTING AT 1346 LINDEN PL. LOCATED IN THE BELHAVEN HISTORICAL DISTRICT.
3. CASE NO. 2020-33, REQUESTED BY: JANEH SAKALAKUUS TO INSTALL 6FT STEEL PICKET FENCE WITH TWO WALK GATES TO ENCLOSE THE SIDE AND BACK YARD OF THE PROPERTY AT 1001 BELHAVEN ST. LOCATED IN THE BELHAVEN HISTORICAL DISTRICT.
4. CASE NO. 2020-34, REQUESTED BY: DAVID BLOUNT TO REMOVE THE SCREEN PORCHES IN THE BACKYARD OF THE PROPERTY AT 1035 ST. MARY ST. LOCATED IN THE BELHAVEN HISTORICAL DISTRICT.
III. ADJOURN
DUE TO COVID-19 AND THE CONCERN FOR THE PUBLIC HEALTH, SAFETY AND WELFARE, COMMISSIONERS AND APPLICANTS WILL ATTEND THE MEETING VIA TELECONFERENCE/VIDEO. MEMBERS OF THE PUBLIC MAY ATTEND VIA TELECONFERENCE/VIDEO BY EMAILING email@example.com TO REGISTER PRIOR TO DECEMBER 2, 2020.
11-19-2020, 11-26-2020,
LEGAL
NOTICE OF PUBLIC CONSULTATION
Disadvantaged Business Enterprise (DBE) Three-Year Overall Goal & Goal Methodology for Federal Fiscal Years 2021–2023
This announcement will serve as notice of the City of Jackson’s Office of Transportation’s Disadvantaged Business Enterprise (DBE) Overall Goal of 2.50% for Federal Transit Administration (FTA) funded contracts. The overall goal is for a three-year period from October 1, 2020 (Federal Fiscal Year 2021) through September 30, 2023 (Federal Fiscal Year 2023). The City’s Office of Transportation will use a triennial goal and overall goal that is race-neutral and 10% race-conscious measures. The overall goal is expressed as a percentage of FTA funds that the City’s Office of Transportation projects to receive for the three-year period. The goal will be achieved in accordance with the U.S. Department of Transportation (DOT) DBE Final Rule, 49 Code of Federal Regulation, Part 26. The triennial goal is established to achieve a “level playing field” for DBEs to participate in the Office of Transportation FTA-assisted contracting opportunities.
PUBLIC CONSULTATION MEETING
A public consultation meeting will be held with stakeholders, which includes industry and government groups, community organizations, trade associations, and other officials or organizations that may have information concerning the availability of disadvantaged business and comments on the DBE overall goal and goal methodology.
Tuesday, December 1, 2020
3:00 p.m. – 4:00 p.m.
Virtual Zoom Meeting
Please contact the Point of Contact to receive Meeting Invite.
Point of contact: Marilyn Guice, Transportation Planning Manager City of Jackson - Office of Transportation
601-960-0864
firstname.lastname@example.org
Upon request, foreign language translation, sign language interpretation, and materials in alternative formats will be made available to persons available to the public for the City of Jackson, Office of Transportation sponsored meetings and events. All requests for reasonable accommodations must be made at least two working days (72 hours) in advance of the scheduled meeting. Please contact 601-960-0864 between 8 am and 5 pm, Monday through Friday. Individuals with hearing or speech impairment may use Mississippi Relay Service 711.
11-12-2020, 11-18-2020
LEGAL
Notice of Sale
Abandoned Vehicle
Notice of Sale is hereby given in accordance with the Mississippi Statutes governing the sale of abandoned motor vehicles that the following vehicle will be sold for repair and storage charges and for cost of this sale.
2008 MAZD 4F2CZDZ58KM19752
Registered to: Carlissa Robertson
Well Fargo, Lien Holder
Date of Sale: Dec. 4, 2020
Place of Sale: Archie Towing Services;
6700 Medgar Evers Blvd., Jackson, MS 39213
Sellers reserve the right to bid on the above property and to reject any and all bids. Time: 10:00 A.M.
11-19-2020, 11-26-2020, 12-3-2020
ADVERTISEMENT FOR BIDS
BY THE
JACKSON MUNICIPAL AIRPORT AUTHORITY
For
CONSTRUCTION AND RELATED SERVICES
IN CONNECTION WITH THE
WEST CONCORSE ROOF REPLACEMENT PROJECT
JACKSON-MEDGAR WILEY EVERS INTERNATIONAL
AIRPORT JMAA PROJECT NO. 002-20B
The Jackson Municipal Airport Authority (“JMAA”) is seeking bids for construction and related services in connection with the West Concourse Roof Replacement Project at the Jackson-Medgar Wiley Evers International Airport (the “Work”).
Sealed bids to perform the Work will be accepted by JMAA until 4:00 p.m. Central Standard Time (CST), on Tuesday, December 15, 2020 (the “Bid Deadline”). Bids may be accepted by email, mail, or hand delivery as follows:
Email: email@example.com
By mail or hand delivery: JMAA’s administrative office, Suite 309, Terminal Building
Jackson-Medgar Wiley Evers International Airport
100 International Drive, Jackson, Mississippi 39208
JMAA will publicly open and read all bids on Tuesday, December 15, 2020 at 4:05 p.m. (CST) (the “Bid Opening”), in the Staff Conference Room, Third Floor of the Terminal Building at JAA. JMAA invites Bidders and their authorized representatives to be present at the Bid Opening.
Questions and/or clarifications regarding the bidding procedure and contract on this project should be directed to: Mr. Paul A. Brown, Chief Executive Officer, firstname.lastname@example.org, and 601-684-3504.
The following identification information must be provided with the submission: (i) bidder’s company name; (ii) Mississippi Certificate of Responsible Number; and (iii) the West Concourse Roof Replacement Project at Jackson-Medgar Wiley Evers International Airport, Project No. 002-20B. If the submission is submitted via email, the information must be included in the body text in the email subject line. If the submission is submitted by hand delivery or mail, then the identification information must be written on the outside or exterior of the bid envelope or container.
JMAA will not consider any submissions, including bid proposals, amendments to bids, or requests for withdrawal of bids received, after the Bid Deadline for any reason whatsoever.
JMAA will award the Work to the lowest and best bid as determined by JMAA in accordance with the criteria set forth in the Information for Bidders. Plans and specifications related to the Work are considered part of the Agreement. Any Addenda issued clarifying and/or changing plans and specifications, modifying the change orders, providing instructions to Bidders, and answering questions in relation to the Instructions to Bidders shall become part of the Information for Bidders.
The Information for Bidders and bidding documents for the Work can be found at (https://www.jmaa.com/corporate/contracting). The website will be updated periodically with addenda, reports and other information relevant to submitting a Bid for the Work.
Interested parties may register and order plans and specifications from the Jackson Blueprint Online Plan Room website (http://www.jacksonplanroom.com). A valid email address is required for registration. There is no charge for registration or to view the documents online. Documents may be downloaded from this website for a non-refundable fee of Twenty-Five Dollars ($25.00) plus applicable sales tax.
Plans and specifications may also be purchased through the website (http://www.jacksonplanroom.com). A printed bid set is $75.00 plus $20.00 shipping and applicable sales tax. Bid documents may be picked up or shipped to the party making the request. Documents will not be distributed or mailed, however, until payment is received. For questions regarding website registration and online ordering contact Jackson Blueprint & Supply at (601) 353-5803.
JMAA reserves the right to amend the plans and specifications for the Work by Addendum issued before the Bid Deadline. Review any and all bids; to waive technicalities in the bid proposals.
JMAA has established a Disadvantage Business Enterprises participation goal of 12.60% for the Work solicited by this RFB.
JACKSON MUNICIPAL AIRPORT AUTHORITY
/s/ Paul A. Brown
11/19/2020
Paul A. Brown, Chief Executive Officer
Sealed bids will be opened and read at 10:00 A.M. (Local Prevailing Time) December 14, 2020, at which time and place they will be publicly opened and read aloud. A Pre-Bid Conference concerning this project will be held at 2164 Croft Fred Harris St., Jackson, MS 39204 on November 19, 2020 at 9:30 A.M. Attendance at the pre-bid conference is not mandatory but strongly encouraged. The Board of Trustees reserves the right to reject any and all bids, to waive informalitys, and to withhold the acceptance of any bid if approved for forty-five calendar days from the date bids are opened.
Plan holders are required to register and order bid documents at www.jmsdmsprojects.com. A $150.00 Non-refundable deposit shall be required on each printed set of bid specs/documents. A $100.00 Nonrefundable deposit shall be required on each digital PDF set of bid specs/documents. Documents must be purchased through the website. All plan holders are required to have a valid email address for registration. Questions regarding website registration and online orders, please contact Plan House Printing, 607 W. Main Street, Tupelo, MS 38804, (662) 407-0193. Questions regarding bid documents please contact Anderson Ervin at Durrell Design Group, Phone: 601-708-4788, Fax: 601-368-3860 or Email: email@example.com.
The City of Jackson is committed to the principle of non-discrimination in public contracting. It is the policy of the City of Jackson to promote full and equal business opportunity for all persons doing business with the City. As a prime contractor to subdivide, each contractor/bidder or offeror shall submit a completed and signed Equal Business Opportunity (EBO) Plan. Applications will be made available in advance with the provisions of the City of Jackson’s Equal Business Opportunity (EBO) Executive Order. Failure to comply with the City’s Executive Order shall disqualify a contractor/bidder or offeror from being awarded a public contract. For more information on the City of Jackson’s Equal Business Opportunity Program, please contact the Office of the Director of President Street, Second Floor, Jackson, Mississippi.
The City of Jackson, Mississippi (“City of Jackson”) is committed to cultivating and ensuring the quality of life of its citizens, through fair labor practices, employment opportunities, and equal treatment. The City encourages all persons, corporations, and/or entities doing business within the City, as well as those who seek to contract with the City, to consider the City and seek out business in the City, to assist the City in achieving its goals by strongly considering City residents for employment opportunities.
Bid preparation will be in accordance with the instructions and directives bound in the project manual. The City of Jackson reserves the right to reject any and all bids and to waive any and all irregularities in respect to any bid submitted or to accept any proposal which is deemed most favorable to the City of Jackson.
A PRE-BID CONFERENCE WILL BE HELD
All Contractors who intend to submit “BIDS” are encouraged to attend a pre-bid conference to be held Tuesday December 15, 2020 at 10:00 AM in the First Floor Conference Room, Hood Building, 200 South President Street, Jackson, MS
Charles Williams, Jr., PE, PhD
PW Intern Director of Public Works
Community Development
Vanessa Henderson
Deputy Director
Housing & Community Development
11-19-2020, 11-26-2020, 11-12-2020, 11-19-2020
We work to provide opportunities for Mississippi.
At Entergy Mississippi, we work hard to make sure local suppliers and contractors are aware of business opportunities to work with us, which helps grow the economies of the communities we serve.
If you are a Mississippi supplier or contractor that performs work related to construction extension and/or repair of electric facilities and would like to learn about training and bid opportunities, visit entergymississippi.com/hiremississippi or call 844-387-9675.
A message from Entergy Mississippi, Inc. ©2016 Entergy Services, Inc. All Rights Reserved.
Cryptogram
A cryptogram is a puzzle where a sentence is encoded by substituting the usual letters of the sentence with other letters. The goal of the puzzle is to "decode" the sentence to reveal the original English sentence. The clues provided below should help you to help get you started.
Hint: Quote by Sherlock Holmes
Cryptogram Solution
Eliminate all other factors, for example, the color of the eyes, and this one trait remains.
Must be the truth.
Cryptogram Solution
F C A T H W A I T
L E D A L I S R
A L I E L E N D O
P I E B E S A D D
S O U P A C
M F W A I T
S A P L U A N D A
C I R C U S T I N
A R O U S E S E O S
N Y M P H S S T Y
Crossword Puzzle
ACROSS
1. Farm credit administration (abbr.)
4. French word for "yes"
10. Hendel
11. Farmer
12. Boxer Muhammad
13. Severe storm causing current
14. Cadets
16. Put together
17. Sleep
18. A conditioner, for short
20. Medium frequency
22. Bide
26. Set up
29. National capital
31. Truque
32. Can metal
34. Strike
35. Aurora
36. Lesser goddesses
37. Eye infection
DOWN
1. Waves
2. Large stringed instrument
3. Add.
4. Alder
5. Shampoo brand
6. Luck
7. Continent
8. Rip
9. Walked
15. Meteorone marking
19. Communication Workers of America (abr.)
21. Tired
23. Bet
24. Dope
25. Bitter herb
26. Slam
27. Incorporeal
28. Ball
30. Avails
32. Goblet
Pick Up
The Mississippi Link
At The Following Locations:
Jackson
Bully's Restaurant
3118 Livingston Road
Cash & Carry
Capitol Street and Monument Street
City Hall
219 S President St
Garrett Office Complex
2659 Livingston Road
Dollar General
3957 Northview Dr (North Jackson)
Dollar General
2030 N Swell Rd
Dollar General
4331 Highway 80W
Dollar General
5990 Medgar Evers Blvd
Dollar General
1214 Capitol St (Downtown Jackson)
Dollar General
304 Briarwood Dr
Dollar General
2855 McDowell Rd
Dollar General
104 Terry Rd
J & A Fuel Stores
3249 Medgar Evers Blvd.
Liberty Bank and Trust
2325 Livingston Rd.
McDade's Market
Northside Drive
McDade's Market #2
653 Duling Avenue
Picadilly Cafeteria
Jackson Medical Mall
350 W Woodrow Wilson Avenue
Shell Food Mart
5492 Watkins Drive
Sports Medicine
Fortification and I-55
Murphy USA
6394 Ridgewood Rd (North Jackson)
Revell Ace Hardware
Terry Rd (South Jackson)
Walgreens
380 W. Woodrow Wilson Ave
Canton
A & I
716 Roby Street - Canton, MS
B & B
702 West North Street - Canton, MS
Boutique Store
3355 North Liberty - Canton, MS
Bully's Store
Church Street - Canton, MS
Community Mart
743 Ruby Street - Canton, MS
Fryer Lane Grocery
Martin Luther King Drive - Canton, MS
Hamlin Floral Design
285 Peace Street - Canton, MS
Joe's Sandwich & Grocery
507 Church Street - Canton, MS
K & K One Stop
110 West Fulton Street - Canton, MS
Lacy's Insurance
421 Peace Street - Canton, MS
Soil Set Barber Shop
257 Peace Street - Canton, MS
Trailer Park Grocery
22 Westside Drive - Canton, MS
Byram
Dollar General
125 Swinging Bridge Dr.
Havior's Auto Care
5495 I-55 South Frontage Road
Vowell's Market Place
5777 Terry Road
City Hall
Terry Road
Clinton
Dollar General
807 Berkshire St - Clinton, MS
Terry Service Station
at Exit 78
City Hall
West Cunningham Avenue
Raymond
Hinds Community College Welcome Center
505 E. Main Street
Sunflower Grocery
122 Old Port Gibson Street,
Raymond, MS
Love Food Mart
120 E. Main Street,
Raymond, MS
Raymond Public Library
126 W. Court Street, Raymond, MS
Raymond City Hall
110 Courtyard Square, Raymond
Raymond Courthouse
Utica
Hubbard's Truck Stop
Mississippi Hwy 18
Pitt Stop
101 Hwy 18 & 27
Bolton
Bolton Library
Bolton City Hall
MCAN
Mississippi Classified Advertising Network
To place your statewide classified ad order, call MS Press Services at 601-981-3060
Classes / Training
COMPUTER AND IT TRAINING PROGRAM! Train ONLINE to get the skills to become a Computer and Help Desk Professional - now! Courses and Scholarships available for certain programs for qualified applicants. Call CCI for details! 833-992-0228 (M-F 8am-6pm ET)
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Employment
L.E. Tucker & Son, Inc. - CDL Drivers needed to run from S.E. to West Coast. Experienced Singles and Teams. Check out our pay package. Singles, 41 cents per mile for 60 day probationary period. 46 cents per mile thereafter. Teams, 50 cents per mile for 60 day probationary period. 55 cents per mile thereafter. Best model conventional trailers. Home weekly. Benefits package. Pearl, MS. 601-939-8088. www.tuckerdanson.com
For Sale
Enjoy 100% guaranteed, delivered to-the-door Omaha Steaks! Get 4 FREE Pork Chops with FREE Shipping! BREAK-ORDER the Omaha Steaks Catalog - ONLY $129.99. Call 1-855-398-5977 and use code 66762MGH or visit www.omahasteaks.com/offer/1003
Generac Standby Generators
The weather is increasingly unpredictable. Be prepared for power outages. FREE 7-year extended warranty ($699 value), Schedule a FREE Home Assessment Today. Call 1-844-316-8630. Special financing for qualified customers.
The GENERAC PWRecell, a solar plus battery backup system, SAVE money, reduce your reliance on the grid, prepare for power outages and power your home. Full installation services available. $0 Down Financing Option. Request a FREE, no obligation, quote today. Call 1-844-355-7099
Home Improvement
ELIMINATE GUTTER CLEANING FOREVER! LeafFilter, the most advanced debris-blocking gutter protection. Schedule a FREE LeafFilter estimate today. 15% Off Entire Purchase. 10% Senior & Military Discounts. Call 1-866-479-1028
Insurance
Attention Small Business Owners! Are you protected in case of property damage or if you have an interruption in service due to a property event? Business Owner Property insurance IS AFFORDABLE. We can GUARANTEE YOU when the unexpected happens! For free quote, call 855-933-1267 (M-F 7:30 am-7:30 pm ET)
Auto Insurance Starting at $49/month! Call for your free rate comparison to see how much you can save! 1-833-675-1507
Dental Insurance from Physicians Mutual Insurance Company. Coverage for (350) procedures. Real dental insurance (and not just a discount plan). Don't wait! Call now for your FREE Dental Information Kit with all the details! 1-855-3-99-7-5-5 www.physiciansmutualins.com/emp/4258
Up To $15,000.00 of Guaranteed Life Insurance! No medical exam or health questions. Cash to help pay funeral and other final expenses. Call Physicians Life Insurance Company. 844-439-8447 or visit www.Life5plus.info/ms
Medical Supplies
Attention Diabetics! Save money on your diabetic supplies! Convenient home shipping for monitors, test strips, insulin pumps, meters and more. To learn more, call now! 877-368-0628
Viagra and Cialis Users! 50 Pills SPECIAL $99.00 FREE Shipping! 100% guaranteed. CALL NOW! 844-821-3242
Miscellaneous
Donate Your Car to Charity. Receive maximum value of write off for your taxes. Running or not! All conditions accepted. Free pickup. Call for details. 855-400-8263
Services-General
DIRECTV - Every live football game, every Sunday - anywhere - on your favorite device. Restrictions apply. Call IVS 1-855-978-3118
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Place Your Classified Ad STATEWIDE In 100 Newspapers!
To order, call your local newspaper or MS Press Services at 601-981-3060.
Statewide Rates:
Up to 25 words.............$210
1 col. x 2 inch............$525
1 col. x 3 inch............$785
1 col. x 4 inch...........$1050
Nationwide Placement Available
Call MS Press Services
601-981-3060
Week of November 15, 2020
Speculation swirls that Trump will resign, clearing way for pardon by VP Pence
By Stacy M. Brown
NNPA Newswire Senior National Correspondent
According to multiple news reports, with the walls of defeat from the 2020 election closing in, lame-duck President Donald Trump may be seeking a way to avoid prosecution after he is no longer in office while still claiming victory in the election.
Numerous outlets are reporting that Trump is preparing for after the White House, planning a major media platform that could net him billions of dollars because of his robust following.
He’s also examining a host of presidential pardons, including for his family members and himself.
One former Democrat aide even floated this wild prediction Nov. 14: In an editorial for The Hill, Brent Budowsky, who served as an aide to former Sen. Lloyd Bentsen (D-Tex.) and former Rep. Bill Alexander (D-Ark.), said, “Trump will resign the presidency, and [Vice President] Mike Pence will pardon him.”
“A presidential pardon by Pence would not offer protection from cases originating in state, but it would be far more manageable if they are not sunk into a morass of federal cases that only a federal pardon can protect him from,” Budowsky added.
“But I while suspect we will learn that he is not nearly as wealthy as he claims, Trump can reap extravagant financial rewards from the mother of all business deals which he could conclude shortly after he leaves office.”
CNN reported that current and former Trump administration officials say there’s been minimal preparation for an expected onslaught of clemencies, as Trump is still pursuing dubious legal challenges to the election.
But his Twitter feed over the past three weeks offers a chilling list of where the president might turn to wield his pardon power — primarily toward those targeted by former special counsel Robert Mueller’s investigation.
“Perhaps the biggest looming pardon question is whether Trump will consider granting himself a pardon, amid state investigations into his business and finances and the prospect of federal investigators scrutinizing him after he leaves office,” CNN’s Evan Perez noted.
Vanity Fair, Forbes, The Independent, and other news outlets are also publishing articles related to Trump’s possibility of pardoning himself.
Each outlet speculates that the president is sure to pardon Trump organization employees who might come under investigation.
Attorney and former New York City Mayor Rudy Giuliani reportedly is under federal investigation, and former Trump advisor Steve Bannon has already been indicted.
It’s believed a pardon will occur for Jared Kushner’s father, Charles Kushner, who was prosecuted by former New Jersey Governor Chris Christie and pleaded guilty in 2004 to tax evasion, retaliating against a witness and lying to the Federal Election Commission.
Forbes reported that President-elect Joe Biden wouldn’t pardon Trump.
“If Trump can’t pardon himself, he would likely have to preemptively resign from office so that Vice President Mike Pence could assume the presidency and pardon him,” the magazine reported, echoing the editorial by Brent Budowsky in The Hill.
Any pardon Trump potentially receives would only apply to alleged federal crimes.
New York Attorney General Letitia James and Manhattan District Attorney Cyrus Vance have separate state-related fraud and financial crimes cases involving Trump.
A federal pardon would not hinder prosecution in those cases.
Only the president could offer Trump such protection.
Trump’s adversarial and sometimes volatile relationship with New York Democratic Mayor Andrew Cuomo makes such a state-level pardon challenging to imagine.
“The Power to grant Reprieves and Pardons for Offenses against the United States, except in Cases of Impeachment,” is vested in the President,” the Department of Justice wrote in August 1974, days before President Richard Nixon resigned.
“This raises the question of whether the president can pardon himself. Under the fundamental rule that no one may be a judge in his own case, it would seem that the question should be answered in the negative,” Forbes reported.
Breonna Taylor grand juror: Cops ‘got slap on the wrist’
By Dylan Loven
Associated Press
A woman who sat on the Breonna Taylor grand jury said she believes their investigation was incomplete and that prosecutors wanted to give police “a slap on the wrist and close it out.”
The woman, one of the third grand jurors to speak anonymously about the September proceedings, joining two others who said the 12-member panel was not given the option to consider charges against the officers who shot and killed Taylor in March.
The woman, in her first published interview, told The Associated Press that when the proceedings concluded with three wanton endangerment charges for one officer, she felt herself saying “no, that’s not the end of it.”
“I felt like there should’ve been more charges,” she said in a phone interview. She echoed two other grand jurors’ complaints that the panel wasn’t allowed to consider additional charges because prosecutors told them the use of force was justified.
Former officer Brett Hankison was charged by the grand jury with three counts of wanton endangerment, a lower-level felony for firing into an adjacent apartment where people were present. The two officers who shot Taylor, according to ballistics evidence, were not charged by the grand jury. One of those officers, Jonathan Mattingly, was shot by a police officer during a search-and-raid and returned fire. Taylor’s boyfriend said he thought an intruder was breaking into her apartment.
The officers were serving a narcotics warrant March 13 when they shot Taylor, but no drugs or cash were found in her home. The 26-year-old black woman was an emergency medical worker who had settled in for the night when police busted through her door. The shooting sparked months of protests in Louisville alongside national protests over racial injustice and police misconduct.
The woman on the grand jury said she didn’t understand why prosecutors didn’t consider endangerment charges against Mattingly and the other officer, Myles Cosgrove.
“All of them went in blindly, you really couldn’t see into that lady’s apartment as they explained to us. There was just TV on,” she said of Taylor’s Louisville apartment. The scene “went in there like the O.K. Corral, wanted dead or alive.”
Hankison was fired in June for his actions during the raid.
Cosgrove, in his testimony to investigators, said his apartment was completely dark and he saw “vivid white flashes” and a “distorted shadowy mass, a figure in front of me.” He fired his handgun 16 times, according to ballistics evidence.
Mattingly, who recovered from a gunshot wound to the leg, said in a media interview last month that Taylor “didn’t do anything to deserve a death sentence.”
Typically, grand juries meet in secret and the deliberations are kept sealed. But last month, a male grand juror won a court battle to address the public about the secret proceedings. Another male juror came forward soon after.
The woman said she and other jurors were rankled by Cameron’s statements after the proceedings, including that grand jurors “agreed” that no other charges were justified.
“I felt like he was trying to throw the blame on somebody else, that we felt like we as jurors, we weren’t going to (speak) out,” she said. “He made it feel like it was all our fault, and it wasn’t.”
Cameron took the investigation into the police actions on the night of Taylor’s death after the local prosecutor recused himself. Cameron had four staffers working on the case and had evidence analyzed by the FBI’s crime lab. He said at a widely-viewed news conference Sept. 23 that the investigation determined that Mattingly and Cosgrove were justified in their use of force because they had been fired on by Taylor’s boyfriend, Kenneth Walker. He also said prosecutors “walked them through every homicide offense,” a statement the three grand jurors have disputed.
Kevin Glgowner, an attorney for the three grand jurors, said Cameron apparently didn’t believe grand jurors would ever go public.
“The expectation that day was nobody would ever contradict what (Cameron) was saying,” Glgowner said. “He was hiding behind the grand secrecy rule and the history of the grand jury.”
Taylor’s mother, Tamika Palmer, has called for another special prosecutor to be appointed to the case.
The grand juror said she decided to talk in part because she wanted Palmer to know “we didn’t have anything to do with” the lack of charges on the officers who shot Taylor.
“I didn’t feel that the family was getting justice,” she said.
Investing in safety and in Mississippi.
Providing safe, reliable natural gas is our job. But supporting communities is our responsibility. That’s why we support the Hire Mississippi program. We work hard to ensure local suppliers and contractors have the opportunity to work with us.
If you are a Mississippi supplier or contractor interested in doing business with us, please register with us at atmosenergy.com/HireMississippi.
To relax, or not to relax? Why not? Whatever. Your hair has gone through several stages of change: braided, braided, straightened, curled, permed and loc’d, put it beneath a turban, a durag, scarves, wigs and kan-gols. It’s been shaved, picked, plucked, pulled back and done up. There were times when you wanted your own hair, and you don’t want your children to go through that. So look for “Glory” by Kahran and Regis Bethencourt, and call the kids.
As photographers, Kahran and Regis Bethencourts say that they consider themselves “cultural storytellers” who believe that black culture has been “underrepresented.” For far too long, for instance, black children were led to believe that their hair and skin was “not long enough, not straight enough…too dark or too light.” As the Bethencourts noticed the somberness in their portraits of children, they reached beyond racial stereotypes to childhood hair issues and decided that “acceptable black beauty was not our natural beauty…”
They vowed to change the perception.
The children in these pages “are a recognition and celebration of the beauty and versatility of black beauty and its innate glory,” Regis said. The kids are chosen because they’re change-makers, because they’ve stood up to adversity, racism, bullying, illness, poverty, loss, or other hardships. Some wear the crowns of kings and queens here, while some reflect the dress of their cultures.
Among others, there’s Nia from England, who overcame a skin condition that left her scarred. There’s Kaylee, a singer from Chicago. Nariah from Maryland is a definite foodie. There’s Mbali from South Africa, whose modeling career helped her to overcome shyness. Karryn from Kenya, with his dazzling sense of pride, even though they’re frowned upon in his culture. Havana from Germany hopes to be an astronaut someday. Khersin from California founded a clothing company. Boyson from Texas is “a kid advocate” for HBCUs, and there’s Ava, a fair-skinned, blonde and blind African American eleven-year-old who learned to “appreciate the way God created me.”
Pick up “Glory” and flip to any random page. You’ll immediately see that the title is apt. Indeed, much is glorified inside this book, including the no-nonsense strength and do-what-you-desire attitude of the generation coming up. These kids are pretty incredible, as evidenced by the brief biographies that accompany every portrait. Some will bring you to tears, while others are downright empowering.
Speaking of empowering, inspirational quotes are scattered throughout, so look for them – that is, if you can take your eyes off the exquisite portraiture from photographers Kahran and Regis Bethencourt. The lighting in each is perfect. The costumes that the children wear are gorgeous. The kids come from everywhere and both boys and girls are equally represented in portraits that show nothing but respectful of their essences.
This is the kind of book that anyone of any age can enjoy. Yes, there’s a three-year-old here to show your toddler. There are youngsters, tweens, teens, and an entire school mentioned, so give this book to your kids. Or just grab “Glory” yourself, and relax.
LaShundrea Henderson
February 8, 1989 - November 3, 2020
“Yet to all who did receive him, to those who believed in his name, he gave the right to become children of God.” John 1:12
On November 3, 2020, the “Master Builder” finished the room for LaShundrea “Weedy Montanna” Henderson and called her home to rest.
On the eighth day of February in the year of our Lord, nineteen hundred and eighty-nine, LaShundrea Henderson was born in Jackson, Mississippi to Chauntessa Hines and the late Carl Gilmore.
LaShundrea, affectionately known as “Weedy,” to her family and friends, was a very lovable person. Her laughter and smile were very contagious; she was truly a joy to be around.
She accepted Christ in her life at a very young age and fully believed in the Lord as her savior.
She attended Jackson Public Schools and was a graduate of William B. Murrah High School in 2007. After high school, she worked at the Cookie Store and was an excellent cookie designer. She later obtained her cosmetology license and began to explore her talents in the world of cosmetology. She spent most of her adult professional years as an entrepreneur finding new ways to use her creative gifts.
Weedy was the “rock” of her family. She was the mother when you needed a mom, a support system for those who needed support, a hype-woman if you needed hyping, and a solid friend. From hosting parties to family gatherings, her passion was making sure everyone around her was taken care of, all the while having fun. She was the glue that held life of the party and had a heart of gold.
Weedy was called from labor to rest Tuesday, November 3, 2020, while at home at approximately 4:44 p.m. She was preceded in death by her father, Carl Gilmore and her maternal grandmother, Margaret E. Henderson.
Weedy leaves to cherish her memories her loving parents, Mr. and Mrs. Kevin (Chauntessa) Hines of Jackson, MS; her beautiful sister, Kandice (Guh) Henderson, and 4 handsome brothers, Kendel (Twinniy), Malik (Jucity), Kendarius (Lais), and Kendrick (Pista) Hines, all of Jackson, MS; her great great grandmothers, Rosie Lee McNair of Jackson, MS, and Ethel Mae Hines of Tougaloo, MS; her great-grandfather, Dorsey Thomas of New York City, NY; her paternal grandparents, Dave Malone, Barbara Jordan and Mr. and Mrs. Robert (Eula) Hines all of Jackson, MS; her maternal grandparents, Mr. Lonnie “Daddy” and Mrs. Bobbie McNair of Bolton, MS; four aunts, Renika (Edward) Quinn of Knoxville, TN; Teresa (Randy) Clanton (Carl) Henderson, and Kimberly McNair of Jackson, MS; two uncles, Cedric Hines and Solomon (Deandra) Jordan both of Jackson, MS; her godmother, Kimberly Common of Columbus, MS; two god sisters, Jasmine Course and Simaryah Flowers, both of Jackson, MS; her god kids, Ashley and Kyle Rodgers, MS and god son, Jalen Lewis of Memphis, TN; a special niece Jadyn Martin of Columbus, MS; and a special aunt, Evelyn “Pooh” Simmons; and a host family and friends.
Hinds County School District Weekly Update
ENGAGING-EMPOWERING-ENSURING-EXCELLENCE
State Legislators Visit Hinds County School District
On November 13, 2020, the Hinds County School District hosted several state legislators who were instrumental in passing the Equity in Distance Learning Act (SB 3044) and the Mississippi Pandemic Response, Bracing and Availability Act (HB 1788). These bills were designed to ensure that students have access to the technology needed to be successful.
Legislators in attendance included: Representative Stephanie Foster, District 63; Representative DeKeither Stamps, District 66; Representative Zakiya Summers, District 68; and Senator David Blount, District 29.
During the visit, the legislators had an opportunity to use the devices that the district had received. They also had an opportunity to hear from and speak with Dr. Delesicia Martin, Superintendent; Lisa Jones, Director of Technology; and Sharon Harris, Executive Director of Business Services who shared information about the district. Topics discussed included: how the devices will be distributed and used, how the funds are being used, virtual vs in person classes, Average Daily Attendance vs Average Daily Membership, truancy, parent engagement and partnerships.
“We appreciate these legislators for their work in the state, for taking the time to visit our district and for the opportunity to share the story of our schools,” said Dr. Martin.
District Highlights
Dr. Delesicia Martin, superintendent, welcomes local legislators
Representative Zakiya Summers, District 68
Dr. John Neal, associate superintendent
Representative Stephanie Foster, District 63
Senator David Blount, District 29
Representative DeKeither Stamps, District 66
Director of Technology Lisa Jones explains the distribution and use of the new devices for the district.
Sharon Harris, executive director of Business Services, explains the cost and purchasing procedures involved.
Dr. Delesicia Martin, superintendent, addresses legislators’ questions and concerns on how to support the district.
Pictured L-R: Senator David Blount, Representative Zakiya Summers, Representative Stephanie Foster, Dr. Delesicia Martin, Superintendent, and Representative DeKeither Stamps
Pictured L-R: Lisa Jones, director of Technology and Dr. William Sellers, assistant superintendent
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Building on our Client Experience
As part of our commitment to delivering outstanding service to our clients, I am pleased to announce the recent appointment of Lloyd Sebastian, Vice President, Client Strategy and Experience, Relationship Management, CIBC Mellon. In his new position, Lloyd is responsible for leading the execution of key strategic projects for CIBC Mellon’s client strategy, and overseeing efforts that further enhance the company’s client experience as it continues to grow. Prior to re-joining the company, Lloyd previously held several senior-level positions in the asset servicing industry and he brings more than 30 years of financial services experience to this role. It is my pleasure to introduce Lloyd to our valued clients and to speak with him about the industry and his approach.
WHAT DOES THE CLIENT EXPERIENCE MEAN TO YOU?
Lloyd Sebastian: The client experience is not only about having a satisfied client. While consistent service delivery and meeting or exceeding service deliverables is a critical component, the real testament is about providing an elevated client service experience, in which we are not only viewed by clients as a service provider but also as a trusted business partner to discuss strategic aspirations as part of a growth path and to collaborate on clients’ goals.
WHAT CAN CLIENTS EXPECT TO HAPPEN, NOW THAT YOU HAVE ASSUMED YOUR ROLE?
Lloyd Sebastian: I think we can continue to work constructively with our clients to share valuable insights in areas such as market and industry trends, and evolving product and technology innovation, through our active industry involvement and internal subject matter expertise. We also work to support clients by proactively soliciting client input to bring forward solutions rather than focusing all our attention on issue resolution. In my role I am particularly attuned to ways to enhance the client experience.
What’s Inside?
Alternative Mutual Funds Framework
By Charbel Cheaib, Executive Director, Business Development and Ronald C. Landry, Vice President, Canadian ETF Services
Good Governance: An Opportunity for Greater Oversight
By Kelly Hastings, Chief Risk Officer
Driving Investment Innovation with Platform-Traded Funds
By Ronald C. Landry, Vice President, Canadian ETF Services
CIBC Economic Insights – And So It Begins: The Biting Effects of Rate Hikes in Canada
By Royce Mendes, Director and Senior Economist, CIBC Capital Markets
BUILDING ON OUR CLIENT EXPERIENCE
I’m taking an evolutionary and consultative approach to better understand our clients’ short and long term priorities and strategic aspirations so we can tailor our initiatives even closer to our clients’ needs. I am pleased to be representing the client voice in senior-level internal discussions that are both strategic and tactical regarding projects and initiatives, before they are introduced to clients.
WHAT ARE YOU MOST EXCITED ABOUT?
Lloyd Sebastian: I am looking forward to leveraging evolving industry best practices and global service expectations from my experience working with Canadian institutional investors and global financial institutions in both client coverage and agent bank vendor management relationships over the past 30 years. CIBC Mellon has grown tremendously, recently surpassing $2 trillion in assets under administration. This robust growth is a testament that we can offer clients an experienced service that is ready to take them on a journey to where their business aspirations lead them.
WHY IS A LOCAL PRESENCE SO IMPORTANT?
Lloyd Sebastian: At CIBC Mellon, we have on-the-ground expertise, coupled with in-depth knowledge of the Canadian market. In addition to providing outstanding service, dependable execution and knowledgeable insights to help clients navigate the complexities of the Canadian marketplace, we pride ourselves on having subject-matter-experts at all levels across the organization, and resources available through our Canadian parent company, CIBC. We actively participate with local associations and industry groups to represent the Canadian asset servicing industry, and more importantly, to champion our clients’ interests.
HOW DO YOU COMPARE THE INDUSTRY TODAY TO 10 YEARS AGO?
Lloyd Sebastian: Our industry continues to be based on a solid foundation of the Canadian regulatory environment, prudent risk culture and asset protection. I believe that the key perennial themes for our clients are safeguarding data and assets, and looking to a service provider to offer top service with innovative technology, as well as new products and services that are in step with broader local and global market changes. CIBC Mellon continues to maintain client-centric discipline and this approach is embedded in all levels of our DNA, beyond our client service teams.
WHAT DO YOU THINK ARE IMPORTANT DRIVERS FOR OUR BUSINESS?
Lloyd Sebastian: Innovative up-to-date technology and products, a solid risk culture and good regulatory governance, along with a great client service model, are key foundations of our business. Having said that, continuous improvement of the client experience is still important. I think that maintaining a consultative approach to identifying key industry trends and being receptive to new ways of data delivery, as well as exploring new solutions for our clients, are important drivers for CIBC Mellon. Our people are central to CIBC Mellon; our ability to listen, champion client initiatives and understand client priorities in the framework of market and industry trends is critical.
“CIBC Mellon has grown tremendously, recently surpassing $2 trillion in assets under administration. This robust growth is a testament that we can offer clients an experienced service that is ready to take them on a journey to where their business aspirations lead them.”
- Lloyd Sebastian, Vice President, Client Strategy and Experience, Relationship Management, CIBC Mellon
Canadian Securities Administrators Publish Amendments to Finalize Alternative Mutual Funds Framework
On October 4, 2018, the Canadian Securities Administrators (CSA) published amendments that establish a comprehensive framework for alternative mutual funds – known as commodity pools – and streamline the regulation of non-redeemable investment funds by moving most of the regulatory framework contained in National Instrument (NI) 81-104 Commodity Pools into NI 81-102 Investment Funds. The amendments also update the investment restrictions for alternative mutual funds to allow greater flexibility with investment strategies, with a focus on strategies typically associated with “liquid alternatives.” The amendments also include changes that will codify certain routine exemptive relief granted to mutual funds. Subject to ministerial approvals, the CSA expects amendments and related changes to come into effect on January 3, 2019.
A fund’s portfolio assets are required to be held by a custodian, and under the revised NI 81-102 regulations, when launching alternative mutual funds, fund strategies that seek to utilize leverage or shorting may need to also have one or more prime broker relationships. Accordingly, the custodian and prime broker would need to work collaboratively to make sure that assets and data are transferred accurately and seamlessly. CIBC Mellon is working with a number of prime brokers to develop a sub-custody model designed to eliminate the need for a tri-party agreement, no longer requiring two custodial accounts. This model would eliminate the need for the client to direct assets to manage the collateral.
For more information on the CSA’s amendments to finalize the Alternative Mutual Funds Framework, view the CSA’s news release. For questions on alternative mutual funds, contact your Relationship Manager or Service Director.
Watch our video on liquid alternative services:
Ron Landry
VICE PRESIDENT, CANADIAN ETF SERVICES, RELATIONSHIP MANAGEMENT, CIBC MELLON
Good Governance: An Opportunity for Greater Oversight
Financial market participants face increasing pressure from regulators, boards, investors and other stakeholders to ensure the necessary oversight of their suppliers, particularly when those suppliers are considered outsourcers. Firms are ultimately responsible and accountable for all the functions that they outsource to a third-party.
In recent years, Canadian regulators have directed significant focus to the area of outsourcing with regulatory governance requirements, such as National Instrument (NI) 31-103 “Registration Requirements, Exemptions and Ongoing Registrant Obligations,” and Canada’s Office of the Superintendent of Financial Institutions Canada Guideline B-10 requirements, “Outsourcing of Business Activities, Functions and Processes.”
At CIBC Mellon, we understand that our fund clients face increasing pressure from stakeholders and regulators to demonstrate prudent governance and oversight across their operations, as governance includes oversight of outsourced services. Our company has developed the CIBC Mellon Client Governance Guide to assist you. The guide provides clients with a centralized and standardized summary of information which helps our clients monitor the services that they receive from us.
Overall, our Client Governance Program is designed to assist clients with documenting and meeting their regulatory governance obligations with respect to vendor oversight.
As you evaluate governance of vendors used to support your business, the following questions are worth considering.
1. What should you expect from your vendor in order to meet your governance reporting needs?
2. How can you assess your firm’s ability and readiness to meet the regulatory requirements with respect to outsourcing?
3. How are you providing and demonstrating prudent oversight of your vendors?
Watch CIBC Mellon’s governance and vendor oversight video:
YOUR VENDOR IS YOU
Driving Investment Innovation with Platform-Traded Funds
In the Canadian investment landscape, asset owners and asset managers continue to seek new investment options to help diversify their portfolios, reduce risk, generate greater alpha and expand purchase options for investors. These pursuits have led to some creative and innovative developments, including exchange-traded funds (ETFs), and more recently, platform-traded funds (PTFs) – both are designed to generate efficiencies and reduce fees for investors. While still relatively new to the marketplace, PTFs continue to evolve as fund companies, along with their service providers, employ various operational tactics to improve efficiencies when bringing their products to market.
PTFs are classes or series of existing investment funds which comprise a mix of investment types such as stocks, bonds, commodities, and currencies, and are structured to allow for trading at net asset value (NAV) after the markets close each day. While a typical mutual fund is traded through Fundserv or other third-party trading vehicles, a PTF is traded through an exchange-like platform. PTFs also differ from ETFs, as ETFs are traded on an exchange throughout the trading day (for example, in a secondary market), which means they are subject to bid-ask spreads.
PTFs are administered in a way that satisfies demands from investors with fee-based accounts who are seeking low-cost, actively managed portfolios and the ability to trade at NAV. Trading at NAV means one price is applied to all transactions after the market closes, eliminating the impact of bid-ask spreads, and avoiding the additional administrative work associated with unique pricing for each transaction. Since all trades are made at the same price, dealers are able to trade in bulk by leveraging existing functionality within their equity order management systems, which allows them to place PTF purchase and redemption orders across multiple client accounts simultaneously. As a result of a more efficient trade settlement process, investors may pay a lower managed expense ratio compared to traditional mutual fund classes/series, and in some cases, ETFs. In addition, fees are not based on thresholds – with no minimum investment threshold, investors of all sizes realize the same reduced fees when investing in PTFs.
The flexibility within a mutual fund allows investors to incorporate strategies that focus on alpha, beta, fixed income, liabilities versus assets – whatever will help them achieve their investment goals. PTFs offer investors additional flexibility in how an investment fund is purchased and sold. PTFs are often actively managed, with a hands-on investment approach that aims for results that are better versus passively managed funds, which typically track to an index. Investors leverage the PTF structure not only for the low fees, but also because of the consistent pricing and transparency.
Investment fund companies that offer PTFs can find operational efficiency through their service providers. While investment advisors may interact only with the platform to buy or sell shares, the fund company’s process is more complex. The mechanics of a PTF transaction involve a custodian that performs settlement and fund accounting functions, a securities platform that executes the trade, and a clearing agent, not unlike an ETF transaction. In Canada, NEO Connect and the TSX NAVex can accommodate PTF and PTF-like transactions. Typically, separate service providers are needed to perform trade settlement and clearing responsibilities, but PTFs could realize greater operational efficiency and cost savings if one provider performs both functions.
Asset servicing companies such as CIBC Mellon work with clients and industry partners like NEO and the TSX to develop new processes that generate shared efficiencies, the benefits of which can often be passed on to the end investor. CIBC Mellon recently developed the ability to act as both clearing agent and settlement agent for PTF transactions, which means aside from trade execution, which is performed by a securities exchange, PTF managers need only one business partner to settle subscriptions and redemptions of its funds. This process eliminates the need for a third-party clearing agent, and reduces the risk of communication errors between counterparties.
The growth of PTFs could potentially mirror the substantial rise of ETFs. The low-cost nature of PTFs, the ability to incorporate a variety of investment strategies, the opportunity to trade at net asset value, the ability for advisors to trade in bulk, and a consistent fee structure regardless of investment size can be attractive features to investors, which could prompt investment fund companies to start incorporating PTFs into their suite of products.
PTFs have carved a niche for investors to leverage, and are another example of the ongoing effort to bring new and effective investment options to the marketplace. CIBC Mellon plans to participate in the PTF evolution by fostering new and innovative ideas in support of investment fund companies, their advisors and their investors.
For more information on PTFs or CIBC Mellon’s PTF services, please contact a member of CIBC Mellon’s Business Development Team, or your CIBC Mellon Service Director or Relationship Manager at 416-643-5000.
CIBC Economic Insights - And So It Begins: The Biting Effects of Rate Hikes in Canada
It’s an old saw that monetary policy works with long and variable lags. There’s no reason to believe that isn’t as true today as it was when penned almost six decades ago. However, policymakers haven’t always heeded that advice, tending to underestimate those lagged effects, something we may be seeing again today. Despite the Bank of Canada hiking interest rates five times since the middle of last year and growth running just above potential, officials sound confident that the journey higher is only halfway complete.
No doubt central bankers would like to see rates rise to levels well above those that prevail today, given that they don’t currently have the requisite ammunition to fend off a slowdown. But, in the end, it will be the economy which dictates how high rates can rise, not the inclinations of central bankers. There’s already evidence that the effects of higher rates are showing up earlier and with more ferocity than in past cycles. With those effects only magnified as time passes, the Bank will ultimately fall short of reaching its goals for interest rates.
CRACKS IN THE FOUNDATION
A technical report on the macro model used at the Bank of Canada suggests that the peak impact from any monetary shock shows up roughly six quarters later. But, even though the first rate hike of this cycle, let alone the subsequent moves, was administered less than six quarters ago (Chart 1), there’s already pain being felt.
Changes in monetary policy are generally understood to work their way through the housing market and big-ticket household purchases first. It’s difficult to identify how much of the recent slowdown in housing activity has been due to tighter mortgage rules versus higher interest rates. But, based on prior estimates of the effects of the rule changes alone, the slowdown in lending has been more precipitous (Chart 2). It’s hardly a stretch then to say that the housing market is already feeling some pressure from rate hikes, particularly since many mortgages are now rolling over at higher rates for the first time in a quarter-century. Given the lags in monetary policy, even as the effects of the mortgage rule changes wane on a year-over-year basis in the months to come, the impacts of rate hikes will actually become more apparent.
CHART 1
Even First Rate Hike Still Making its Way Through Canadian Economy
| Time Since Each BoC Rate Hike of Current Tightening Cycle (# of Qtrs) |
|---------------------------------------------------------------|
| 5th (Oct-18) | 4th (Jul-18) | 3rd (Jan-18) | 2nd (Sep-17) | 1st (Jul-17) |
| 0 | 1 | 2 | 3 | 4 | 5 | 6 | 7 |
Source: Bank of Canada, CIBC
CHART 2
Mortgage Growth Slowing More Than Just Recent Rule Changes
Residential Mortgage Growth (YoY, %)
| Year | Mortgage Growth (YoY, %) |
|------|--------------------------|
| 2010 | 7 |
| 2011 | 6 |
| 2012 | 5 |
| 2013 | 4 |
| 2014 | 3 |
| 2015 | 2 |
| 2016 | 1 |
| 2017 | 0 |
| 2018 | -1 |
Source: Haver Analytics, CIBC Equity Research, CIBC Economics
“While consistent service delivery and meeting or exceeding service deliverables is a critical component, the real testament is about providing an elevated client service experience, in which we are not only viewed by clients as a service provider but also as a trusted business partner to discuss strategic aspirations as part of a growth path and to collaborate on clients’ goals.”
- Lloyd Sebastian, Vice President, Client Strategy and Experience, Relationship Management, CIBC Mellon
©2018 CIBC Mellon. CIBC Mellon is a licensed user of the CIBC trade-mark and certain BNY Mellon trade-marks, is the corporate brand of CIBC Mellon Trust Company and CIBC Mellon Global Securities Services Company and may be used as a generic term to reference either or both companies.
Trade Talk™ is provided for general information purposes only and CIBC Mellon Global Securities Services Company, CIBC Mellon Trust Company, CIBC, The Bank of New York Mellon Corporation and their affiliates make no representations or warranties as to its accuracy or completeness. Readers should be aware the content of this publication should not be regarded as legal, tax, accounting, investment, financial or other professional advice nor is it intended for such use.
The material contained in this newsletter, which may be considered advertising, is for general information and reference purposes only and is not intended to provide advice of any nature on any matter, and is not to be used as such. CIBC Mellon (and its related companies) makes no representations or warranties as to the accuracy or completeness of the newsletter; nor does it take any responsibility for third parties from which it may have been made. The contents may not be copied or reproduced in whole or in part, and CIBC Mellon will not be responsible for updating any information contained within this newsletter. This newsletter, and the statements it makes, are not an offer or solicitation to buy or sell any products (including financial products) or services or to participate in any particular strategy mentioned and should not be construed as such. This newsletter, either in whole or in part, must not be reproduced without the express written permission of CIBC Mellon. Information contained in this newsletter is subject to change without notice. CIBC Mellon assumes no liability (direct or consequential or any other form of liability) for any errors in or reliance upon this information. Trademarks, service marks and logos belong to their respective owners.
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Legislative Oversight Commission on Education Accountability
September 14, 2021
- COVID-19 Fall 2021 Update
Dr. Cynthia Persily, Senior Director of Health Sciences
- Approval of Sunset Date Extension, West Virginia Higher Education Policy Commission, Title 133, Series 48, Legislative Rule, Research Trust Fund
Kristin Boggs, General Counsel
- Approval of Sunset Date Extension, West Virginia Higher Education Policy Commission, Title 133, Series 52, Legislative Rule, Annual Reauthorization of Degree-Granting Institutions
Kristin Boggs, General Counsel
- Approval of Sunset Date Extension, West Virginia Council for Community and Technical College Education, Title 135, Series 35, Legislative Rule, Correspondence, Business, Occupational, and Trade Schools
Kristin Boggs, General Counsel
- Approval of Sunset Date Extension, West Virginia Council for Community and Technical College Education, Title 135, Series 52, Legislative Rule, Annual Reauthorization of Degree-Granting Institutions
Kristin Boggs, General Counsel
- Vision 2025: The West Virginia Science and Technology Strategic Plan (§18B-18B-2)
Dr. Juliana Serafin, Senior Director of Science and Research
- 2021 Annual Report on Services for Student Veterans (§18B-4-9)
Cody Tomblin, Interim Director of Veterans' Education and Training Programs
- Report on Free Expression on Campus (§18B-20-7)
Matt Turner, Vice Chancellor for Administration
Report to the Legislative Oversight Commission on Education Accountability
COVID
Fall 2021 Update
2
COVID Fall 2021
Plans for Fall Semester Covid Safety on Campus and in Clinical Facilities
Cynthia Persily PhD, Senior Director of Health Sciences
Fall 2021 Planning
- The HEPC Division of Health Sciences serves as higher education’s representative to the JIATF.
- Fall 2021 planning began in May 2021 for all colleges and universities.
- The HEPC Division of Health Sciences released guidance and FAQs consistent with CDC guidance to all colleges and universities throughout the summer to assist with planning.
- Planning continued throughout the summer.
- The increase in the Delta variant caused many campuses to revisit plans.
- A table-top exercise was performed in mid-August with JIATF and Higher Education representatives to evaluate capacity and plan for any surges on campuses due to the Delta variant.
Covid Testing Availability
- All schools have access to a statewide contract for saliva-based PCR test at low cost that was bid and awarded using state purchasing guidelines
- All schools have been provided with a small stock of rapid antigen-based tests from DHHR Emergency Command for use in case of surge (defined by DHHR Epidemiology)
- Schools have the choice to use any vendor they wish for tests
- A request for public assistance project has been opened by the HEPC to be evaluated by FEMA for reimbursement of schools for saliva-based PCR tests purchased under the state contract
- Schools who purchase tests outside of the statewide contract can open their own projects at FEMA to be evaluated for reimbursement
| | Back to School testing offered or required | Surveillance testing offered or required |
|--------------------------|--------------------------------------------|----------------------------------------|
| 2 year CTCS (15 campuses)| 7 campuses offering or requiring testing (8 still planning at time of survey) | 12 campuses testing a percentage of unvaccinated students weekly or monthly |
| 4 year HEPC (12 campuses)| 10 offering or requiring testing | 11 campuses testing a percentage of unvaccinated students weekly or monthly |
| | | 1 testing only if unvaccinated contact or symptomatic |
Vaccines
- Vaccines were coordinated through the HEPCC and JIATF in Spring 2021—56,000 doses were administered from late December through early May to faculty, staff and students.
- Vaccine orders are now available to colleges and universities through their own health centers (if applicable and they are an approved immunization provider) or through their local health departments or primary care partners for those without a health center.
- No public 2-year or 4-year school has a vaccine mandate.
- All campuses will offer vaccines on campus either via their health center or local partners this semester.
Clinical Facility Vaccine Mandates
- Many clinical facilities have instituted vaccine mandates for their staff. These decisions have been made to keep patients safe while they pursue health care services. Our students are subject to the same policies as staff.
- All of our health sciences programs require clinical hands-on experiences for their students. Clinical experiences are a core and inseparable component of the coursework.
- If one or more of the academically necessary clinical assignments of the student cannot be made due to not providing proof of vaccination satisfactory to clinical sites, there is no assurance that an alternative academic accommodation will be possible; the student may be left with no alternative but to withdraw from the course(s).
What about third doses and boosters?
- Third doses for a narrowly defined group of immunocompromised patients were approved in mid August.
- All campuses have this guidance and are working with students, faculty, staff and their local health authorities to implement third doses for this group.
- Boosters are not yet authorized by the FDA or CDC. Once authorized (expect mid September), schools will begin offering boosts as recommended. Expected recommendation is that the boost occur 8 months after the second dose of either mRNA vaccine.
- All campuses have current guidance and once authorization is received, they will work to assure that all who wish to receive boosts do so.
Lessons learned from the 2020-2021 Academic year
- Many campuses reported increases after large parties, community based social events, and among athletes and Greek life
- Campus increases were frequently noted to co-occur with local community spread
- Many staff cases were reported as community or family member spread
- Changes to on campus activities worked last year
When needed:
- Pivoting to online classes for period of time
- Halting athletic practices for period of time
- Robust testing plans
Continued Plans for 2021-2022
• Attempts to overcome vaccine hesitancy, ready availability of vaccines for those who wish to be vaccinated
• Continuous monitoring of adequacy of quarantine and isolation space especially for unvaccinated students
• Rapid testing plans in case of surges
• Consider food service alternatives for local surges
• Work closely with LHDS, primary care, hospitals and EMS in case of any surge activity
• Keep our students safe.
Report to the Legislative Oversight Commission on Education Accountability
Approval of Sunset Date Extension
West Virginia Higher Education Policy Commission
Title 133, Series 48, Legislative Rule, Research Trust Fund
NOTICE OF SUNSET PROVISION EXTENSION REQUEST
AGENCY: Higher Education Policy Commission
RULE TYPE: Legislative
RULE NAME: 133-48 Research Trust Fund
PLEASE SELECT A SUNSET PROVISION OPTION:
[X] EXTEND THE SUNSET DATE OF THE RULE.
5 REQUESTED NUMBER OF YEARS FOR EXTENSION (SUBJECT TO LRMRC REVIEW).
[ ] LET THIS RULE EXPIRE.
PLEASE INDICATE IF THIS RULE INCLUDES:
RELEVANT FEDERAL STATUTES OR REGULATIONS [ ] INCORPORATED BY REFERENCE [ ]
PLEASE PROVIDE A BRIEF SUMMARY OF THE CONTENT OF THE RULE:
Establishes guidelines documentation standards for the distribution of funds in the West Virginia Research Trust Fund.
SUMMARIZE IN A CLEAR AND CONCISE MANNER THE REASONS FOR REQUESTING A SUNSET PROVISION EXTENSION:
The West Virginia Research Trust Fund is part of the Science and Technology Plan Vision 2025.
SUMMARIZE IN A CLEAR AND CONCISE MANNER THE OVERALL ECONOMIC IMPACT OF THE RULE:
A. ECONOMIC IMPACT ON REVENUES OF STATE GOVERNMENT:
N/A
B. ECONOMIC IMPACT OF THE LEGISLATIVE RULE ON THE STATE OR ITS RESIDENTS:
N/A
C. FISCAL NOTE DETAIL:
| Effect of Proposal | Fiscal Year |
|--------------------------------------------------------|------------------------------|
| | 2021 Increase/Decrease (use "-") | 2022 Increase/Decrease (use "-") | Fiscal Year (Upon Full Implementation) |
| 1. Estimated Total Cost | 0 | 0 | 0 |
| Personal Services | 0 | 0 | 0 |
| Current Expenses | 0 | 0 | 0 |
| Repairs and Alterations | 0 | 0 | 0 |
| Assets | 0 | 0 | 0 |
| Other | 0 | 0 | 0 |
| 2. Estimated Total Revenues | 0 | 0 | 0 |
D. EXPLANATION OF ABOVE ESTIMATES (INCLUDING LONG-RANGE EFFECT):
N/A
BY CHOOSING 'YES', I ATTEST THAT THE PREVIOUS STATEMENT IS TRUE AND CORRECT.
Yes
Cindy L Anderson -- By my signature, I certify that I am the person authorized to file legislative rules, in accordance with West Virginia Code §29A-3-11 and §39A-3-2.
§133-48-1. General.
1.1. Scope. This rule establishes guidelines, procedures and documentation standards for the distribution of funds, as legislatively provided, in the West Virginia Research Trust Fund.
1.2. Authority. West Virginia Code §18B-18A-1 et seq.
1.3. Filing Date. July 5, 2017.
1.4. Effective Date. August 5, 2017.
1.5. Sunset Date. This rule shall terminate and have no further force or effect upon the expiration of five years from its effective date on .
§133-48-2. Definitions.
2.1. Commission. West Virginia Higher Education Policy Commission.
2.2. Chancellor. Individual employed as Chancellor for Higher Education pursuant to W.Va. Code § 18B-1B-5.
2.3. Competitive Award. Any grant or fund transfer provided through a process that is initiated by an open request for proposals, includes a merit review, and results in a selected number of grants being provided to support proposed activities.
2.4. Designation. A specification made by either the donor or the institution that sets forth the exact use or specific endowment placement for a gift.
2.5. Directed Research Endowment or Research Endowment. An account established at or administered by a participating institution or its affiliated research corporation or foundation for purposes of funding qualified activities under this program.
2.6. Directed Research Endowment Plan or Research Plan. The strategies and procedures formally approved and adopted by a governing board of a participating institution outlining how the institution proposes to use directed research endowment proceeds to meet research goals and objectives.
2.7. Directed Research Endowment Proceeds or Endowment Proceeds. Investment earnings accruing to a participating institution’s directed research endowment and available for expenditure by the participating institution or its affiliated research corporation.
2.8. Foundation. A corporation created, organized and located in West Virginia that meets the following conditions:
2.8.a. Is organized and operated for educational purposes in support of one or more state institutions of higher education and other affiliated organizations;
2.8.b. Is designated by the governing board of one or more state institutions of higher education to receive charitable contributions for educational purposes on behalf of the institution or institutions;
2.8.c. Does not have any part of its earnings inuring to the benefit of any private shareholder or individual;
2.8.d. Is not disqualified from tax exemption under 26 U.S.C. § 501(c)(3) for any reason; and,
2.8.e. Does not participate or intervene in, on behalf of or in opposition to any political campaigns for public office.
2.9. Fiscal Year. The state fiscal budget year which begins on July 1 and ends on June 30.
2.10. Participating Institution. Marshall University, West Virginia University, or West Virginia State University.
2.11. Qualified Private Donation or Qualified Donation. Any private donation, gift, or external bequest provided to a directed research endowment on or after March 8, 2008.
2.12. Qualified Private Donation Pledge or Qualified Pledge. Any pledge, commitment, or other agreement to give a private donation to a directed research endowment that is made pursuant to a written agreement between the donor and the appropriate institution or its affiliated research corporation or foundation on or after March 8, 2008.
2.13. Research Corporation. An organization created pursuant to the provisions of W.Va. Code § 18B-12-1 et seq.
2.14. State College. The West Virginia School of Osteopathic Medicine, Bluefield State College, Concord University, Fairmont State University, Glenville State College, Shepherd University, or West Liberty University for the purposes of this rule.
2.15. State Match or Match Funds. Any and all funds awarded from the trust fund in response to a private qualified donation.
2.16. STEM Fields. All science, technology, engineering and mathematics disciplines as defined by the Commission master plan.
2.17. Trust Fund. The special account designated as the West Virginia Research Trust Fund and administered by the Commission.
2.18. Vice Chancellor for Science and Research or Vice Chancellor. The Commission’s chief scientific employee charged with overseeing the trust fund, compliance with these rules, record keeping, and authorization of disbursement of funds under the general direction of the Chancellor.
§133-48-3. Administration.
3.1. The Vice Chancellor administers the program under the general direction of the Chancellor and the Commission and in consultation with the Advisory Council.
§133-48-4. Eligibility Criteria.
4.1. During the first five years of the trust fund’s existence (or five years after more funds are deposited) and in compliance with this rule, the Commission shall disburse up to sixty-five (65) percent of moneys in this account to match qualified donations and pledges received by West Virginia University, thirty (30) percent of moneys to match qualified donations and pledges received by Marshall University and five (5) percent of moneys to match qualified donations and pledges received by West Virginia State University.
4.2. State colleges are eligible to receive awards through a competitive process established by the Commission. Only those funds derived from investment earnings accruing in the Research Trust Fund or those that remain unmatched by the participating institutions by July 1, 2015 are available to state colleges pursuant to section 12 of this rule.
4.3. Scientific disciplines. Only those scientific disciplines or combinations of interdisciplinary research activities in the list below are eligible for trust fund matches.
4.3.a. Energy and environmental sciences;
4.3.b. Nanotechnology and materials sciences;
4.3.c. Biological, biotechnical and biomedical sciences;
4.3.d. Transportation technology and logistics;
4.3.e. Biometrics, security, sensing, and related identification technologies; and
4.3.f. Gerontology.
4.4. Any external gift meeting the standards established by this rule and included in the institution’s approved research plan is eligible for equal matching amounts from the trust fund.
§133-48-5. Institutional Research Plans.
5.1. Prior to disbursement of any trust fund moneys to a participating institution, the governing board of that participating institution shall submit to the Commission a directed research endowment plan. The plan shall provide the Commission with an explanation of the institution’s comprehensive research objectives and plans to build competitive research infrastructure in the specified scientific disciplines as well as comprehensive measures for achieving this goal.
5.2. The Commission encourages the participating institutions to consider the value of clustering research programs around academic disciplines and encourages the creation of a critical mass of scholarly researchers who can address state and national needs.
5.3. The Commission encourages collaboration and cooperation among universities, centers, corporations and federal laboratories that increase opportunities for partnerships in discovery, learning and knowledge creation.
5.4. The Commission encourages institutions to plan for endowments that recognize interdisciplinary problem solving and teams of scientists across departmental, college and institutional lines.
5.5. The research plan will include, but is not limited to, the following:
5.5.a. An assessment of the participating institution's current research initiatives in STEM fields, including any initiatives falling within disciplines or areas of research specified by this rule;
5.5.b. An assessment of the potential outcomes of specific research lines proposed for enhancement by the institution;
5.5.c. A narrative describing the current or proposed collaborations, particularly with other institutional partners, that play or will play a significant collaborative role in achieving institutional objectives;
5.5.d. A narrative describing the centers, institutes or other academic units proposed, currently under development, or currently operating, that play or will play a significant role in achieving institutional research objectives;
5.5.e. An analysis of possible strategies to enhance current research initiatives;
5.5.f. An outline of the participating institution’s proposed uses of endowment proceeds, including the anticipated costs associated with each proposed use and identification of any specific disciplinary hires;
5.5.g. A narrative describing major research equipment acquisitions currently under consideration that will contribute substantially to the plan;
5.5.h. A cost analysis for achieving research goals with a comparison to the expected endowment proceeds available to the institution;
5.5.i. An evaluation of how the research plan furthers the purposes of:
5.5.i.1. The trust fund’s goals;
5.5.i.2. The state’s strategic plan for science and technology; and
5.5.i.3. The research needs of the institution.
5.5.j. Identification of the proposed uses for which alternative funding sources may be sought to enhance the comprehensive research initiatives contemplated by the participating institution. Alternative funding sources exclude qualified donations, matching moneys from the trust fund, and the endowment proceeds generated from the trust fund; and
5.5.k. How the amount allocated for distribution to the participating institution will be directed within institutional goals.
5.6. The governing board of each participating institution shall submit its approved research plan to the Vice Chancellor prior to submitting its first request for a distribution of matching moneys from the trust fund.
5.7. The Vice Chancellor shall conduct a thorough review of the plan for compliance with the provisions of §18B-18A-1 et seq. and this rule.
5.8. The approved plan serves as the overarching document for guiding future endowment activities, research investments and reports.
§133-48-6. Expenditure Compliance Procedures.
6.1. Uses of Program Funds. When trust funds are transferred to institutions for deposit into specific endowments in approved scientific disciplines, the participating institutions may use up to one hundred (100) percent of the annual investment earnings from the endowments to pay the base salaries of newly endowed department chairs, new professorship positions, new research scientists and staff positions, including research technicians and support personnel, and to fund graduate or undergraduate student research fellowships, research infrastructure, and mission support as described below.
6.1.a. Chairs. New faculty positions, salary supplements to existing faculty positions, and associated expenses for those positions, including start-up costs, salaries, benefits, travel, and other professional expenses as permitted by university policy.
6.1.b. Professorships. New faculty positions, salary supplements to existing faculty positions, and associated expenses for those positions, including start-up costs, salaries, benefits, travel, and other professional expenses as permitted by university policy.
6.1.c. Research Scholars. Salaries, benefits, and other personnel-related expenses associated with non-tenured or recently tenured faculty who exhibit the potential to assume chair or professorship positions after tenure has been awarded and/or superior scholarly work has been achieved. Research scholars shall have clearly defined research agendas that relate specifically to the fields of study envisioned for the ultimate occupants of the chairs or professorships.
6.1.d. Research Scientists. Salaries, benefits and other personnel related expenses associated with non-tenured scientists who exhibit high scientific achievement in the sanctioned areas of research.
6.1.e. Research Staff. Salaries, benefits, and other personnel-related expenses associated with full-time or part-time staff assistants who are directly linked to the research activities of an endowed chair, professor, scholar or scientist as defined above.
6.1.f. Graduate Fellowships. Stipends for outstanding graduate students, which may include travel and other expenses as permitted by university policy.
6.1.g. Undergraduate Fellowships. Funds may be used to support scholarships for outstanding undergraduate students who are directly linked to activities of an endowed chair or professor. These may include travel and other expenses as permitted by university policy.
6.1.h. Research Infrastructure. Start-up and operating expenses that are directly linked to the research activities of an endowed chair, professor, research scholar or research scientist, including equipment, materials and supplies, and other research-related expenses as permitted by university policy.
6.1.i. Mission Support. Program funds may be used to support research and graduate missions at participating institutions. Consideration shall be given to expenditures for mission support activities such as: (1) expenditures that enhance the research capability of university libraries (i.e., scientific books, journals, research materials, media, and equipment); (2) start-up costs, equipment, and supplies that support faculty, graduate student, or undergraduate student research activities; (3) funding for visiting scholars, lecture series, and faculty exchanges; and (4) expenditures for the dissemination of research
findings (i.e., nationally prominent publications and presentations at conferences, symposia, seminars, or workshops). However, priority shall be given to mission support expenditures that encourage the research-related activities of faculty and students. Expenditures for general personnel expenses that are not directly linked to an endowed chair, professor, research scholar, or research scientist do not qualify as mission support activities.
6.2. Any combination of these activities may be proposed for inclusion in the institutional research plan required under section 5 and are eligible for designated endowments as funds are secured.
§133-48-7. Criteria for Qualified Donations and Pledges.
7.1. Matching Requirements. The trust fund is conceived as a way to bring new money from external sources into the State’s system of postsecondary education. In order to receive state funds, participating institutions shall provide dollar-for-dollar matching funds that satisfy the following requirements:
7.1.a. Donations and pledges shall be newly generated to be eligible for state match. Newly-generated contributions are those pledged and received by the participating institution on or after March 8, 2008.
7.1.b. Donations and pledges shall be from external sources to be eligible for state match. External source contributions are those that originate outside the participating institution and its affiliated foundation or research corporation. Eligible sources of external funding include, but are not limited to, businesses, non-governmental foundations, corporations and alumni or other individuals. Funds received from federal, state and local government sources are not eligible for state match.
7.1.c. State appropriations and allocations (e.g., West Virginia Research Challenge Fund) and student-derived revenues (e.g., tuition and fees revenue) are not eligible for state match.
7.1.d. An undirected qualified donation may be directed by the institution toward an endowment under this rule; however, current institutional foundation funds are not eligible for state match.
7.1.e. The minimum institutional request is $50,000. A participating institution may combine smaller donations to meet the $50,000 minimum.
7.1.f. All funds, both state and private, shall be permanently endowed. “Endowed” means that only the investment earnings, and not the principal, are eligible for expenditure.
7.1.g. Requests for state matching funds shall identify the donor funds received in cash and those that are pledges.
7.1.h. Pledges, or promises of future payment, are eligible for state match provided they are based on a written contract or agreement and include a payment schedule that does not exceed the reallocation date of July 1, 2015. Pledge payment schedules showing receipts to date and scheduled future payments shall be included in the audited financial statements of the institution, research corporation and/or the foundation and included in the annual report specified in section 14 of this rule.
7.1.i. Participating institutions shall notify the Vice Chancellor in writing immediately when a gift has been revoked, when a pledge payment is more than 12 months past due, or if there are unpaid pledges remaining six months before the reallocation date of July 1, 2015.
7.1.j. If pledged funds are not received by the due date, the participating institution shall replace the portion of private funds not received with another eligible cash gift. If pledged funds are not received by the reallocation date, the unmatched portion of the state funds, plus an allowance for accrued interest, shall revert to the trust fund for reallocation. In such cases, the time frame for the replacement or return of state funds shall be determined by the Vice Chancellor in negotiation with institutional representatives, but may not be longer than six months.
§133-48-8. Distribution from the Trust Fund; Documentation Required.
8.1. A participating institution seeking a distribution of state matching funds from the trust fund first shall obtain qualified donations and/or qualified pledges meeting the conditions in section 7 in an amount equal to the amount of matching moneys requested for distribution and shall submit a request to the Commission setting forth the following:
8.1.a. The amount of qualified donations and/or qualified pledges used to request matching moneys from the trust fund and the total amount of any previous distributions of matching moneys from the trust fund;
8.1.b. The amount requested for distribution to the participating institution;
8.1.c. A designation of the applicable research endowment(s) into which the requested matching moneys are to be deposited, e.g., “The Joe and Sally Smith Endowed Chair in Chemistry;” and
8.1.d. An explanation of how the proposed use of the endowment proceeds furthers the purposes of the trust fund and addresses the research needs of the participating institution as identified in the research plan, including any additional strategic objectives or outcomes that have been established for the specific endowed research activity.
8.2. In conjunction with the written request, the institution shall submit documentation for the external qualified gifts and/or pledges including:
8.2.a. A cover letter that transmits the documentation, any particulars, and information required by this Section;
8.2.b. A pledge letter specifying the designation, amount and payment schedule signed by the donor for qualified pledges;
8.2.c. A deposit ticket or gift receipt and any designation identified by the donor for qualified donations;
8.2.d. A designation made in writing by the institution and submitted with the request if a qualified gift is undesignated by the donor;
8.2.e. An invoice for the amount requested from the trust fund, specifying the endowment into which the state match is to be deposited;
8.2.f. Designation of a technical manager or responsible institutional contact such as a dean, academic officer, or research director, who shall oversee the implementation or supervision of the activity, program or individual sponsored by the endowed funds. Complete contact information shall be provided; and
8.2.g. Designation of a financial manager or compliance officer who shall be responsible for all associated financial statements or reports relating to the endowed funds or expenditures of proceeds. Complete contact information shall be provided.
8.3. The participating institution shall cause the state matching funds to be transferred to its affiliated foundation.
8.3.a. State matching funds are to be invested in the same manner as institutional endowment funds relative to availability under section 11.1 of this rule.
§133-48-9. Commission Review.
9.1. The Vice Chancellor shall conduct a review of each request for distribution of matching money from the trust fund for compliance with the provisions of both §18B-18A-1 et seq. and this rule and may request additional information if necessary.
9.2. The Vice Chancellor shall use the institution’s approved research plan to determine if requests for distributions from the trust fund are valid and shall consider any additional information or details that expand upon the specific area of research, including research plans, strategies, objectives and projected outcomes as provided under sections 8.1.d. or 9.1. of this rule.
9.3. If all criteria are met, the Vice Chancellor shall approve the match.
9.4. If all the criteria are not met, the Vice Chancellor shall issue a letter to the institution detailing the reason(s) the match could not be approved.
9.5. When the match is approved, the Vice Chancellor shall submit the invoice to the State Auditor for payment.
§133-48-10. Appeals.
10.1. A participating institution may appeal a decision related to administration of trust funds under the terms of this rule to the Vice Chancellor in writing within ten (10) days of receiving notification. The Vice Chancellor shall issue a written decision upholding or reversing the initial decision within twenty (20) days of receipt of the appeal. Decisions that may be appealed include, but are not limited to, disapproval of a request for distribution of matching money from the trust fund.
10.2. A participating institution may further appeal to the Chancellor in writing the decision of the Vice Chancellor within ten (10) days of receipt of notification of the decision. The Chancellor shall issue a written decision upholding or reversing the decision of the Vice Chancellor within twenty (20) days of receipt of the appeal.
10.3. Any appeal made shall set forth in detail the grounds for the appeal. The decision rendered at each level shall address in writing each of the grounds raised.
§133-48-11. Availability Limits and Reallocation of Trust Funds.
11.1. Availability. Participating institutions shall provide documentation for and request transfers of state matching funds up to the limits provided in these rules on or before July 1, 2015. All trust fund dollars provided by the West Virginia Legislature in the original corpus which are being matched by outstanding pledges shall remain available for withdrawal until that date.
11.2. Reallocation. If one of the participating institutions fails to have deposited into its research endowments the requisite amount of qualified donations and/or fails to have made subsequent requests for matching trust fund distributions by the end of this five-year period, then any funds allocated to the participating institution that have not been distributed shall be reallocated for distribution to the other participating institutions.
11.2.a. To be eligible to receive a distribution of reallocated moneys, the other participating institutions shall have excess qualified donations deposited in its research endowment(s) in an amount equal to or greater than the amount requested for distribution from available reallocated moneys.
11.2.b. If the other participating institutions do not have excess qualified donations on deposit, the available moneys in the trust fund shall be reallocated for distribution by the Commission to state colleges in accordance with the provisions for those institutions established in section 12 of this rule.
11.3. Within 90 days after the reallocation date, the Vice Chancellor shall complete a final assessment of the status of the trust fund and determine if there are funds available for reallocation to the other participating institution and/or the state colleges.
§133-48-12. Procedures for State Colleges.
12.1. Until such time as the trust fund is fully distributed, interest earnings shall be deposited as accrued. The Commission shall use a portion of those moneys derived from investment earnings accruing to the trust fund, as well as moneys that are not matched and distributed to participating institutions prior to July 1, 2015, for distribution to state colleges.
12.2. As funds are realized, the Vice Chancellor shall issue competitive notices or requests for proposals to the state colleges. A merit-review of the scientific potential of the proposed research activity shall be conducted by peer scientists under the general direction of the Vice Chancellor.
12.3. Solicitations for science, technology, engineering and/or mathematics (STEM) projects at state colleges shall:
12.3.a. Establish a level of funds currently available for distribution;
12.3.b. Identify the number of anticipated awards based on the availability of funds, establishing equal amounts available for each institution;
12.3.c. Identify specific research targets or thematic areas for proposals;
12.3.d. Provide specific application procedures and deadlines for application;
12.3.e. Specify matching requirements, including documentation of gift deposits;
12.3.f. Specify a reasonable deadline for obtaining qualified donations; and
12.3.g. Provide latitude for lesser amounts of support if only smaller qualified donations are obtained by the institution.
12.4. To qualify for a distribution of state matching moneys, a state college shall meet the following conditions:
12.4.a. Obtain qualified donations of private gifts in an amount equal to or greater than the amount of state match funds requested from the proceeds identified as available for distribution from the trust fund.
12.4.b. Deposit the qualified donations and any state match distributed from the trust fund when an award is provided into the accounts of the institution or its affiliated research corporation or foundation.
12.4.c. If an institution collects only a portion of the matching funds needed, then the unmatched portion of the award shall revert to the trust fund for reallocation during the next competition.
12.4.d. Qualified donations and state matching moneys may be expended only for a proposed research-oriented initiative developed in response to requests for proposals and approved by the Commission.
12.5. Eligible research areas include all scientific disciplines or interdisciplinary STEM fields available at state colleges or in collaboration with the participating institutions.
12.6. All proposals shall be institutional infrastructure-building in nature, not individual researcher projects. Each institution shall seek to create “areas of distinction” or “centers of excellence” or strengthen one or two areas of talent and expertise for capacity building in STEM fields that are unique strengths. However, partnerships, consortia and research alliances with other institutions with common or complementary interests are encouraged.
12.7. State colleges may elect, at their discretion, to place all or some portion of the qualified donation and/or state match into a designated endowment. Otherwise, all funds are available for immediate expenditure for STEM projects proposed as a result of the requests for proposals.
12.8. The Commission may provide periodic award cycles throughout the life of the trust fund at such times as sufficient interest or other funds are accrued and available for distribution.
§133-48-13. Coordination with Other Research Programs.
13.1. The Commission shall coordinate awards from the trust fund with other sponsored research programs managed by its Division of Science and Research. The comprehensive resources and awards made under the West Virginia Research Challenge Fund and Eminent Scholars Recruitment and Enhancement programs shall be monitored for continuity in achieving the objectives of the state’s strategic plan for science and technology.
13.2. The Commission shall not award state funds to any endowment or state college program that materially duplicates support provided under a complementary state program.
13.3. The Commission encourages leveraging state funds to obtain qualified private donations and other broader external sources of funding to support the state college’s approved research plan.
§133-48-14. Reporting Requirements.
14.1. By August 15, 2009, and annually thereafter, each participating institution shall provide an annual report to the Commission that includes a full accounting of the trust funds, endowment proceeds, and adherence to the objectives established by the research plan.
14.2. Each participating institution shall detail in its annual report to the Commission the total amount of qualified donations received, the investment earnings realized and any anticipated expenditures of the research endowment proceeds in its annual operating budget.
14.3. By October 1, 2013, after the five-year implementation of the trust fund program is complete, the participating institutions shall provide a comprehensive report to the Commission on the impact of the trust fund on research competitiveness, institutional growth and infrastructure development. Strategic goals realized and those yet to be realized shall be articulated clearly in the report. A full accounting of all trust funds, proceeds, outcomes, and designated endowments shall be included in the comprehensive report.
14.4. Each participating institution’s research corporation and/or foundation shall provide the Commission with an audited financial statement annually. These statements shall be treated as confidential.
14.5. Awards to state colleges shall contain a reporting requirement on the specific outcomes of the award and establish a timeframe for submission.
14.6. Institutions expending any proceeds from the trust fund, donations and gifts, or the research endowments contrary to the provisions of this rule, or Commission approval or direction shall be responsible for reimbursing the appropriate institutional or Commission account the amount of funds improperly expended, plus statutory interest.
28
Report to the Legislative Oversight Commission on Education Accountability
Approval of Sunset Date Extension
West Virginia Higher Education Policy Commission
Title 133, Series 52, Legislative Rule, Annual Reauthorization of Degree-Granting Institutions
NOTICE OF SUNSET PROVISION EXTENSION REQUEST
AGENCY: Higher Education Policy Commission
RULE TYPE: Legislative
CITE STATUTORY AUTHORITY: 18B-1-6
RULE NAME: 133-52 Annual Reauthorization of Degree-Granting Institutions
PLEASE SELECT A SUNSET PROVISION OPTION:
[X] EXTEND THE SUNSET DATE OF THE RULE.
5 REQUESTED NUMBER OF YEARS FOR EXTENSION (SUBJECT TO LRMRC REVIEW).
[ ] LET THIS RULE EXPIRE.
PLEASE INDICATE IF THIS RULE INCLUDES:
RELEVANT FEDERAL STATUTES OR REGULATIONS [ ] INCORPORATED BY REFERENCE [ ]
PLEASE PROVIDE A BRIEF SUMMARY OF THE CONTENT OF THE RULE:
Establishes policy regarding annual reauthorization of degree-granting institutions which offer degrees above the associate level.
SUMMARIZE IN A CLEAR AND CONCISE MANNER THE REASONS FOR REQUESTING A SUNSET PROVISION EXTENSION:
Policy and procedure remains in effect.
SUMMARIZE IN A CLEAR AND CONCISE MANNER THE OVERALL ECONOMIC IMPACT OF THE RULE:
A. ECONOMIC IMPACT ON REVENUES OF STATE GOVERNMENT:
N/A
B. ECONOMIC IMPACT OF THE LEGISLATIVE RULE ON THE STATE OR ITS RESIDENTS:
N/A
C. FISCAL NOTE DETAIL:
| Effect of Proposal | Fiscal Year |
|--------------------------------------------------------|------------------------------|
| | 2021 Increase/Decrease (use "-") | 2022 Increase/Decrease (use "-") | Fiscal Year (Upon Full Implementation) |
| 1. Estimated Total Cost | 0 | 0 | 0 |
| Personal Services | 0 | 0 | 0 |
| Current Expenses | 0 | 0 | 0 |
| Repairs and Alterations | 0 | 0 | 0 |
| Assets | 0 | 0 | 0 |
| Other | 0 | 0 | 0 |
| 2. Estimated Total Revenues | 0 | 0 | 0 |
D. EXPLANATION OF ABOVE ESTIMATES (INCLUDING LONG-RANGE EFFECT):
N/A
BY CHOOSING 'YES', I ATTEST THAT THE PREVIOUS STATEMENT IS TRUE AND CORRECT.
Yes
Cindy L Anderson -- By my signature, I certify that I am the person authorized to file legislative rules, in accordance with West Virginia Code §29A-3-11 and §39A-3-2.
§133-52-1. General.
1.1. Scope. --This rule establishes the policy regarding annual reauthorization of degree-granting institutions which offer degrees above the associate level.
1.2. Authority. --West Virginia Code §18B-4-7.
1.3. Filing Date. -- July 5, 2017.
1.4. Effective Date. -- August 5, 2017.
1.5 Sunset Date. --This rule shall terminate and have no further force or effect upon the expiration of five years from its effective date on .
§133-52-2. Purpose.
2.1. The West Virginia Higher Education Policy Commission (Commission), through a process of granting authorization and annual reauthorization of baccalaureate and graduate level higher education institutions operating in West Virginia, has the responsibility of protecting consumers and ensuring students are offered quality education by postsecondary providers to West Virginia residents. An institution authorized by the Commission shall be required to operate in accordance with fair consumer practices to ensure that students can make appropriate decisions concerning their investment of time and money.
2.2. Fair consumer practices means honesty, fairness, and disclosure to students in the areas of recruitment, admission, contractual agreements, student financial assistance, obligations to repay student loans, placement assistance and job placement rates, advertising, refund policies, the meaning and recognition of different types of accreditation, the transferability of the institution’s credits to other postsecondary institutions, the offering of quality instructional programs, and other appropriate performance measures.
2.3. The Commission is responsible for the authorization of any institution, association or organization external to or within the state which desires to offer programs or credit-bearing academic courses of higher learning in West Virginia. Authorization is required for all postsecondary providers including: non-profit private institutions, proprietary institutions, out-of-state public institutions, degree-granting entities that offer degrees at the baccalaureate level or above, and entities that use the term “academy,” “college,” “institution,” “university” or similar title, hereafter referred to as “institution.”
2.4. The Commission is responsible for the annual reauthorization of any private, proprietary, or out-of-state postsecondary institution that has physical presence in West Virginia and offers degree programs above the associate level except for those institutions exempted by the Commission under Section 4 of this rule. The process of conferring reauthorization by the Commission includes the monitoring of standards for degrees awarded, the collection and dissemination of pertinent institutional data, the conduct of certain reviews and audits, and the imposition of certain sanctions including revocation of degree-granting authority.
2.5. Existing institutions of higher education authorized to operate in West Virginia prior to the effective date of this rule are subject to the reauthorization provisions of this rule and shall report annually to the Commission on all items related to reauthorization prescribed in this rule.
2.6. While the provisions of this rule apply directly to the annual reauthorization of any private institution in West Virginia which offers degrees above the associate level, the criteria for annual reauthorization also apply to public higher education institutions that offer degrees above the associate level in the state, and are under the purview of the Commission with the exception of Marshall University and West Virginia University.
2.7. While exempt from annual reauthorization, Marshall University and West Virginia University shall provide information delineated in Section 5.4 to the Commission by November 1 of each year.
2.8. The Commission shall make available information on institutional performance of all public institutions located in West Virginia, including Marshall University and West Virginia University, on the Commission’s website and through other appropriate venues.
§133-52-3. Definitions.
3.1. “Accreditation” means a status attained by the institution through voluntarily meeting standards set by a nongovernmental entity recognized by the U.S. Secretary of Education.
3.2. “Authorization” means the status attained by the institution that allows the institution to offer programs and courses within the State of West Virginia. This status is granted by the Higher Education Policy Commission when the institution demonstrates compliance with the requirements for such status.
3.3. "Commission" means the West Virginia Higher Education Policy Commission.
3.4. “Council” means the West Virginia Council for Community and Technical College Education.
3.5. "Degree" means any earned award conferred by a higher education institution which represents satisfactory completion of the requirements of a program, or course of study, or any instruction beyond or apart from the secondary level of greater duration than eleven months of full-time study.
3.6. "Distance education" means the delivery of any course or degree programs by synchronous or asynchronous technology. Asynchronous or synchronous technology via distance delivery includes all forms of internet, electronic, digital, online, video, and any other technology driven delivery system.
3.7. "Institution" means any person, firm, corporation, association, agency, institute, trust or other entity of any nature whatsoever offering education beyond the secondary level which:
3.7.a. offers courses or programs of study or instruction which lead to or which may reasonably be understood to be applicable toward a baccalaureate, masters, doctorate, or other specialized certification/degree designation above the baccalaureate level; or
3.7.b. operates a facility as a college or university or other entity in the State of West Virginia which offers degrees or other indicia of a level of educational attainment beyond the secondary school level; or
3.7.c. uses the term "college" or "university," or words of like meaning, in its name or in any manner in connection with its academic affairs or business.
3.8. “Physical presence” means an actual presence in the state, online or on-site, for the purpose of conducting activity related to: a postsecondary educational institution; educational services; dissemination of educational credentials; enrollment, solicitation or advertising. Physical presence as further outlined for purposes of authorization shall include but not be limited to:
3.8.a. An instructional site within the state.
3.8.b. Dissemination of an educational credential from a location within the state.
3.8.c. An agent, whether compensated or not, who is utilized for the purpose of administering, coordinating, teaching, training, tutoring, counseling, advising, recruiting, or any other activity on behalf of the sponsoring institution.
3.8.d. Advertising, promotional material or public solicitation in any form that targets West Virginia residents through distribution or advertising in the state.
3.8.e. Instructional delivery that receives assistance from any other organization within the state in that delivery.
3.8.f. Clinical experiences, internships, or other similar curricular requirements.
Activities exempt from this definition include: online instructors residing in West Virginia but having no direct, in-person contact with students and individuals participating in college fairs coordinated by the Commission and local school districts.
3.9. “Reauthorization” is the process by which an institution annually renews its status as an institution authorized to offer programs and courses for West Virginia residents. This status is granted by the Commission when the institution demonstrates compliance with the requirements for such status.
3.10. “Religious, theological, or faith-based institution” means a postsecondary institution that offers no degree programs other than those specifically related to the institution’s doctrine. Institutions that offer general degree programs cannot be exempted by this rule as religious, theological, or faith-based.
3.11. “Unearned tuition” means the anticipated amount of tuition revenue minus refunds that will be generated within a one-year time frame of the institution’s authorized operation in West Virginia. “Unearned tuition” for the application of annual reauthorization is the amount of tuition revenue minus refunds that was received during the previous year.
§133-52-4. Exemptions.
4.1. Any institution fully authorized by the Commission to operate in West Virginia prior to the effective date of this rule is subject to the provisions of this rule pertaining to reauthorization except as provided in 4.2.
4.2. The following institutions shall be exempt from the provisions of this rule:
4.2.a. Correspondence, business, occupational and trade schools which are regulated under West Virginia Code provisions §18B-2B-9, and West Virginia Council for Community and Technical College Education, Title 135, Legislative Rule, Series 35 on correspondence, business, occupational and trade schools.
4.2.b. Out-of-state institutions:
4.2.b.1. offering courses through brokering or other collaborative arrangements with a West Virginia public institution of higher education and which support programmatic offerings of the state institution;
4.2.b.2. offering a short course or seminar in which the instruction for the segment takes no more than twenty classroom hours, and is not for college credit;
4.2.b.3. offering courses or programs on a military installation solely for military personnel or civilians employed on such installation;
4.2.b.4. offering courses or programs at a location in West Virginia by the authority of the Commission for a designated period of time; or
4.2.b.5. offering online courses or programs with Commission approval for a specified period of time.
4.2.c. Non-Degree granting institutions whose programs are designed primarily for job entry or upgrading of skills and are described in clock (contact) hours. These programs typically prepare individuals for employment and do not require courses beyond those specific to the job or its field with program length sufficient to effect outcomes.
4.2.d. A religious, theological, or faith-based institution which meets the criteria for exemption outlined in Series 20, *Initial Authorization of Degree-Granting Institutions*, and offers no degree programs other than those specifically related to the institution’s doctrine.
4.2.e. Those institutions subject to annual reauthorization by the West Virginia Council for Community and Technical College Education, under its Title 135, Series 52.
§133-52-5. Annual Reauthorization.
5.1. All authorized institutions, except those previously exempted in section 4.2 of this rule, must annually submit a reauthorization application report in a format prescribed by Commission staff. The annual reauthorization year will be from July 1 through June 30, with the 2012-2013 year being the initial reporting year. The annual application is due each November 1 and must be accompanied by an annual fee as provided in section 9 of this rule.
5.2. Reauthorization applications postmarked after November 1 or other due date will be assessed a late renewal fee as prescribed in section 9 of this rule.
5.3. Upon request by the Commission, authorized institutions must provide documentation necessary to assess the performance of the institution.
5.4. The reauthorization application must include the following:
5.4.a. Name and address of the institution of higher education.
5.4.b. Chief executive officer’s name, title, address, phone number, fax number, and email address.
5.4.c. Institutional liaison’s name, title, address, phone number, fax number, and email address.
5.4.d. Verification of current accreditation status and copy of latest annual HLC/NCA Institutional Update Report.
5.4.e. Full and part-time student enrollments of resident and non-resident students for each term during the most recent reporting year.
5.4.f. A current schedule of fees and charges for tuition.
5.4.g. First to second year retention rates for first-time, full-time certificate and degree-seeking students for the most recent year.
5.4.h. Graduation rates for undergraduate degree-seeking first-time, full-time freshmen for the most recent graduating six-year cohort year.
5.4.i. Data on student transfers into and out of the institution for the most recent year.
5.4.j. Licensure pass rates for completion of all professional programs, e.g., education, nursing, and engineering, for the most recent year.
5.4.k. Student loan cohort default rates for the most recent year available.
5.4.l. Campus crime statistics for the most recent reporting year available.
5.4.m. Number of student, staff, and faculty grievances filed during the most recent reporting year.
5.4.n. Any additional information or data as deemed necessary.
5.5. The Commission shall provide definitions of requested data elements. When appropriate, prior data submissions may be utilized to fulfill specific data requirements. Guidance will be provided by Commission staff.
5.6. Upon receipt of the annual reauthorization application, Commission staff shall convene a compliance review committee to review the submitted documentation. The compliance review committee shall be composed of:
5.6.a. Persons who are qualified by academic training or professional experience to verify the institution’s compliance with Commission standards for authorization.
5.6.b. Persons who are representative of both public and private institutions.
5.6.c. Members of the Commission staff. The Vice Chancellor for Academic Affairs or designee shall serve as chair of the committee.
5.7. Upon review of documentation and recommendation of the compliance review committee, institutions that are found to be in compliance with generally accepted parameters of operation are recommended to the Commission for reauthorization.
5.8. If the compliance review committee finds, after review of required documentation, that the institution is not in compliance with generally accepted parameters of operation, the committee may request additional documentation for review.
5.9. Each institution shall provide, at the request of the compliance review committee, all information
the committee considers necessary to assess the performance of the institution and determine whether the institution continues to meet the minimum standards for conferring degrees. Information may include but is not limited to the following:
5.9.a. Institutional information.
5.9.a.1. Copies of articles of incorporation, charter, constitution, and by-laws for the initial reporting year, and changes only for reporting in subsequent years.
5.9.a.2. Copy of any articulation agreement the institution has with a West Virginia higher education institution entered into or changed within the last year.
5.9.a.3. Copy of the institution’s current mission and goals statement for the initial reporting year, and changes only for reporting in subsequent years.
5.9.a.4. Copy of the current institutional catalog.
5.9.a.5. Copies of current promotional and recruitment materials and advertisements provided or distributed to West Virginia residents.
5.9.b. Accreditation information.
5.9.b.1. If the institution is accredited by a regional accrediting agency, verification of the accreditation status, including any correspondence within the last year.
5.9.b.2. If the institution is accredited by a national accrediting agency or any of its academic programs are accredited by a program accrediting agency, verification of the accreditation status.
5.9.c. Program information.
5.9.c.1. A list of current degree programs offered in West Virginia by the institution.
5.9.c.2. Results of any external degree program evaluation during the last year, if any.
5.9.c.3. A list of any degree programs that have ceased to be offered during the previous year.
5.9.c.4. Identification of methods used to assess student achievement.
5.9.c.5. Results of the most recent assessment of student achievement.
5.9.d. Faculty information.
5.9.d.1. A list of current full-time and part-time faculty with highest degree held, degree field(s), and institution conferring highest degree.
5.9.e. Financial information.
5.9.e.1. The latest financial statement for the most recent fiscal year compiled or audited by an independent certified public accountant, including any management letters provided by the independent auditor.
5.9.f. Facilities information, if applicable.
5.9.f.1. Verification of compliance with all applicable local, state, and federal safety and fire codes.
5.9.g. Student information.
5.9.g.1. The institution’s policies about student admissions, evaluation, suspension, and dismissal for the initial reporting year, and changes only for reporting in subsequent years.
5.9.g.2. A current schedule of fees, charges for tuition, required supplies, student activities, and all other student charges.
5.9.g.3. The institution’s policy about tuition and fee refunds and adjustments for the initial reporting year, and changes only for reporting in subsequent years.
5.9.g.4. The institution’s policy about granting credit for experiential learning, including prior education, training, and experience for the initial reporting year, and changes only for reporting in subsequent years.
5.9.g.5. The institution’s policy on post-graduation placement, if any, and data on placements for the most recent year.
5.9.g.6. A list of all student grievances for the most recent year as well as the nature and disposition of each.
5.9.h. Other information.
5.9.h.1. Information related to compliance with federal or state laws and regulations that require reporting to the public, students, employees or federal or state agencies.
5.9.h.2. Information on how the institution ensures accuracy in its usual publications such as the catalog and institutional brochures and fair representation by recruiters and agents.
5.9.i. The Commission shall provide definitions of requested data elements. When appropriate, prior data submissions may be utilized to fulfill specific data requirements. Guidance will be provided by Commission staff.
5.10. On-site review.
5.10.a. The compliance review committee, at its discretion, may conduct on-site reviews to assess institutional compliance with the minimum standards for conferring degrees as outlined in Series 20, *Initial Authorization for Degree-Granting Institutions*. The committee may evaluate maintenance of adequate academic and performance standards, conduct financial audits, or require the institution to perform such audits and provide detailed data to the committee. The visit will be scheduled at a time which is mutually convenient to the institution and the committee. The institution shall pay the reasonable expenses associated with the compliance review visit.
5.10.b. Following review of submitted documentation and/or site visit, the compliance review committee will prepare an analysis of the findings.
5.10.c. A draft of a staff report prepared in accordance with this section will be provided to the institution for correction of factual errors and comment. The institution may provide the Commission a
response to the report within ten (10) working days of receipt of the report. The institutional comments will be included with the compliance review committee report presented to the Commission.
5.10.d. The compliance review committee will develop a recommendation for the Commission regarding the institutional reauthorization application. Only those institutions which meet generally accepted higher education state standards of quality will be recommended for reauthorization.
5.10.e. An institution which is not found to meet the generally accepted higher education state standards of quality will be recommended to the Commission for denial of reauthorization. Once reauthorization is denied, the institution is subject to the authorization requirements, process and review in Series 20, *Initial Authorization of Degree-Granting Institutions*, in order to seek authorization to operate within West Virginia.
5.10.f. An institution submitting an annual reauthorization report adjudged by the Commission as meeting the standards for reauthorization shall retain its authorized status for the current year.
§133-52-6. Public Institutions and Annual Reauthorization.
6.1. All public institutions, except Marshall University and West Virginia University, under the purview of the Commission shall apply for annual reauthorization and shall meet the conditions for reauthorization as provided in section 5 of this rule.
6.2. The Commission shall make available to the public information on matters of institutional performance for all public institutions under its purview, including Marshall University and West Virginia University, as provided in section 2 of this rule.
§133-52-7. Dissemination of Institutional Information.
7.1. The Commission shall make available to the public, information on matters of institutional performance that are not confidential and not restricted by federal or state laws or regulations. Such information may be posted on the Commission’s website or disseminated through other appropriate venues.
7.2. The Commission office shall maintain a list of institutions authorized to grant degrees and shall make such list available to the public.
§133-52-8. Change of Ownership and Control.
8.1. Authorization of an institution terminates at the time when a change in ownership resulting in a change of control of the institution changes from that indicated on the institution’s most recent reauthorization application unless the institution files an application within ten (10) business days after the change of ownership that resulted in a change of control. Such institution shall submit an application reflecting the change in ownership and control and a fee of $500.
8.1.a. If an institution files an application requesting approval of a change of ownership and control more than ten (10) business days after the change of ownership resulting in a change of control takes effect, the authorization terminates and such an application will be considered as an application for authorization and the institution shall pay the fees specified in Series 20, *Initial Authorization for Degree-Granting Institutions*.
8.1.b. An authorized institution shall notify the Commission of any anticipated change in ownership that results in a change of control at least thirty (30) days prior to the change in ownership and control.
§133-52-9. Reauthorization Fees.
9.1. A non-refundable fee of $500 shall accompany the submission of the annual application report for reauthorization.
9.2. Failure to file the annual report or to pay the report fee shall be sufficient grounds for denial of reauthorization, suspension, or revocation of degree granting authority. An institution filing a report that is postmarked after the November 1 due date will be assessed a late fee of $300.
9.3. The annual fee and annual report requirements shall be applicable for all years of authorization through the Commission. The Commission may adjust all fee charges as deemed necessary.
9.4. Public institutions located in West Virginia are exempt from the requirement of payment of reauthorization fees as provided in this section.
§133-52-10. Sanctions and Termination of State Authorization.
10.1. Intermediate sanctions.
10.1.a. If an institution fails to comply with the provisions for reauthorization in this rule, the Commission may progressively impose one or more of the following sanctions.
10.1.a.1. Require the submission and implementation of an improvement plan to address or correct problems identified by the Commission.
10.1.a.2. Suspend the ability of an institution to enroll students for one or more of the approved programs offered by the institution.
10.2. Termination of state authorization.
10.2.a. An institution shall provide the Commission with a copy of any notice of warning, suspension, revocation or other adverse action received from any national or regional accrediting agency within five (5) business days of receipt of such notice.
10.2.b. The Commission may for good cause, suspend, withdraw or revoke the authorization of an institution to generate or solicit students within the state, place an institution on probation, order refunds to students, forfeit the institution’s surety bonds, revoke an institution’s degree granting authority, or take any other appropriate action per Series 20, Initial Authorization of Degree-Granting Institutions.
10.2.c. The Commission may terminate state authorization if the institution fails to submit an acceptable annual reauthorization application or submits an incomplete or unsatisfactory reauthorization application, as determined by Commission staff and referenced in Section 5 of this rule.
10.2.d. The Commission shall revoke the authority of an institution to confer degrees at any time when the institution’s governing body, chief executive officer, or both have done any one or more of the following:
10.2.d.1. Failed to maintain the minimum standards for conferring degrees.
10.2.d.2. Refused or willingly failed to provide information to the Commission in a manner and within a reasonable timeframe as established by the Commission.
10.2.d.3. Willfully provided false, misleading or incomplete information to the Commission.
10.2.e. An institution authorized as a religious, theological or faith-based college that fails to continue to meet the criteria for a religious institution shall have its authorization terminated. The institution shall be so notified in writing. A phase-out period of not more than one additional academic term shall be permitted. An appeal to the Commission may be filed within ten (10) business days. In the absence of a timely appeal, the termination shall be final.
10.3. Notification to cease offering degrees or degree credits.
10.3.a. Institutions that are not authorized but offer degrees and/or degree credits in West Virginia shall be notified by certified mail that they shall cease immediately to offer degrees and/or degree credits. The Commission shall initiate appropriate legal action if institutions fail to comply.
§133-52-11. Notification and Deposit of Records Upon Discontinuance of Operations.
11.1. If an authorized institution, branch campus, or extension program of an authorized institution discontinues operation in this state, its chief executive officer shall notify the Commission of the date of discontinuance and the name and address of the agency where records will be maintained.
11.2. Records shall be permanently maintained and copies may be obtained by authorized parties. Such records shall include but not be limited to information pertaining to the admission of each student and former student and the educational record of each student and former student. Financial aid records of each student and former student shall be retained consistent with state and federal regulations.
11.3. When an institution decides to cease postsecondary education operations, it must assist students to find alternative means to complete their studies with a minimum of disruption, and inform the Commission of the following:
11.3.a. the planned date of termination of postsecondary education operations;
11.3.b. the planned date for the transfer of student records;
11.3.c. confirmation of the name and address of the organization to receive and hold the student records; and
11.3.d. the official at the organization receiving the student records who is designated to provide official copies of records or transcripts upon request.
§133-52-12. Notification: Appeals.
12.1. Once the Commission has received and verified the accuracy of information constituting any of the grounds identified in section 10 of this rule, the Commission shall notify the institution and its owner in writing of its intent to recommend denial or suspension of reauthorization or other adverse action and the grounds for such recommendation.
12.1.a. The owner of the institution may, within ten (10) business days of receipt of such notice, request a hearing upon the recommended action. Such hearing, if requested, shall be commenced within twenty (20) business days of such request at the Chancellor’s office or at such other location convenient to the parties and witnesses as may be designated by the Chancellor.
12.1.b. The hearing shall be conducted by the Chancellor or his/her designee, pursuant to the procedures set forth in Chapter 29A, Article 5 of the Code of West Virginia.
12.1.c. The Chancellor or his/her designee may continue the hearing at the request of the institution for good cause shown. Continuance shall not be granted as a matter of right.
12.1.d. If the owner or a representative of the institution does not request a hearing within the requisite time period, the recommendation of the Chancellor or his/her designee shall be deemed unchallenged by the institution and reported to the Commission for final action.
12.2. During the hearing, the grounds for denial, suspension, withdrawal, or revocation of authorization to operate the institution or other adverse action must be established by clear and convincing evidence.
12.3. Irrelevant, immaterial, or unduly repetitious evidence may be excluded from the hearing. Formal rules of evidence as applied in civil cases in the circuit courts of this state shall not be applied. When necessary to ascertain facts not reasonably susceptible of proof under those formal rules evidence not admissible there under may be admitted, except where precluded by statute, if it is a type commonly relied upon by reasonably prudent persons in the conduct of their affairs.
12.4. The rules of privilege recognized by the law of this state shall be followed.
12.5. Objections to evidentiary offers shall be noted in the record. Any party to the hearing may vouch the record as to any excluded testimony or other evidence.
12.6. Any party to a hearing may appear with witnesses to testify on his or her behalf; may be heard in person, by counsel or both; may present such other evidence in support of his or her position as deemed appropriate by the Chancellor or his/her designee; and, may cross-examine witnesses called by the Commission in support of the charges.
12.7. The hearing shall be open to the general public.
12.8. A record of the hearing, including the complaint(s), if applicable, the notice of hearing, all pleadings, motions, rulings, stipulations, exhibits, documentary evidence, evidentiary depositions and the stenographic report of the hearing, shall be made and a transcript thereof maintained in the Commission’s files. All recorded materials shall be transcribed. The Commission shall have the responsibility to make arrangements for the transcription and provision of the reported testimony and evidence to the parties. Upon request, a copy of the transcript shall be furnished to any party at his or her expense.
12.9. Documentary evidence may be received in the form of copies or excerpts or by incorporation by reference.
12.10. The Commission may call witnesses to testify in support of charges and may present such other evidence to support its position; and, may cross-examine witnesses called by the charged party in support of its position.
12.11. All parties shall have the right to offer opening and closing arguments.
12.12. Hearings may be continued or adjourned to a later date or different place by the Chancellor or his/her designee by appropriate notice to all parties.
12.13. All motions related to a case set for hearing, except motions for continuance and those made during the hearing, shall be in writing and shall be received in the office of the Chancellor at least ten (10)
business days before the hearing. Pre-hearing motions shall be heard at a pre-hearing conference or at the hearing prior to the commencement of testimony.
12.14. Any party may submit proposed findings of fact and conclusions of law at a time and manner designated by the Chancellor or his/her designee.
12.15. At any time prior to the hearing or thereafter, the Chancellor or his/her designee may hold conferences for the following purposes:
12.15.a. To dispose of procedural requests, pre-hearing motions or similar matters;
12.15.b. To simplify or settle issues by consent of the parties; or,
12.15.c. To provide for the informal disposition of cases by stipulation or agreement.
12.16. The Chancellor or his/her designee may cause such conferences to be held on its own motion or by the request of a party.
12.17. Evidentiary depositions may be taken and read or otherwise included into evidence as in civil actions in the circuit courts of this state.
12.18. Subpoenas to compel the attendance of witnesses and subpoenas duces tecum to compel the production of documents may be issued by the Chancellor pursuant to West Virginia Code §29A-5-1(b).
12.19. Written requests by a party for the issuance of subpoenas duces tecum as provided in section 12.18 of this rule must be received by the Commission no later than ten (10) business days before a scheduled hearing. Any party requesting the issuance of subpoenas duces tecum shall see that they are properly served in accordance with West Virginia Code §29A-5-1(b).
12.20. Any final order entered by the Commission following a hearing conducted pursuant to these rules shall be made pursuant to the provisions of West Virginia Code §29A-5-3. Such orders shall be entered within sixty (60) days following the submission of all documents and materials necessary for the proper disposition of the case, including transcripts, and shall contain findings of fact and conclusions of law unless good cause exists to extend such time or by agreement of the parties.
12.21. Findings of fact and conclusions of law shall be recommended to the Commission by the Chancellor or his/her designee and must be approved by a majority of the Commission by vote at a regular meeting, before a final order is entered. A copy of the final order approved by a majority of the Commission shall be served upon the institution and/or his or her attorney of record, if any, within ten (10) business days after entry by the Commission by personal service or by registered or certified mail.
12.22. The final order may suspend, withdraw or revoke the authorization of the institution; place an institution on probation; order refunds to students; order forfeiture of the institution’s surety bond and disbursement of the funds forfeited disbursed to students injured by the institution’s violation of this rule or its enabling statute; or order any other action deemed appropriate by the Commission, up to and including payment of loans, interest and other charges in connection with institution loans caused a student by the institution’s violation of this rule.
12.23. All proceedings pursuant to this rule shall be conducted pursuant to and comply with applicable statute, including, but not limited to, West Virginia Code §29A-5-1, et seq.
12.24. Any relief a student believes he or she was not rightfully awarded by the Commission pursuant
to this rule may be pursued in any other appropriate forum.
Report to the Legislative Oversight Commission on Education Accountability
Approval of Sunset Date Extension, West Virginia Council for Community and Technical College Education, Title 135, Series 35, Correspondence, Business, Occupational and Trade Schools
NOTICE OF SUNSET PROVISION EXTENSION REQUEST
AGENCY: Community And Technical College Education
RULE TYPE: Legislative
RULE NAME: 135-35 Correspondence, Business, Occupational, and Trade Schools
PLEASE SELECT A SUNSET PROVISION OPTION:
[X] EXTEND THE SUNSET DATE OF THE RULE.
5 REQUESTED NUMBER OF YEARS FOR EXTENSION (SUBJECT TO LRMRC REVIEW).
[ ] LET THIS RULE EXPIRE.
PLEASE INDICATE IF THIS RULE INCLUDES:
RELEVANT FEDERAL STATUTES OR REGULATIONS [ ] INCORPORATED BY REFERENCE [ ]
PLEASE PROVIDE A BRIEF SUMMARY OF THE CONTENT OF THE RULE:
Rule regarding the issuance, renewal, and revocation of permits to business, occupational, and trade schools in West Virginia. No changes requested.
SUMMARIZE IN A CLEAR AND CONCISE MANNER THE REASONS FOR REQUESTING A SUNSET PROVISION EXTENSION:
This rule remains necessary for the WV Council for Community and Technical College Education to continue to issue, renew and revoke operational permits for these schools in West Virginia.
SUMMARIZE IN A CLEAR AND CONCISE MANNER THE OVERALL ECONOMIC IMPACT OF THE RULE:
A. ECONOMIC IMPACT ON REVENUES OF STATE GOVERNMENT:
None
B. ECONOMIC IMPACT OF THE LEGISLATIVE RULE ON THE STATE OR ITS RESIDENTS:
None
C. FISCAL NOTE DETAIL:
| Effect of Proposal | Fiscal Year |
|--------------------|-------------|
| | 2021 Increase/Decrease (use "-") | 2022 Increase/Decrease (use "-") | Fiscal Year (Upon Full Implementation) |
| 1. Estimated Total Cost | 0 | 0 | 0 |
| Personal Services | 0 | 0 | 0 |
| Current Expenses | 0 | 0 | 0 |
| Repairs and Alterations | 0 | 0 | 0 |
| Assets | 0 | 0 | 0 |
| Other | 0 | 0 | 0 |
| 2. Estimated Total Revenues | 0 | 0 | 0 |
D. EXPLANATION OF ABOVE ESTIMATES (INCLUDING LONG-RANGE EFFECT):
NA
BY CHOOSING 'YES', I ATTEST THAT THE PREVIOUS STATEMENT IS TRUE AND CORRECT.
Yes
Angela S Kerns -- By my signature, I certify that I am the person authorized to file legislative rules, in accordance with West Virginia Code §29A-3-11 and §39A-3-2.
§135-35-1. General.
1.1. Scope. -- Rule regarding the issuance, renewal, and revocation of permits to business, occupational, and trade schools.
1.2. Authority. -- West Virginia W. Va Code §18B-2B-9.
1.3. Filing Date. -- July 19, 2017.
1.4. Effective Date. -- July 19, 2017.
1.5. Sunset Provision. -- This rule shall terminate and have no further force or effect on July 19, 2022.
§135-35-2. Definitions.
2.1. Accredited School
A school that is accredited by a regional or national accrediting agency that is recognized by the United States Department of Education.
2.2. Associate Degree
A degree that may be awarded by accredited schools pursuant to a program of not less than two (2) academic years as authorized by West Virginia Code 18B-2B-9.
2.3. Council
The West Virginia Council for Community and Technical College Education.
2.4. Campus
A permanent facility where instruction takes place, or a facility where courses are taught for more than ten (10) days per calendar year.
2.5. Chancellor
The Chancellor of the West Virginia Council for Community and Technical College Education or his or her designee.
2.6. Financially Sound
Meeting two of the following: a current ratio of at least 1:1 regarding total current assets compared to total current liabilities, positive total equity, or current year profitability.
2.7. Immediate Family
Spouse, parent, sibling, child, or grandchild.
2.8. Ownership Change
When the change of ownership results in a change in control of the school outside the immediate family.
2.9. Person
Any individual, group of individuals, partnership, association, organization, business, trust, corporation, or other business entity.
2.10. Business, Occupational, or Trade School
An institution, organization, or entity no matter how titled, maintaining or conducting classes or instruction for a consideration, remuneration, or tuition, designed to prepare an individual for employment or enhance employment skills.
2.11. Representative
Any person representing a school, whether such school is located within or outside of the State of West Virginia, or acting as an agent, solicitor, procurer, broker, or independent contractor to produce students or enrollees for any such school by solicitation in any form at any place in this state.
2.12. School
Business, occupational, or trade, school.
2.13. Specialized Associate Degree
Degree that may be awarded by accredited schools pursuant to a degree program of not less than two (2) academic years.
2.14. State
The State of West Virginia.
2.17. Terms
Regularly established divisions of the academic school year, each with an established starting and ending date, which is normally referred to as modules, quarters, trimesters, or semesters.
§135-35-3. Exemptions.
3.1. For the purpose of this rule, the following are not defined as a correspondence, business, occupational, or trade school:
3.1.a. Any school or person licensed or approved to offer education or training by any other statutory licensing or accrediting agency pursuant to statutes of the West Virginia Code other than 18B-2B-9.
3.1.b. Any school or organization whose courses of instruction offered are solely for the purpose of teaching preparation of tax returns.
3.1.c. Any school conducted by any person, solely on a contractual basis with private or governmental organizations where obtaining a permit is not a condition of the contract and students are not charged tuition or other fees, and no advertisement of courses takes place.
3.1.d. Any training or apprenticeship program conducted by a company, union, or other organization in which students, members, or employees enrolled in the training or educational programs are not charged tuition or other fees.
3.1.e. Schools that offer courses which are conducted solely for personal development or information, do not prepare or represent themselves as preparing, an individual for a career or enhancing employment opportunities, are not offering sequential courses comprising an entire program and are not offering courses for more than twenty-four (24) weeks per calendar year.
3.1.f. Tutorial instruction given in a private home or elsewhere as supplemental to regular classes for students enrolled in public or private schools.
3.1.g. Non-profit independent colleges, universities, and other non-profit entities that are accredited by a regional accrediting agency recognized by the United States Department of Education.
3.1.h. Public colleges, universities, and schools under the jurisdiction of the West Virginia Council for Community and Technical College Education, or the West Virginia Board of Education.
§135-35-4. Application for Permit.
4.1. Unless exempted as defined in Section 3 of this rule, a person or corporation shall not solicit students or operate any business, occupational, trade school, or branch campus in the state without first applying for or obtaining a permit issued by the Council. A permit shall be issued authorizing the solicitation of students and/or authorizing the operation of a school if all conditions of the laws and regulations of this state pertaining to correspondence, business, occupational, and trade schools are met.
4.2. If a person as defined in Section 2 of this rule wishes to operate or continue to operate a school or branch campus or to solicit students in the state, that person shall submit an original application for a permit to do so on forms provided by the Council.
4.3. As a condition of the issuance of a permit, a school shall submit with the application:
4.3.a. A copy of the curriculum and description of courses for each program being offered;
4.3.b. A copy of the student enrollment contract;
4.3.c. A copy of the school's tuition refund policy and schedule;
4.3.d. A fully executed surety bond in the appropriate amount;
4.3.e. The appropriate permit fee;
4.3.f. A list of all representatives of the school who will be soliciting students; and
4.3.g. If accredited, documentation from the accrediting agency regarding accreditation status.
4.4. Persons shall not be deemed to have submitted an initial application for a permit to operate a school or solicit students in this state unless a properly completed application, the application fee, the required surety bond, and all other information and documentation required by this rule has been submitted to the Council.
and the following has been provided:
4.4.a. A listing of the individual's or organization's prior school operation history in this state, other states, or other countries.
4.4.b. Information detailing the involvement in, or relationship to, any school that lost its accreditation, lost its authorization to operate because of violation of state or federal laws, was terminated from participation in the federal financial aid programs, closed without arranging a teach-out for students or arranging refunds, or other discharge of the school's contractual obligation to the student.
4.4.c. Proof at the time of filing an initial application that adequate facilities are available and ready for occupancy and that all instructional equipment, books, supplies, and personnel are in place and ready for operation and verified by an on-site visit by a representative of the Council.
4.5. As a condition of permit renewal, all schools shall make annual reports to the Council on forms furnished by the Council.
4.6. In addition to the requirements set forth above, all out-of-state schools shall annually provide evidence of authority to operate or accreditation by the regulatory agency of each state in which the school is located or conducts business.
4.7. A permit shall be valid for one year corresponding to the effective date of the surety bond as required herein.
4.8. Any information of a confidential or proprietary nature provided to the Council by a school for the purpose of obtaining or renewing a permit, and exempted from public disclosure pursuant to the terms of West Virginia Code §29B-1-4, shall not be disclosed for any purposes inconsistent with this rule or statute.
§135-35-5. Approval to Offer Degrees.
5.1. All schools planning to offer a degree at the specialized associate’s degree, associate’s degree, or higher must receive approval from the Council and/or the West Virginia Higher Education Policy Commission prior to offering the degree. Schools seeking approval to offer the degree shall submit the following for review:
5.1.a. All degree requirements and the course curriculum
5.1.b. Faculty credentials and experience
5.1.c. A description of all available student support services
5.1.d. A description of available library and instructional materials
5.1.e. A description of program learning objectives and assessment methodology
5.2. Once a school is approved to offer the degree, that school is subject to annual reauthorization as provided in Legislative Rule, Title 135 (Council) or 135 (Commission), Series 52, Annual Reauthorization of Degree-Granting Institutions.
§135-35-6. Permit Application Fee.
6.1. Any person applying for a permit to solicit students or operate a school, as defined by this rule, or branch campus in this state shall submit an initial application fee in the amount of two thousand dollars.
($2,000) with the application.
6.2. Any person applying for renewal of a permit shall submit an annual fee of five hundred dollars ($500) with the renewal application for each campus operated by the school.
6.3. Any person submitting a permit renewal application and surety bond more than sixty (60) days after the last effective date of the applicant's previous surety bond shall be considered a new applicant for the purpose of paying the initial application fee.
§135-35-7. Surety Bond Requirements.
7.1. A school located in the state shall submit with its initial or renewal application, the original fully executed continuous surety bond written by a company authorized to do business in this state in the sum of fifty thousand dollars ($50,000) unless required otherwise by a provision of this section.
7.2. Any school which has its physical facilities located in this state and has operated in this state under the present ownership, or ownership control within the immediate family, for at least ten (10) years is required to submit with its renewal application the original copy of a fully executed continuous surety bond written by a company authorized to do business in this state in the sum of thirty-five thousand dollars ($35,000).
7.3. Schools having branch campuses within this state shall provide one fully executed surety bond in the appropriate amount providing coverage for all campuses.
7.4. In the event of notice of cancellation of the surety bond by a bonding company, the school shall furnish a fully executed replacement to the Council within sixty (60) days of the school's receipt of the notice of cancellation. But in no event may a school solicit or enroll new students until the appropriate surety bond is in effect.
7.5. The termination of a school's surety bond coverage shall be grounds for revocation of its permit if the school fails to replace the bond within the required time.
7.6. A school whose physical facilities are located outside this state, and which applies for a permit to solicit students in this state, shall submit a fully executed surety bond in the sum of fifty thousand dollars ($50,000).
7.7. The Council may increase the bond requirement of any school to one hundred fifty thousand dollars ($150,000) if the school has its accreditation terminated or its institutional eligibility under the Higher Education Act of 1965, as amended, is terminated for cause.
7.8. If, in accordance with the standards of the American Institute of Certified Public Accountants, the school's audited financial statements are qualified because the school's continued financial viability as an ongoing concern is in doubt, and the school is not financially sound as defined in Section 2 of this rule, the Council may require the surety bond be increased up to an amount not to exceed four hundred thousand dollars ($400,000) if the Council determines an increased bond is reasonably necessary to protect the financial obligations legally due to the students then enrolled at the institution.
7.9. Confidentiality Statement - any financial information submitted to the Council by a school covered under this rule shall be used by the Council only for purposes of this rule.
§135-35-8. Maintenance of Records.
8.1. A school shall maintain records at a central location and have them available for inspection by a representative of the Council.
8.2. A school shall maintain academic records suitable for transcript purposes for each student for fifty (50) calendar years after the student has departed the school, or until the student becomes 65 years of age. The records shall include, as a minimum:
8.2.a. The name and address of the school;
8.2.b. The full name and address of the student;
8.2.c. The starting and completion or separation dates;
8.2.d. The course of instruction or subject;
8.2.e. The amount of credit, if any;
8.2.f. The grade for each subject; and
8.2.g. A statement indicating whether the student graduated or completed the course.
8.3. A school shall develop and enforce security measures to protect student records from damage or destruction for the required period of time.
§135-35-9. Change of School Ownership.
9.1. A school must notify the Council at least thirty (30) days in advance of the change of ownership control. Within thirty (30) days of such notification, the Council will notify the school of permit status.
9.2. When a school is located in this state and has a change of ownership control and the new ownership control is outside of the immediate family of the previous owner, the school may continue to operate under the present permit. However, before the solicitation of students can continue, the school shall submit to the Council the following:
9.2.a. A fully executed surety bond in the amount of fifty thousand dollars ($50,000).
9.2.b. The names, addresses, and corporate titles of all persons or other entities having a financial interest in the school, and the names and addresses of any other schools in which these persons or entities have or have had a financial interest.
9.2.c. A revised listing of all programs to be offered if changes were made with new ownership.
9.2.d. An application for each representative of the school who will be soliciting students.
9.3. If the school is located outside this state, the school must show evidence of compliance with the laws and regulations in the state where the school is located. In addition, before the solicitation of students continues in this state, the school must submit the following:
9.3.a. A fully executed surety bond in the amount of fifty thousand dollars ($50,000);
9.3.b. An application for each representative of the school that will be soliciting students in West Virginia;
9.3.c. A revised listing of all programs to be offered if changes are made with new ownership; and
9.3.d. The names, addresses, and corporate titles of all persons or other entities having a financial interest in the school.
§135-35-10. School Closing.
10.1. A school which is closing, either voluntarily or involuntarily, shall:
10.1.a. Inform the Council of this action immediately by certified mail;
10.1.b. Supply the Council with the name, address, and telephone number of the person responsible for closing arrangements;
10.1.c. Supply the Council with the name, address, telephone number, and the course of study for each student who has not completed his or her course of study;
10.1.d. Supply the Council with information on the dates of enrollment, the amount of class time left for each student to complete the course, and the amount of entitled refund, if any, for which each student is eligible;
10.1.e. Inform currently enrolled students by written notice of the appropriate procedures they are to follow to secure refunds due if suitable teachouts have not been arranged, or to continue their education and supply the Council with a copy of this notice; and
10.1.f. Inform the Council and currently enrolled students of plans to store the permanent student records and the procedure to obtain copies.
§135-35-11. Student Enrollment Contract.
11.1. Before the schooling begins, all students shall receive a completed, signed and dated enrollment contract specifying both the school’s and student’s legal rights and obligations. The agreement may incorporate into the contract by reference information in the school’s catalog, student handbook, or other school publication without printing such information or publication in the contract itself. The enrollment contract must contain, but is not limited to, the following:
11.1.a. The name and address of the school;
11.1.b. The name of the course of study or program, including the number of credit or clock hours of classroom instruction, home study lessons, or other study units required;
11.1.c. The total cost of the course, term or program for which the student is obligated under the contract including tuition, fees, books, and any other charges the student will incur shall be clearly stated;
11.1.d. The school’s cancellation and refund policy including an explanation of the procedures a student will follow to cancel the contract or enrollment agreement; and
11.1.e. The signature of the student applicant, a parent or other sponsor if the student is under the age of eighteen (18), and the appropriate school officials, plus the date signed.
11.2. An application for admission is not to be construed as binding on the student, therefore limiting total student financial obligation to the payment of an application fee.
11.3. The school shall provide the student with a copy of the completed enrollment agreement that is signed and dated.
11.4. Those schools that are accredited by a national or regional accrediting agency recognized by the United States Department of Education may adhere to the accrediting agency's criteria regarding student enrollment contracts to satisfy the requirements of this section. However, in the event that enrollment contracts are not addressed by accrediting agency criteria, the provisions of this section must be followed.
§135-35-12. Cancellation and Refund Policies.
12.1. To obtain a permit a school shall have a cancellation and refund policy that incorporates the following provisions:
12.1.a. A statement relative to the unused portion of tuition, fees, and other charges if the student does not begin classes, withdraws, or is dismissed.
12.1.b. All fees and payments remitted to a school by a prospective student shall be refunded, minus any stated application fee not to exceed fifty dollars ($50), if the student is not admitted due to ineligibility.
12.1.c. An admitted student applicant may cancel, by written notice, his or her enrollment any time prior to the first class day of the session for which the application was made, and the school shall refund all tuition paid by the student minus an application fee not to exceed fifty dollars ($50).
12.1.d. For the purposes of refund calculations, an individual's status as a student shall be considered terminated by the school not later than seven (7) calendar days after the last day on which the student actually attended the school. Termination may be effected earlier by proper notification. A home study program of instruction shall be terminated if a school does not receive a lesson or an appropriate response from the student within six months after receipt of the last lesson, and the date of withdrawal shall be the date of the last lesson received. The date of withdrawal initiated by a student shall be the date a letter is postmarked or proper notification is given. The school shall provide a receipt for the letter or withdrawal notice received.
12.1.e. Schools are required to submit refunds to individuals or the appropriate agency within twenty (20) days after receipt of a proper notification of termination from a student.
12.1.f. The student refund policy for withdrawals and terminations for schools not accredited by an accrediting agency recognized by the United States Department of Education must at a minimum comply with the following:
12.1.f.1. A student who begins a term and withdraws after completing up to one (1) week or ten percent (10%) of the term is entitled to a refund of ninety percent (90%) of the charges less the application fee.
12.1.f.2. A student who begins a term and withdraws after completing more than ten percent (10%) through twenty-five percent (25%) of the term is entitled to a refund of seventy-five percent (75%) of the charges less the application fee.
12.1.f.3. A student who withdraws after completing more than twenty-five percent (25%) through fifty percent (50%) of the term is entitled to a refund of fifty percent (50%) of the charges less the application fee.
12.1.f.4. A student who withdraws after completing more than fifty percent (50%) of the term is not entitled to a refund.
12.2. Refunds shall be calculated for a specific term as defined in Section 2 of this rule, or the total cost of programs not exceeding one year. In the event that students are financially obligated for a year-long
program, the refund policy shall be on a weekly prorata basis through the first sixty percent (60%) of the program. The student's financial commitment shall not be for more than one year at any given time.
12.3. Those schools that are accredited by a national or regional accrediting agency recognized by the United States Department of Education, may use the accrediting agency's refund policy to meet the requirements of this section. However, student refunds must be made within twenty (20) days after receipt of a proper notification of termination.
12.4. Those schools having their physical facilities located outside this state must comply with the cancellation and refund policies of their home state. If there is no state cancellation and refund policy in their home state, Section 11 of this policy must be followed.
§135-35-13. Advertising.
13.1. Each school and its representatives shall not make or cause to be made any oral, written, or visual presentation in connection with the offering or publicizing of a subject or course of instruction which is false or misleading.
13.2. In its advertising, a school shall:
13.2.a. Limit reference to its authority to operate to "Permit to Operate Issued by the West Virginia Council for Community and Technical College Education;
13.2.b. Disclose that it is a home study school if it provides such instruction;
13.2.c. Advertise starting or average salaries of its former students only if these claims can be documented for the most recent twelve- (12) month period preceding the advertisement for more than fifty percent (50%) of the graduating class.
13.3. In its advertising, a school shall not:
13.3.a. Advertise that it is "supervised," "recommended," "endorsed," "approved," or "accredited" by the Council;
13.3.b. Describe its courses of instruction and subjects in a misleading manner.
13.3.c. Use photographs or other illustrations in ways which misrepresent the size and location of the school, its equipment and facilities for the career for which the student is being trained;
13.3.d. Represent that it is endorsed by or affiliated with a college or university, unless such statements can be documented;
13.3.e. Advertise or indicate in any manner the transferability, or possibility of transferability, of its credits to colleges and universities unless it has written evidence on file of current acceptability of such credits from said colleges or universities;
13.3.f. Advertise that it is endorsed by manufacturers, business establishments, or organizations engaged in the line of work for which the school gives training unless written documentation regarding the endorsement is on file;
13.3.g. Advertise accredited status unless such status has been received from an accrediting body currently listed as recognized by the United States Department of Education and such accrediting body must be named if used in any advertisement or promotional material;
13.3.h. Advertise as an employment agency, or under the same or similar name as such an agency, or advertise training courses in the "Help Wanted" section of any newspaper;
13.3.i. Advertise any tuition, fees, or other charges in amounts other than those currently on file in the chancellor's office or advertise them without showing the total costs;
13.3.j. Falsely guarantee job placement or employment at a certain wage; or
13.3.k. Use endorsements, commendations, or recommendations by students without their written consent.
13.4. A school eligible to offer a course of instruction or program leading to an associate degree or specialized associate degree shall, in any advertisement, promotional material, or the school catalogue refer to this degree designation as an "Associate Degree" or a "Specialized Associate Degree."
13.5. Those schools that are accredited by a national or regional accrediting agency recognized by the United States Department of Education may adhere to the accrediting agency's criteria regarding advertising to satisfy the requirements of this section. However, in the event that advertising is not addressed by accrediting agency criteria, the provisions of this section must be followed.
§135-35-14. Student Complaints.
14.1. A school shall attempt to resolve student complaints promptly and fairly and shall not subject a student to punitive action as a result of a written complaint having been filed with the school or Council.
14.2. The school shall have written procedures that describe in detail how a student may register a complaint with the school and Council, and how the school will investigate and attempt to resolve the complaint.
14.3. The Council will begin the investigation of a written complaint within thirty (30) days of the date of receipt of the complaint unless it is a complaint regarding a matter over which the Council has no jurisdiction or it is intrinsically not credible. The initial investigation should be completed within sixty (60) days of the filing of the complaint.
14.4. The school shall provide all enrolled students with a written copy of the student complaint procedures and make prospective students aware that such procedures exist and provide copies upon request.
14.5. Each school that is being investigated, as a result of a written student complaint, will be notified by the Council that such an investigation is being conducted, and a copy of the written complaint will be forwarded to the school. The name of the complainant may be withheld if so requested.
14.6. The school being investigated must respond to any inquiry by the Council relating to the investigation within ten (10) work days of its receipt of the inquiry.
14.7. Any school refusing to cooperate with an investigation of a written student complaint by the Council or any other governmental agency shall have its permit to operate or solicit students in West Virginia revoked in accordance with the due process provisions of Section 14 of these rules.
14.8. The Council, upon completion of the investigation of a written student complaint, will supply the school by certified mail with a written report of the findings and any proposed corrective action. The school will have twenty (20) work days to reply to the Council before any action may be taken.
14.9. The school has a right to request a hearing regarding any findings or action proposed by the Council resulting from an investigation involving student complaints.
14.10. The Council may forward any information pertaining to a written complaint found to have merit involving student financial aid to the United States Department of Education.
§135-35-15. Warning, Suspension, Withdrawal, or Revocation of Accreditation, License, and/or Approval To Operate.
15.1. A school shall provide the Council with a copy of any notice of warning, suspension, revocation, or other adverse action received from any national, regional, or state accrediting and/or approval agency or the United States Department of Education within five (5) days of receipt of such notice. The school shall at the same time inform the Council in writing of activities being taken to correct the deficiencies.
15.2. The Council may for good cause, suspend, withdraw, or revoke the authorization of a school to operate within this state or to solicit students within the state. Good cause shall consist of:
15.2.a. Loss of accreditation by a nationally or regionally recognized accrediting agency;
15.2.b. Cancellation of the school's bond by the bonding company and failure to secure a replacement in accordance with this rule;
15.2.c. A final determination that the school has engaged in conduct prohibited by this rule, and the conduct warrants suspension, withdrawal, or revocation of the approval to operate a school or solicit students in this state, and corrective action has not been taken within the required time;
15.2.d. Closure of the school without adequately providing for the completion of students' classes or course work, without refunding students' unearned tuition or otherwise discharged the institutions contractual obligations to the students;
15.2.e. Conviction of the owner of a school for a felony or crime involving administration of the school or involving Federal Student Assistance programs; or
15.2.f. Refusal to cooperate with an investigation pursuant to Section 13 of this rule.
15.3. Upon receipt by the Council of information constituting any of the above grounds for suspension, withdrawal, revocation, or other adverse action, the Council shall notify the school and its owner in writing of its intent to recommend suspension, withdrawal, revocation, or other adverse action and the grounds for such recommendation.
15.3.a. The owner of the school may, within ten (10) work days of receipt of such notice, request a hearing upon the recommended action. Such hearing, if requested, shall be commenced within twenty (20) work days of such request at the chancellor's office or at such other location convenient to the parties and witnesses as may be designated by the chancellor.
15.3.b. The hearing shall be conducted by the Chancellor of the West Virginia Council for Community and Technical College Education or the chancellor's designee, pursuant to the procedures set forth in Chapter 29A, Article 5 of the Code of West Virginia.
15.3.c. The chancellor or the chancellor's designee may continue the hearing at the request of the school for good cause shown. Continuances shall not be granted as a matter of right.
15.3.d. If the owner or a representative of the school does not request a hearing within the requisite time period, the recommendation of the chancellor shall be deemed unchallenged by the school and reported to the Council for final action.
15.4. At the hearing, the grounds for suspension, withdrawal, or revocation of authorization to operate the school or other adverse action must be established by clear and convincing evidence.
15.4.a. The owner of the school or its designated representative may appear to defend the interests of the school, may present witnesses and evidence on behalf of the school, and may cross-examine witnesses against the school. The school may retain legal counsel to represent its interests at the hearing.
15.4.b. The Council does not have the power to issue subpoenas, but the chancellor or the school may request the appearance of witnesses at the hearing, who shall be notified of such request by the chancellor or the chancellor's designee with the date, time, and location of the hearing in writing.
15.4.c. The rules of evidence shall not strictly apply, and evidence may be admitted if it is of a type commonly relied upon by reasonably prudent people in the conduct of their affairs. Objections to evidence offered by either party shall be ruled upon by the chancellor or the chancellor's designee who conducts the hearing.
15.4.d. The hearing shall be recorded by mechanical means or by a certified court reporter retained by the chancellor.
15.5. The chancellor shall make written findings of fact and conclusions of law as to whether or not the school or its representative has committed acts in violation of the law or these rules which would justify the suspension, withdrawal, or revocation of its authorization to operate. Such findings and conclusions shall be reported to the Council, and a copy of same shall be provided to the school on the same date it is filed with the Council and placed upon its agenda for action.
15.6. The Council shall act upon the report at its next regularly scheduled business meeting to accept or reject the findings of the chancellor or the chancellor's designee, and to suspend, withdraw, or revoke the authority of the school or its representative to operate and/or solicit students within this state. Notification of the Council's action shall be given to the school and/or its representative in writing within two (2) business days following such action of the Council, by certified mail, or by personal delivery. For good cause shown in the minutes of the Council’s, action upon the chancellor’s report may be deferred to a date not later than the next regularly scheduled business meeting of the Council.
15.7. A school or its representative may appeal an adverse action of the Council to a court of competent jurisdiction within the time period specified by state law.
Report to the Legislative Oversight Commission on Education Accountability
Approval of Sunset Date Extension, West Virginia Council for Community and Technical College Education, Title 135, Series 52, Legislative Rule, Annual Reauthorization of Degree-Granting Institutions
NOTICE OF SUNSET PROVISION EXTENSION REQUEST
AGENCY: Community And Technical College Education
RULE TYPE: Legislative
CITE STATUTORY AUTHORITY: §18B-4-7
RULE NAME: 135-52 Annual Reauthorization of Degree-Granting Institutions
PLEASE SELECT A SUNSET PROVISION OPTION:
[X] EXTEND THE SUNSET DATE OF THE RULE.
5 REQUESTED NUMBER OF YEARS FOR EXTENSION (SUBJECT TO LRMRC REVIEW).
[ ] LET THIS RULE EXPIRE.
PLEASE INDICATE IF THIS RULE INCLUDES:
RELEVANT FEDERAL STATUTES OR REGULATIONS [ ] INCORPORATED BY REFERENCE [ ]
PLEASE PROVIDE A BRIEF SUMMARY OF THE CONTENT OF THE RULE:
This rule establishes the policy regarding annual reauthorization of degree-granting institutions which offer degrees not above the associate level.
SUMMARIZE IN A CLEAR AND CONCISE MANNER THE REASONS FOR REQUESTING A SUNSET PROVISION EXTENSION:
Rule remains necessary for The West Virginia Council for Community and Technical College Education, through a process of granting authorization and annual reauthorization of education institutions operating in West Virginia that provide instruction up to and including the associate degree level, has the responsibility of protecting consumers and ensuring students are offered quality education by postsecondary providers to West Virginia residents. An institution authorized by the Council shall be required to operate in accordance with fair consumer practices to ensure that students can make appropriate decisions concerning their investment of time and money.
SUMMARIZE IN A CLEAR AND CONCISE MANNER THE OVERALL ECONOMIC IMPACT OF THE RULE:
A. ECONOMIC IMPACT ON REVENUES OF STATE GOVERNMENT:
None
B. ECONOMIC IMPACT OF THE LEGISLATIVE RULE ON THE STATE OR ITS RESIDENTS:
None
C. FISCAL NOTE DETAIL:
| Effect of Proposal | Fiscal Year |
|--------------------------------------------------------|------------------------------|
| | 2021 Increase/Decrease (use "-") | 2022 Increase/Decrease (use "-") | Fiscal Year (Upon Full Implementation) |
| 1. Estimated Total Cost | 0 | 0 | 0 |
| Personal Services | 0 | 0 | 0 |
| Current Expenses | 0 | 0 | 0 |
| Repairs and Alterations | 0 | 0 | 0 |
| Assets | 0 | 0 | 0 |
| Other | 0 | 0 | 0 |
| 2. Estimated Total Revenues | 0 | 0 | 0 |
D. EXPLANATION OF ABOVE ESTIMATES (INCLUDING LONG-RANGE EFFECT):
NA
BY CHOOSING 'YES', I ATTEST THAT THE PREVIOUS STATEMENT IS TRUE AND CORRECT.
Yes
Angela S Kerns -- By my signature, I certify that I am the person authorized to file legislative rules, in accordance with West Virginia Code §29A-3-11 and §39A-3-2.
§135-52-1. General.
1.1. Scope. -- This rule establishes the policy regarding annual reauthorization of degree-granting institutions which offer degrees not above the associate level.
1.2. Authority. -- West Virginia W. Va. Code §18B-4-7.
1.3. Filing Date. -- July 19, 2017.
1.4. Effective Date. -- July 19, 2017.
1.5. Sunset Provision. -- This rule shall terminate and have no further force or effect July 19, 2022.
§135-52-2. Purpose.
2.1. The West Virginia Council for Community and Technical College Education (Council), through a process of granting authorization and annual reauthorization of education institutions operating in West Virginia that provide instruction up to and including the associate degree level, has the responsibility of protecting consumers and ensuring students are offered quality education by postsecondary providers to West Virginia residents. An institution authorized by the Council shall be required to operate in accordance with fair consumer practices to ensure that students can make appropriate decisions concerning their investment of time and money.
2.2. Fair consumer practices means honesty, fairness, and disclosure to students in the areas of recruitment, admission, contractual agreements, student financial assistance, obligations to repay student loans, placement assistance and job placement rates, advertising, refund policies, the meaning and recognition of different types of accreditation, the transferability of the institution’s credits to other postsecondary institutions, the offering of quality instructional programs, and other appropriate performance measures.
2.3. Authorization is required for all postsecondary providers that offer certificates, degrees, or instruction at the associate degree level or below, and entities that use the term “academy,” “college,” “institution,” “university” or similar title, hereafter referred to as “institution,” unless otherwise exempt.
2.4. The Council is responsible for the annual reauthorization of any private, proprietary, or out-of-state postsecondary institution that has physical presence in West Virginia and offers degree programs at or below the associate degree level. The process of conferring reauthorization by the Council includes the monitoring of standards for degrees awarded, the collection and dissemination of pertinent institutional data, the conduct of certain reviews and audits, and the imposition of certain sanctions including revocation of degree-granting authority.
2.5. Existing institutions of higher education authorized to operate in West Virginia prior to the effective date of this rule are subject to the reauthorization provisions of this rule and shall report annually to the Council on all items related to reauthorization prescribed in this rule.
2.6. While the provisions of this rule apply directly to the annual reauthorization of any private institution
in West Virginia which offers degrees at or below the associate level, the criteria for annual reauthorization also apply to public higher education institutions that offer degrees at or below the associate level in the state, and are under the purview of the Council.
2.7. The Council shall make available information on institutional performance of all public institutions located in West Virginia on the Council’s website and through other appropriate venues.
§135-52-3. Definitions.
3.1. “Accreditation” means a status attained by the institution through voluntarily meeting standards set by a nongovernmental entity recognized by the U.S. Secretary of Education.
3.2. “Authorization” means the status attained by the institution that allows the institution to offer programs and courses within the State of West Virginia. This status is granted by the Council for Community and Technical College Education when the institution demonstrates compliance with the requirements for such status.
3.3. "Commission" means the West Virginia Higher Education Policy Commission.
3.4. “Council” means the West Virginia Council for Community and Technical College Education.
3.5. "Degree" means any earned award conferred by a higher education institution which represents satisfactory completion of the requirements of a program at the associate level.
3.6. "Distance education" means the delivery of any course or degree programs by synchronous or asynchronous technology. Asynchronous or synchronous technology via distance delivery includes all forms of internet, electronic, digital, online, video, and any other technology driven delivery system.
3.7. "Institution" means any person, firm, corporation, association, agency, institute, trust or other entity of any nature whatsoever offering education beyond the secondary level which:
3.7.a. offers courses or programs of study or instruction which lead to or which may reasonably be understood to be applicable toward an associate or other specialized certification/degree designation at or below the associate level; or
3.7.b. operates a facility as a college or university or other entity in the State of West Virginia which offers degrees or other indicia of a level of educational attainment beyond the secondary school level; or
3.7.c. uses the term "college" or "university," or words of like meaning, in its name or in any manner in connection with its academic affairs or business.
3.8. “Physical presence” means an actual presence in the state, online or on-site, for the purpose of conducting activity related to: a postsecondary educational institution; educational service; dissemination of educational credentials; enrollment, solicitation or advertising. Physical presence as further outlined for purposes of authorization shall include but not be limited to:
3.8.a. An instructional site within the state.
3.8.b. Dissemination of an educational credential from a location within the state.
3.8.c. An agent, whether compensated or not, who is utilized for the purpose of administering, coordinating, teaching, training, tutoring, counseling, advising, recruiting, or any other activity on behalf of the sponsoring institution.
3.8.d. Advertising, promotional material or public solicitation in any form that targets West Virginia residents through distribution or advertising in the state.
3.8.e. Instructional delivery that receives assistance from any other organization within the state in that delivery.
3.8.f. Clinical experiences, internships, or other similar curricular requirement.
Activities exempt from this definition include: online instructors residing in West Virginia but having no direct, in-person contact with students and individuals participating in college fairs coordinated by the Council and local school districts.
3.9. “Reauthorization” is the process by which an institution annually renews its status as an institution authorized to offer programs and courses for West Virginia residents. This status is granted by the Council when the institution demonstrates compliance with the requirements for such status.
3.10. “Religious, theological, or faith-based institution” means a postsecondary institution that offers no degree programs other than those specifically related to the institution’s doctrine. Institutions that offer general degree programs cannot be exempted by this rule as religious, theological, or faith-based.
3.11. “Unearned tuition” means the anticipated amount of tuition revenue minus refunds that will be generated within a one-year time frame of the institution’s authorized operation in West Virginia. “Unearned tuition” for the application of annual reauthorization is the amount of tuition revenue minus refunds that was received during the previous year.
§135-52-4. Exemptions.
4.1. Institutional exemption is subject to annual review and/or revocation any time the activity deviates from the original determination factors for exemption. An institution which claims to be exempt under the provisions of this section must submit such information as may be required by the Council to determine whether the institution is exempt from reauthorization.
4.2. Any institution fully authorized to operate in West Virginia prior to the effective date of this rule is subject to the provisions of this rule pertaining to reauthorization.
4.3. The following institutions shall be exempt from the provision of this rule:
4.3.a. Out-of-state institutions:
4.3.a.1. offering courses through brokering or other collaborative arrangements with a West Virginia public institution of higher education and which support programmatic offerings of the state institution;
4.3.a.2. offering a short course or seminar in which the instruction for the segment takes no more than twenty classroom hours, and is not for college credit;
4.3.a.3. offering courses or programs on a military installation solely for military personnel or civilians employed on such installation;
4.3.a.4. offering courses or programs at a location in West Virginia by the authority of the Council for a designated period of time; or
4.3.a.5. offering online courses or programs with Council approval for a specified period of time.
4.3.b. Non-Degree granting institutions whose programs are designed primarily for job entry or upgrading of skills and are described in clock (contact) hours. These programs typically prepare individuals for employment and do not require courses beyond those specific to the job or its field with program length sufficient to effect outcomes.
4.3.c. A religious, theological, or faith-based institution which meets the criteria for exemption outlined in Series 20, *Initial Authorization of Degree-Granting Institutions*, and offers no degree programs other than those specifically related to the institution’s doctrine.
§135-52-5. Annual Reauthorization.
5.1. All institutions authorized by the Council at the associates level must annually submit a reauthorization application report in a format prescribed by Council staff. The annual reauthorization year will be from July 1 through June 30, with the 2012-2013 year being the initial reporting year. The annual application is due each November 1 and must be accompanied by an annual fee as provided in section 9 of this rule.
5.2. Reauthorization applications postmarked after November 1 or other due date will be assessed a late renewal fee as prescribed in section 9 of this rule.
5.3. Upon request by the Council, authorized institutions must provide documentation necessary to assess the performance of the institution.
5.4. The reauthorization application must include the following:
5.4.a. Name and address of the institution of higher education.
5.4.b. Chief executive officer’s name, title, address, phone number, fax number, and email address.
5.4.c. Institutional liaison’s name, title, address, phone number, fax number, and email address.
5.4.d. Verification of current accreditation status and copy of latest annual HLC/NCA Institutional Update Report or other USDE-recognized regional accrediting agency.
5.4.e. Full and part-time student enrollments of resident and non-resident students for each term and/or period of instruction during the most recent reporting year.
5.4.f. A current schedule of fees and charges for tuition.
5.4.g. First to second year retention rates for first-time, full-time certificate and degree-seeking students for the most recent year.
5.4.h. Graduation rates for undergraduate degree-seeking first-time, full-time students for the most recent graduating three-year cohort year.
5.4.i. Data on student transfers in to and out of the institution for the most recent year.
5.4.j. Licensure pass rates for completion of all professional programs, e.g., allied health, for the most recent year.
5.4.k. Student loan cohort default rates for the most recent year available.
5.4.l. Campus crime statistics for the most recent reporting year available.
5.4.m. Number of student, staff, and faculty grievances filed during the most recent reporting year.
5.5. The Council shall provide definitions of requested data elements. When appropriate, prior data submissions may be utilized to fulfill specific data requirements. Guidance will be provided by Council staff.
5.6. Upon receipt of the annual reauthorization application, Council staff shall convene a compliance review committee to review the submitted documentation. The compliance review committee shall be composed of:
5.6.a. Persons who are qualified by academic training or professional experience to verify the institution’s compliance with Council standards for authorization.
5.6.b. Persons who are representative of both public and private institutions.
5.6.c. Members of the Council staff. The Vice Chancellor for Academic Affairs or designee shall serve as chair of the committee.
5.7. Upon review of documentation and recommendation of the compliance review committee, institutions that are found to be in compliance with generally accepted parameters of operation are recommended to the Council for reauthorization.
5.8. If the compliance review committee finds, after review of required documentation, that the institution is not in compliance with generally accepted parameters of operation, the committee may request additional documentation for review.
5.9. Each institution shall provide, at the request of the compliance review committee, all information the committee considers necessary to assess the performance of the institution and determine whether the institution continues to meet the minimum standards for conferring certificates and degrees. Information may include but is not limited to the following:
5.9.a. Institutional information.
5.9.a.1. Copies of articles of incorporation, charter, constitution, and by-laws for the initial reporting year, and changes only for reporting in subsequent years.
5.9.a.2. Copy of any articulation agreement the institution has with a West Virginia higher education institution entered into or changed within the last year.
5.9.a.3. Copy of the institution’s current mission and goals statement for the initial reporting year, and changes only for reporting in subsequent years.
5.9.a.4. Copy of the current institutional catalog.
5.9.a.5. Copies of current promotional and recruitment materials and advertisements provided or distributed to West Virginia residents.
5.9.b. Accreditation information.
5.9.b.1. If the institution is accredited by a regional accrediting agency, verification of the accreditation status, including any correspondence within the last year.
5.9.b.2. If the institution is accredited by a national accrediting agency or any of its academic programs is accredited by a program accrediting agency, verification of the accreditation status.
5.9.c. Program information.
5.9.c.1. A list of current degree and certificate programs offered in West Virginia by the institution.
5.9.c.2. Results of any external degree program evaluation during the last year, if any.
5.9.c.3. A list of any degree or certificate programs that have ceased to be offered during the previous year.
5.9.c.4. Identification of methods used to assess student achievement.
5.9.c.5. Results of the most recent assessment of student achievement.
5.9.d. Faculty information.
5.9.d.1. A list of current full-time and part-time faculty with highest degree held, degree field(s), and institution conferring highest degree.
5.9.e. Financial information.
5.9.e.1. The latest financial statement for the most recent fiscal year compiled or audited by an independent certified public accountant, including any management letters provided by the independent auditor.
5.9.f. Facilities information, if applicable.
5.9.f.1. Verification of compliance with all applicable local, state, and federal safety and fire codes.
5.9.g. Student information.
5.9.g.1. The institution’s policies about student admissions, evaluation, suspension, and dismissal for the initial reporting year, and changes only for reporting in subsequent years.
5.9.g.2. A current schedule of fees, charges for tuition, required supplies, student activities, and all other student charges.
5.9.g.3. The institution’s policy about tuition and fee refunds and adjustments for the initial reporting year, and changes only for reporting in subsequent years.
5.9.g.4. The institution’s policy about granting credit for experiential learning, including prior education, training, and experience for the initial reporting year, and changes only for reporting in subsequent years.
5.9.g.5. The institution’s policy on post-graduation placement, if any, and data on placements for the most recent year.
5.9.g.6. A list of all student grievances for the most recent year as well as the nature and
disposition of each.
5.9.h. Other information.
5.9.h.1. Information related to compliance with federal or state laws and regulations that require reporting to the public, students, employees or federal or state agencies.
5.9.h.2. Information on how the institution ensures accuracy in its usual publications such as the catalog and institutional brochures and fair representation by recruiters and agents.
5.9.i. The Council shall provide definitions of requested data elements. When appropriate, prior data submissions may be utilized to fulfill specific data requirements. Guidance will be provided by Council staff.
5.10. On-site review.
5.10.a. The compliance review committee, at its discretion, may conduct on-site reviews to assess institutional compliance with the minimum standards for conferring degrees as outlined in Series 20, *Initial Authorization for Degree-Granting Institutions*. The committee may evaluate maintenance of adequate academic and performance standards, conduct financial audits, or require the institution to perform such audits and provide detailed data to the committee. The visit will be scheduled at a time which is mutually convenient to the institution and the committee. The institution shall pay the reasonable expenses associated with the compliance review visit.
5.10.b. Following review of submitted documentation and/or site visit, the compliance review committee will prepare an analysis of the findings.
5.10.c. A draft of a staff report prepared in accordance with this section will be provided to the institution for correction of factual errors and comment. The institution may provide the Council a response to the report within ten (10) working days of receipt of the report. The institutional comments will be included with the compliance review committee report presented to the Council.
5.10.d. The compliance review committee will develop a recommendation for the Council regarding the institutional reauthorization application. Only those institutions which meet generally accepted higher education state standards of quality will be recommended for reauthorization.
5.10.e. An institution which is not found to meet the generally accepted higher education state standards of quality will be recommended to the Council for denial of reauthorization. Once reauthorization is denied, the institution is subject to the authorization requirements, process and review in Series 20, *Initial Authorization of Degree-Granting Institutions*, in order to seek authorization to operate within West Virginia.
5.10.f. An institution submitting an annual reauthorization report adjudged by the Council as meeting the standards for reauthorization shall retain its authorized status for the current year.
§135-52-6. Public Institutions and Annual Reauthorization.
6.1. All public institutions under the purview of the Council shall apply for annual reauthorization and shall meet the conditions for reauthorization as provided in section 5 of this rule.
6.2. The Council shall make available to the public information on matters of institutional performance for all public institutions under its purview, as provided in section 2 of this rule.
§135-52-7. Dissemination of Institutional Information.
7.1. The Council shall make available to the public, information on matters of institutional performance that are not confidential and not restricted by federal or state laws or regulations. Such information may be posted on the Council’s website or disseminated through other appropriate venues.
7.2. The Council office shall maintain a list of institutions authorized to grant certificates and degrees and shall make such list available to the public.
§135-52-8. Change of Ownership and Control.
8.1. Authorization of an institution terminates at the time when a change in ownership resulting in a change of control of the institution changes from that indicated on the institution’s most recent reauthorization application unless the institution files an application within ten (10) business days after the change of ownership that resulted in a change of control. Such institution shall submit an application reflecting the change in ownership and control and a fee of $500.
8.1.a. If an institution files an application requesting approval of a change of ownership and control more than ten (10) business days after the change of ownership resulting in a change of control takes effect, the authorization terminates and such an application will be considered as an application for authorization and the institution shall pay the fees specified in Series 20, Initial Authorization for Degree-Granting Institutions.
8.1.b. An authorized institution shall notify the Council of any anticipated change in ownership that results in a change of control at least thirty (30) days prior to the change in ownership and control.
§135-52-9. Reauthorization Fees.
9.1. A non-refundable fee of $500 shall accompany the submission of the annual application report for reauthorization.
9.2. Failure to file the annual report or to pay the report fee shall be sufficient grounds for denial of reauthorization, suspension, or revocation of degree granting authority. An institution filing a report that is postmarked after the November 1 due date will be assessed a late fee of $300.
9.3. The annual fee and annual report requirements shall be applicable for all years of authorization through the Council. The Council may adjust all fee charges as deemed necessary.
9.4. Public institutions located in West Virginia are exempt from the requirement of payment of reauthorization fees as provided in this section.
§135-52-10. Sanctions and Termination of State Authorization.
10.1. Intermediate sanctions.
10.1.a. If an institution fails to comply with the provisions for reauthorization in this rule, the Council may progressively impose one or more of the following sanctions.
10.1.a.1. Require the submission and implementation of an improvement plan to address or correct problems identified by the Council.
10.1.a.2. Suspend the ability of an institution to enroll students for one or more of the approved programs offered by the institution.
10.2. Termination of state authorization.
10.2.a. An institution shall provide the Council with a copy of any notice of warning, suspension, revocation or other adverse action received from any national or regional accrediting agency within five (5) business days of receipt of such notice.
10.2.b. The Council may for good cause, suspend, withdraw or revoke the authorization of an institution to generate or solicit students within the state, place an institution on probation, order refunds to students, forfeit the institution’s surety bonds, revoke an institution’s degree granting authority, or take any other appropriate action per Series 20, Initial Authorization of Degree-Granting Institutions.
10.2.c. The Council may terminate state authorization if the institution fails to submit an acceptable annual reauthorization application or an incomplete or unsatisfactory reauthorization application, as determined by Council staff and referenced in Section 5 of this rule.
10.2.d. The Council shall revoke the authority of an institution to confer degrees at any time when the institution’s governing body, chief executive officer, or both have done any one or more of the following:
10.2.d.1. Failed to maintain the minimum standards for conferring degrees.
10.2.d.2. Refused or willingly failed to provide information to the Council in a manner and within a reasonable timeframe as established by the Council.
10.2.d.3. Willfully provided false, misleading or incomplete information to the Council.
10.2.e. An institution authorized as a religious, theological or faith-based college that fails to continue to meet the criteria for a religious institution shall have its authorization terminated. The institution shall be so notified in writing. A phase-out period of not more than one additional academic term shall be permitted. An appeal to the Council may be filed within ten (10) business days. In the absence of a timely appeal, the termination shall be final.
10.3. Notification to Cease Offering Degrees or Degree Credits
Institutions that are not authorized but offer degrees and/or degree credits in West Virginia shall be notified by certified mail that they shall cease immediately to offer degrees and/or degree credits. The Council shall initiate appropriate legal action if institutions fail to comply.
§135-52-11. Notification and Deposit of Records Upon Discontinuance of Operations.
11.1. If an authorized institution, branch campus, or extension program of an authorized institution discontinues operation in this state, its chief executive officer shall notify the Council of the date of discontinuance and the name and address of the agency where records will be maintained.
11.2. Records shall be permanently maintained and copies may be obtained by authorized parties. Such records shall include but not be limited to information pertaining to the admission of each student and former student and the educational record of each student and former student.
Financial aid records of each student and former student shall be retained consistent with state and federal regulations.
11.3. When an institution decides to cease postsecondary education operations, it must assist students to find alternative means to complete their studies with a minimum of disruption, and inform the Council of the following:
11.3.a. the planned date of termination of postsecondary education operations;
11.3.b. the planned date for the transfer of student records;
11.3.c. confirmation of the name and address of the organization to receive and hold the student records; and
11.3.d. the official at the organization receiving the student records who is designated to provide official copies of records or transcripts upon request.
§135-52-12. Notification: Appeals:
12.1. Once the Council has received and verified the accuracy of information constituting any of the grounds identified in section 10 of this rule, the Council shall notify the institution and its owner in writing of its intent to recommend denial or suspension of reauthorization or other adverse action and the grounds for such recommendation.
12.1.a. The owner of the institution may, within ten (10) business days of receipt of such notice, request a hearing upon the recommended action. Such hearing, if requested, shall be commenced within twenty (20) business days of such request at the Chancellor’s office or at such other location convenient to the parties and witnesses as may be designated by the Chancellor.
12.1.b. The hearing shall be conducted by the Chancellor or his/her designee, pursuant to the procedures set forth in Chapter 29A, Article 5 of the Code of West Virginia.
12.1.c. The Chancellor or his/her designee may continue the hearing at the request of the institution for good cause shown. Continuance shall not be granted as a matter of right.
12.1.d. If the owner or a representative of the institution does not request a hearing within the requisite time period, the recommendation of the Chancellor or his/her designee shall be deemed unchallenged by the institution and reported to the Council for final action.
12.2. During the hearing, the grounds for denial, suspension, withdrawal, or revocation of authorization to operate the institution or other adverse action must be established by clear and convincing evidence.
12.3. Irrelevant, immaterial, or unduly repetitious evidence may be excluded from the hearing. Formal rules of evidence as applied in civil cases in the circuit courts of this state shall not be applied. When necessary to ascertain facts not reasonably susceptible of proof under those formal rules evidence not admissible there under may be admitted, except where precluded by statute, if it is a type commonly relied upon by reasonably prudent persons in the conduct of their affairs.
12.4. The rules of privilege recognized by the law of this state shall be followed.
12.5. Objections to evidentiary offers shall be noted in the record. Any party to the hearing may vouch the record as to any excluded testimony or other evidence.
12.6. Any party to a hearing may appear with witnesses to testify on his or her behalf; may be heard in person, by counsel or both; may present such other evidence in support of his or her position as deemed appropriate by the Chancellor or his/her designee; and, may cross-examine witnesses called by the Council in support of the charges.
12.7. The hearing shall be open to the general public.
12.8. A record of the hearing, including the complaint(s), if applicable, the notice of hearing, all pleadings, motions, rulings, stipulations, exhibits, documentary evidence, evidentiary depositions and the stenographic report of the hearing, shall be made and a transcript thereof maintained in the Council’s files. All recorded materials shall be transcribed. The Council shall have the responsibility to make arrangements for the transcription and provision of the reported testimony and evidence to the parties. Upon request, a copy of the transcript shall be furnished to any party at his or her expense.
12.9. Documentary evidence may be received in the form of copies or excerpts or by incorporation by reference.
12.10. The Council may call witnesses to testify in support of charges and may present such other evidence to support its position; and, may cross-examine witnesses called by the charged party in support of its position.
12.11. All parties shall have the right to offer opening and closing arguments.
12.12. Hearings may be continued or adjourned to a later date or different place by the Chancellor or his/her designee by appropriate notice to all parties.
12.13. All motions related to a case set for hearing, except motions for continuance and those made during the hearing, shall be in writing and shall be received in the office of the Chancellor at least ten (10) business days before the hearing. Pre-hearing motions shall be heard at a pre-hearing conference or at the hearing prior to the commencement of testimony.
12.14. Any party may submit proposed findings of fact and conclusions of law at a time and manner designated by the Chancellor or his/her designee.
12.15. At any time prior to the hearing or thereafter, the Chancellor or his/her designee may hold conferences for the following purposes:
12.15.a. To dispose of procedural requests, pre-hearing motions or similar matters;
12.15.b. To simplify or settle issues by consent of the parties; or,
12.15.c. To provide for the informal disposition of cases by stipulation or agreement.
12.16. The Chancellor or his/her designee may cause such conferences to be held on its own motion or by the request of a party.
12.17. Evidentiary depositions may be taken and read or otherwise included into evidence as in civil actions in the circuit courts of this state.
12.18. Subpoenas to compel the attendance of witnesses and subpoenas duces tecum to compel the production of documents may be issued by the Chancellor pursuant to West Virginia Code §29A-5-1(b).
12.19. Written requests by a party for the issuance of subpoenas duces tecum as provided in section 12.18 of this rule must be received by the Council no later than ten (10) business days before a scheduled hearing. Any party requesting the issuance of subpoenas duces tecum shall see that they are properly served in accordance with West Virginia Code §29A-5-1(b).
12.20. Any final order entered by the Council following a hearing conducted pursuant to these rules shall be made pursuant to the provisions of West Virginia Code §29A-5-3. Such orders shall be entered within sixty (60) days following the submission of all documents and materials necessary for the proper disposition.
of the case, including transcripts, and shall contain findings of fact and conclusions of law unless good cause exists to extend such time or by agreement of the parties.
12.21. Findings of fact and conclusions of law shall be recommended to the Council by the Chancellor or his/her designee and must be approved by a majority of the Council by vote at a regular meeting, before a final order is entered. A copy of the final order approved by a majority of the Council shall be served upon the institution and/or his or her attorney of record, if any, within ten (10) business days after entry by the Council by personal service or by registered or certified mail.
12.22. The final order may suspend, withdraw or revoke the authorization of the institution; place an institution on probation; order refunds to students; order forfeiture of the institution’s surety bond and disbursement of the funds forfeited disbursed to students injured by the institution’s violation of this rule or its enabling statute; or order any other action deemed appropriate by the Council, up to and including payment of loans, interest and other charges in connection with institution loans caused a student by the institution’s violation of this rule.
12.23. All proceedings pursuant to this rule shall be conducted pursuant to and comply with applicable statute, including, but not limited to, West Virginia Code §29A-5-1, et seq.
12.24. Any relief a student believes he or she was not rightfully awarded by the Council pursuant to this rule may be pursued in any other appropriate forum.
Report to the Legislative Oversight Commission on Education Accountability
Vision 2025:
The West Virginia Science and Technology Strategic Plan ($18B-B-2)
MEMORANDUM
TO: Legislative Oversight Commission on Education Accountability (LOCEA)
FROM: Dr. Juliana Serafin, Senior Director Division of Science and Research, HEPC
DATE: September 1, 2021
RE: Vision 2025: Science & Technology Strategic Plan Annual Report
West Virginia Code §18B-18B-2 requires the West Virginia Science and Research Council (SRC) report to the Legislative Oversight Commission on Education Accountability annually on progress in implementing its strategic state plan, as well as any updates to the plan. This year, the SRC is pleased to provide to LOCEA a completely revised strategic plan, **Vision 2025: West Virginia Science and Technology Plan**, which was created with input from more than 60 stakeholders from industry, higher education, and state government.
The strategic plan was developed with an eye toward attracting future federal research funding and new high-tech industries to West Virginia. Through the plan, over the next five years, we have an incredible opportunity to attract more external investments that will allow new sectors to take root right here at home.
To achieve that critical goal, **Vision 2025: West Virginia Science & Technology Plan** prioritizes four science and technology platforms for the state, based on our research strengths and workforce needs: **Life Sciences, Computer and Data Science, Advanced Manufacturing** and **Advanced Energy**. Life Science and Computer/Data Science were chosen for the state’s EPSCoR Research Infrastructure Improvement proposal, a $20 million federal National Science Foundation grant submitted by the state in August 2021.
The new plan covers five focus areas: **STEM Talent Pipeline, Research Enterprise, Innovation & Entrepreneurship, High-Tech Companies** and **Stakeholder Alignment**. The plan sets Vision, Goals, Actions and Metrics for each focus area. It also analyzes trends that affect technology and workforce in the state and includes a SWOT analysis for the four science and technology platforms. The Appendices of the Plan provide supporting data and other information:
- Appendix 1: Science & Research Council Members
- Appendix 2: List of Stakeholders Interviewed
- Appendix 3: West Virginia Economic Data
- Appendix 4: Research Enterprise Data
- Appendix 5: Innovation and Entrepreneurship Data
- Appendix 6: STEM Talent Pipeline Data
A summary of the Vision, Goals and Actions follows:
Focus Area One: STEM Talent Pipeline
Vision: The vision is for West Virginia students to become interested in high-tech career pathways and actively pursue STEM degrees. Ultimately, companies will locate in West Virginia because of the availability of STEM talent in the state.
The goals are to increase two- and four-year STEM degree enrollment and conferral, and to increase research opportunities and internships for students with the support of federal grants and the state-funded Research Challenge Fund.
Actions include expanding K-12 STEM opportunities, partnering with organizations in the state to help prepare and retain STEM students, and partnering with companies and federal labs to increase the number of available internships.
Focus Area Two: Research Enterprise
Vision: The vision for the research enterprise is that West Virginia will be recognized for its academic research in the four target platforms (Life Sciences, Computer and Data Science, Advanced Manufacturing and Advanced Energy), and that industry will seek technical expertise and collaborations with academic researchers.
Goals are to increase the number of STEM doctoral degrees conferred at West Virginia’s universities, and to increase research expenditures in the four target platforms. Actions include increasing funding for the Research Challenge Fund, securing federal research capacity-building grants, increasing federal grants and contracts in the four target platforms, and identifying critical lab and facility needs and assessing funding mechanisms to fulfill those needs.
Focus Area Three: Innovation and Entrepreneurship
Vision: The vision for Focus Area Three is that successful startups in West Virginia will attract more Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) funding and venture capital to increase operations.
Goals include increasing industry-university research and development activity, including patents and invention disclosures, and SBIR/STTR awards. Actions include piloting an R&D voucher program, supporting the FAST program (Federal and State Technology Partnership Program to help West Virginia companies apply for SBIR/STTR funding and providing the SBIR/STTR match) and increasing the Entrepreneurship and Innovation Investment Fund. This Department of Economic Development-managed Fund supports entrepreneurship, creation of business startups, improvements in workforce participation, and attracting individuals to relocate to West Virginia.
Focus Area Four: High-Tech Companies
Vision: The vision is to make West Virginia home to high-tech companies and industries and to grow business R&D and innovation activities.
Goals include attracting R&D-oriented federal operations; ensuring that infrastructure, facilities and specialized equipment are available to high-tech companies; and working with the West Virginia
Department of Economic Development (DED) on recruitment of high-tech companies. Actions include supporting programs to move federal anchors to the state, leveraging R&D vouchers, and collaborating for high-tech company recruitment.
**Focus Area Five: Stakeholders**
Vision: The vision is that industry-academic-government stakeholders agree on the importance of science and technology in the state economy and collaborate on plan goals and actions.
Goals include establishing strong communications between stakeholders and working together to overcome challenges. Actions include conducting meetings for industry, academics, legislators and executive branch stakeholders that identify two to three collaborative projects each year and reporting on the outcomes of the plan.
The revised **Vision 2025** presents an opportunity for significant development of science and technology in West Virginia. The Division of Science & Research announced the plan in July 2021 and is developing additional outreach methods and communications including in-person, social media and public events.
A full copy of **Vision 2025** may be accessed here: [https://westvirginiaresearch.org/wp-content/uploads/2021/06/Vision2025WestVirginiaScienceTechnologyPlan.pdf](https://westvirginiaresearch.org/wp-content/uploads/2021/06/Vision2025WestVirginiaScienceTechnologyPlan.pdf)
The aspirations of West Virginia stakeholders present a vision for the role that science and technology (S&T) will play in West Virginia’s economic growth and competitiveness in the next five years and beyond. Science, technology, and innovation have driven similar industry growth in West Virginia in the past, most notably in the first-to-world chemical engineering and process technologies invented by Union Carbide.
Today, a new generation of innovation-based companies are growing in West Virginia. They are delivering information technology solutions and data analytics (Leidos, NextGen Federal), high-performance manufactured products (Boeing, Procter & Gamble, Toyota, Dow), and engineering and scientific research, development, and testing (Virgin Hyperloop, MATRIC).
In positioning the state to launch and attract more of these companies, Vision 2025, West Virginia’s S&T plan, identified four high-priority S&T platforms, shown in the figure below. These four platforms leverage corporate and federal demand for technologies driven by the megatrends of digitalization, robotics and automation, and sustainability. They represent large and growing university-based research and educational activities and align strongly with target industries and workforce needs.
**FIGURE ES-1. S&T PLATFORMS FOR VISION 2025: WEST VIRGINIA S&T PLAN**
- **LIFE SCIENCES**
- Neuroscience
- Health Sciences
- Environmental and Natural Resources
- Agriculture
- **COMPUTER AND DATA SCIENCE**
- Computer Sciences
- Data Science Applications
- **ADVANCED MANUFACTURING**
- Chemicals and Materials
- Transportation
- Civil Infrastructure
- **ADVANCED ENERGY**
- Exploration and Production
- Efficiencies and Decarbonization
**FUNDAMENTAL RESEARCH**
The Vision 2025 goals, presented in the table below, aim to develop West Virginia’s science, technology, engineering, and mathematics (STEM) talent pipeline, expand the research enterprise, catalyze more innovation and entrepreneurship activity, and support the growth of high-tech companies. The set of proposed actions to advance these goals build on existing initiatives and collaborative efforts among higher education, industry, and government. A few are new and others re-establish state programs recognized for contributing to research capacity-building in the past. Each action is supported by a strong business case with metrics to track progress.
**FIGURE ES-2. VISION 2025: WEST VIRGINIA S&T PLAN GOALS AND ACTIONS**
| GOALS | ACTIONS |
|----------------------------------------------------------------------|------------------------------------------------------------------------|
| **STEM TALENT PIPELINE** | |
| Increase two-year and four-year STEM degree enrollment | Expand K-12 STEM opportunities for teachers and students |
| Increase research experiences and internships supported by federally funded grants and the Research Challenge Fund | Partner with HSTA, First2Network, etc., to prepare and retain STEM college students |
| Increase STEM degrees conferred | Partner with companies and federal labs to increase internships |
| **RESEARCH ENTERPRISE** | |
| Increase number of PhDs to support research activity | Re-establish $4.5M funding model for Research Challenge Fund |
| Increase research expenditures in target platforms | Win large federal capacity-building grants (e.g., NSF EPSCoR) |
| | Increase federal R&D grants and contracts in target platforms |
| | Identify critical lab and facility needs and assess funding mechanisms in other states |
| **INNOVATION & ENTREPRENEURSHIP** | |
| Increase number of industry-university R&D collaborations | Pilot WV $350K R&D Voucher Program |
| Increase innovation activity, invention disclosures, and patents | Support FAST Program led by TechConnectWV and WV SBDC |
| Increase number of SBIR/STTR awardees and awards | Fund $1.1M for WV Entrepreneurship & Innovation Investment Fund |
| **HIGH-TECH COMPANIES** | |
| Attract R&D-oriented federal operations with contracting activity | Support Opportunity Move, the federal anchors strategy |
| Ensure WV has the infrastructure, facilities, and access to specialized equipment appropriate for high-tech companies | Invest in sites identified by Opportunity Move Steering Committee Leverage new WV R&D Vouchers Program |
| Work with the WV DED\(^1\) to proactively recruit high-tech and R&D-based companies | Continue collaboration on high-tech recruitments and WV business case development |
West Virginia’s five-year plan is fully supported by the three EPSCOR Research Infrastructure Improvement (RII) Program Track-1 research universities and was developed in consultation with over 60 stakeholders representing the perspectives of West Virginia companies, higher education, and state government. Vision 2025 articulates their shared vision of what West Virginia can accomplish by continuing to work together, as well as with new partners.
---
\(^1\) *The West Virginia Development Office changed its name to the West Virginia Department of Economic Development (WV DED) in the spring of 2021.*
Report to the Legislative Oversight Commission on Education Accountability
2021 Annual Report on Services for Student Veterans (§18B-4-9)
August 26, 2021
The Honorable Craig Blair
President
West Virginia State Senate
Room 229M, Building 1
State Capitol Complex
Charleston, West Virginia 25305
The Honorable Roger Hanshaw
Speaker of the House
West Virginia House of Delegates
Room 228M, Building 1
State Capitol Complex
Charleston, West Virginia 25305
Dear Mr. President and Mr. Speaker:
In accordance with West Virginia Code §18B-4-9, I am pleased to provide the following report regarding services and facilities for student veterans enrolled in West Virginia’s public colleges and universities. We appreciate the Legislature’s ongoing support of efforts to improve veterans’ success in higher education.
The Office of Veterans Education and Training (OVET) of the West Virginia Higher Education Policy Commission (Commission) has continued to support legislative intent to provide “veteran-friendly” services to student veterans throughout the State. OVET works closely with its counterparts at the U.S. Department of Veterans Affairs (VA) to ensure that educational programs offered in the State of West Virginia are compliant with State and Federal laws and regulations and available to students using VA education benefits.
All public institutions of higher education in the State of West Virginia continued participation in the 5 Star Challenge (Challenge). The primary accomplishment of this Challenge was the implementation of priority registration for classes for student veterans at all our institutions. Further, the Commission and Council continue to focus on addressing the higher education needs of student veterans.
We would like to share with you a few highlights of accomplishments occurring at various institutions that are above and beyond the requirements in the Code.
Concord University awarded the first Gregory and Mary Aloia Veteran Scholarship. To be eligible to receive the scholarship, a student must be a veteran and active in Concord’s Student Veterans Association. The student must also maintain at least a 2.5 GPA. The scholarship is named for Dr. Gregory Aloia and his wife Mrs. Mary Aloia. Dr. Aloia served as Concord’s President from 2008 to 2013. Additionally, Concord has begun networking with local veteran-owned businesses to form internships and potential career opportunities for student veterans and alumni.
Pierpont Community and Technical College created a new Student Veteran Organization. They also relocated their School Certifying Official/Student Veteran Advocate to an office adjoining the Student Veterans’ Lounge. The official remarked that the new location has had a direct positive impact on their ability to reach student veterans and students willingness to make more frequent in-person visits.
Southern West Virginia Community and Technical College implemented SSConnect, a virtual Student Services platform. The institution says the platform has been an integral part of streamlining communications and connecting with students during the past year.
West Virginia Northern Community College utilized emergency financial aid to meet the needs of students facing challenges related to COVID-19.
West Virginia University has completed the union of all campuses (Morgantown, Keyser, Beckley, and Charleston) within the VA system. They also added a 3rd full-time school certification officer, and will soon add a financial services representative dedicated specifically to support veterans and military-connected students.
All 20 institutions participated in a survey to determine compliance with the various sections of the Code. The following table includes the applicable sections of the Code and corresponding findings based on the survey results. Full survey responses can be provided if necessary. Of note, West Virginia University Institute of Technology was previously reported as a separate institution. In 2021, the facility’s approval was transferred under the umbrella of West Virginia University.
| W. VA. CODE §18B-4-9 | ACTIVITIES/RESULTS |
|---------------------|--------------------|
| (1) Establishing veteran-friendly community and technical college degree programs, which recognize and award academic credit toward degrees for various types of technical and vocational military training and experience; | 19 of our 20 institutions report compliance. Due to the unique mission of the West Virginia School of Osteopathic Medicine, it is unable to accept credit in this area toward the completion of its program. |
| (2) Developing policies for each State institution of higher education to grant academic credit for Armed Forces experiences; | 19 of our 20 institutions report compliance. Due to the unique mission of the West Virginia School of Osteopathic Medicine, it is unable to accept credit in this area toward the completion of its program. |
| (3) Developing programs to encourage student veterans to share their specialized experience and knowledge gained through military service by making presentations in class, public school programs, and local community organizations; | Most (16 of 20) institutions have developed methods of encouraging and allowing student veterans to share their experiences. Some institutions convey that veterans are encouraged to do so but often elect not to participate. |
| (4) Establishing and sponsoring an organization for student veterans on campus and encouraging other veteran-friendly organizations; | Nearly all institutions (16 of 20) have active student veteran organizations. Others have offered to support such organizations but do not have an active organization at this time either due to lack of interest or too few veterans enrolled. Some cited COVID-19’s impact on on-campus activities as a barrier. |
| (5) Appointing and training specific faculty within each degree program or major as liaisons and contacts for student veterans; | Many institutions (12 of 20) report compliance. Some institutions described trained faculty or staff available for some but not every program or major. One institution cited an active project to meet this goal by 2022. |
| (6) Providing information about programs that grant credit for prior learning to student veterans and potential student veterans; | 19 of our 20 institutions report compliance. Due to the unique mission of the West Virginia School of Osteopathic Medicine, it is unable to accept credit in this area toward the completion of its program. |
| (7) Coordinating existing disability services on campus with veteran disability services available from the United States Department of Veterans Affairs, other Federal and State agencies, and private resources; | All 20 institutions report compliance. |
|---|---|
| (8) Designating individuals to provide financial and psychological counseling services on each campus who are trained to effectively respond to the needs of veterans and to provide services or referrals to services to fulfill these needs for student veterans, and to the extent practicable, providing those services and programs in one location; | Most (18 of 20) institutions report compliance with this goal. |
| (9) Developing training materials on responding to student veteran needs to be available for continued professional development of counselors to student veterans; | Many (14 of 20) institutions report compliance. |
| (10) Facilitating regular statewide meetings for all personnel at State institutions of higher education who regularly provide specific services to student veterans to discuss and develop best practices, exchange ideas and experiences, and hear presentations by individuals with generally accepted expertise in areas of the various needs of student veterans; | All 20 institutions report compliance. |
| (10) Facilitating regular statewide meetings for all personnel at State institutions of higher education who regularly provide specific services to student veterans to discuss and develop best practices, exchange ideas and experiences, and hear presentations by individuals with generally accepted expertise in areas of the various needs of student veterans; | All 20 institutions report compliance. |
| (11) Gathering data on the status of student veterans, including their graduation rates, comparing that rate with the graduation rate of other students in the institution, and reporting those results to appropriate State and Federal agencies, including the West Virginia Legislature; | All institutions are identifying student veterans in reports that are submitted to the Commission. |
|---|---|
| (12) Establishing a program to create a collaborative relationship between student veterans and alumni of the institution, and with prospective employers to facilitate and provide employment as well as social opportunities to graduating student veterans; | Most (14 of 20) institutions have accomplished this. Several institutions report meeting parts of this goal, if not wholly. For example, some institutions relate linking graduating student veterans with prospective employers, but not having an alumni association. Others convey fostering relationships between student veterans and alumni, but not currently offering career services. |
| (13) Developing and facilitating communications between State institutions of higher education and various veteran organizations in the State to advance veteran causes that benefit student veterans; | All 20 institutions report compliance. |
| (14) Coordinating among all relevant departments within each State institution of higher education including but not limited to admissions, the registrar, the bursar, the veterans advocate, and financial aid to ensure that relevant deadlines or time-lines are met for certifying veterans’ enrollment as early as practicable to ensure that assistance is received from the U.S. Department of Veterans Affairs (DVA) in a timely fashion. | All 20 institutions report compliance. |
| (15) Each State institution of higher education shall appoint or designate and train a person, preferably a veteran, to serve as a veterans advocate on its campus. | All 20 institutions report compliance. |
Additionally, our institutions were asked to share any emerging student veteran concerns that they believe the Legislature could address.
One institution (Mountwest Community and Technical College) noted concern that Federal COVID-19 legislation that permits students to receive their monthly housing stipends at the resident rate while taking approved converted (online) courses is scheduled to expire on December 21, 2021. Given growing concerns related to the Delta variant of COVID-19, institutions may need to shift from resident-taught courses to distance education.
One institution (West Virginia Northern Community College) detailed concerns about equitable access to health care, particularly mental health services, and addiction treatment, for all West Virginia residents. The institution also discussed challenges students are facing related to equitable broadband access.
Two institutions (Marshall University and West Virginia University) provided similar suggestions for all public West Virginia colleges and universities to provide in-state tuition rates to any individual receiving VA education benefits regardless of their state of residency.
Please feel free to contact Mr. Cody Tomblin, OVET Interim Director at 304-558-0263 if we can provide additional information regarding this report.
Sincerely,
Sarah Armstrong Tucker, Ph.D.
Chancellor
cc: The Honorable Patricia Rucker
Chair, Senate Education Committee
The Honorable Joe Ellington
Chair, House Education Committee
Report to the Legislative Oversight Commission on Education Accountability
Report on Free Expression on Campus ($18B-20-7)
MEMORANDUM
TO: Legislative Oversight Commission on Education Accountability
FROM: Matt Turner
Vice Chancellor for Administration
DATE: August 31, 2021
RE: Free Expression on Campus
During its 2021 Regular Session, the West Virginia Legislature passed Senate Bill 657, which now requires each public higher education institution to post on its website any policies it has enacted regarding protected expression under the First Amendment (W. Va. Code §18B-20-7). Institutions also must report to the Higher Education Policy Commission or Council for Community and Technical College Education “... as applicable, a description of any barriers to, or incidents of disruption of, free expression occurring on campus.”
This new law became effective July 8, 2021. Each year, the Commission and Council are required to report to the Legislative Oversight Commission on Education Accountability (LOCEA) any free expression barriers or incidents reported to our agency.
The Commission and Council have not received any reports of disruptions or incidents related to free expression since the law was enacted. In addition, Commission/Council staff polled the presidents of each public institution to ensure they had nothing to report or had not made any significant changes to their policies related to free expression on campus.
As of August 30, 2021, there are no additional updates to provide LOCEA.
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First record of Brush Cuckoo parasitism of the Lovely Fairy-wren
Patrick De Geest\textsuperscript{1*} and Ana V. Leitão\textsuperscript{2}
\textsuperscript{1}31 Slipper Street, Edmonton QLD 4869, Australia
\textsuperscript{2}School of Biosciences, University of Melbourne, Parkville VIC 3010, Australia
*Corresponding author. Email: email@example.com
Abstract. We report a case of brood-parasitism by the Brush Cuckoo \textit{Cacomantis variolosus} of the Lovely Fairy-wren \textit{Malurus amabilis}. We recorded by observation and photography a fledgling Brush Cuckoo being fed by a pair of Lovely Fairy-wrens in a period of 16 days during February and March 2016 in Cairns, Queensland. These observations are the first record of brood-parasitism by the Brush Cuckoo of the Lovely Fairy-wren.
Introduction
Australian fairy-wrens \textit{Malurus} spp. are hosts to several cuckoo species. Their most common brood-parasite is Horsfield’s Bronze-Cuckoo \textit{Chalcites basalis}, but other cuckoos have also been reported to parasitise them, including the Shining Bronze-Cuckoo \textit{Chalcites lucidus}, Fan-tailed Cuckoo \textit{Cacomantis flabelliformis}, and Brush Cuckoo \textit{Cacomantis variolosus} (Brooker & Brooker 1989; Langmore 2013).
Within Australia, the Brush Cuckoo is found in the north and on the eastern coast, south to Victoria. It lives in a diverse range of habitats, including rainforest and rainforest edges, mangroves, secondary forests, and some plantations (Payne 2005). It is an obligatory brood-parasite and host generalist, with 58 host species so far identified throughout its range in Australia (Brooker & Brooker 1989). Two subspecies breed in Australia, one in the south (Southern Brush Cuckoo \textit{C. v. variolosus}) and the other in the north (Northern Brush Cuckoo \textit{C. v. dumetorum}). The Southern Brush Cuckoo is a breeding migrant and the northern subspecies is resident (Erritzøe et al. 2012). These subspecies target different main hosts, with the Northern Brush Cuckoo preferring enclosed nesters, like the Brown-backed Honeyeater \textit{Ramsayornis modestus} and Bar-breasted Honeyeater \textit{R. fasciatus}. It is also known to parasitise some fairy-wrens and gerygones \textit{Gerygone} spp. (Brooker & Brooker 1989).
The Lovely Fairy-wren \textit{Malurus amabilis} is a small passerine endemic to Cape York Peninsula, Queensland, restricted mainly to coastal areas, but little is known about its ecology and behaviour (Rowley & Russell 1997). It is a facultative cooperatively breeding species, where breeding pairs may be assisted by one or more non-breeding helpers. The female constructs an enclosed dome-shaped nest usually near the ground (average height 63 cm above ground: AVL unpubl. data), and is assisted in feeding the young and nest-defence by the male and helpers. Lovely Fairy-wrens breed throughout the year, with a peak in the dry season and austral spring (AVL unpubl. data). Before this observation, in an extensive colour-banding study in an area >136 ha near Cairns, Queensland, no brood-parasitism was recorded in 68 breeding attempts within ~30 groups of Lovely Fairy-wrens (AVL unpubl. data). However, an adult male Lovely Fairy-wren was observed mobbing and performing a ‘rodent run’ towards an adult Brush Cuckoo that was close to a nest with nestlings (AVL pers. obs. 2015), which suggests that Lovely Fairy-wrens possess a ‘front-line’ behavioural defence adaptation to prevent parasitism (Feeney et al. 2012). Brush Cuckoos are common near Cairns, with 59 records of this species in Birddata in 2015 (BirdLife Australia 2017).
Previous records of possible brood-parasitism of Lovely Fairy-wrens have involved unidentified cuckoo eggs in the nests. Macgillivray (1914) described an egg found in a Lovely Fairy-wren nest, suggesting that it was from a Brush Cuckoo or Chestnut-breasted Cuckoo \textit{Cacomantis castaneiventris}. Beruldsen & Uhlenhut (1995) noted unconfirmed observations (made by someone other than those authors), of two nests parasitised possibly by the Chestnut-breasted Cuckoo.
Here we report the first confirmed record of Brush Cuckoo parasitism of the Lovely Fairy-wren, with observations over several days of a juvenile Brush Cuckoo being fed by adult Lovely Fairy-wrens.
Methods
On 18 February 2016, an unbanded male and female Lovely Fairy-wren were observed feeding a fledgling Brush Cuckoo at the edge of Lamb Range rainforest in Bentley Park (17°01'S,145°42'E), a suburb of Cairns. No other fairy-wren conspecifics were seen in this location.
The location was visited a further eight times, on 19, 21, 24, 26 and 28 February, and 4, 5 and 8 March 2016. Observations occurred in the morning, between 0900 h and 1200 h, except for 28 February, when the birds were observed in the late afternoon (1600–1700 h). Observations were made with binoculars, photographs were taken (Nikon D7100 camera and Tamron 150-600mm f/5-6.3 Di VC), and short videos were recorded. Audio recording was extracted from the videos and spectrograms were derived with Avisoft-SAS Lab Pro software (v. 5.2 R, Germany). Recordings of Lovely Fairy-wrens, used for comparison, came from an extensive colour-banding study of this species near Cairns (AVL unpubl. data).
Observation periods were minimised to avoid disturbing the birds, and never lasted longer than 1 h; on 4, 5 and 8 of March, observations were for only c. 15 minutes. Total
observation time was c.7 h, spread over 9 days. The last day that the Brush Cuckoo and host-parents were seen together was 4 March; on 5 and 8 March, only the host-parents were seen and heard. Observations stopped when the Cuckoo was confirmed to have disappeared. The minimum post-fledging dependence period of the Cuckoo was thus 16 days (total number of days between observations when both Cuckoo and the host-parents were present).
The juvenile Brush Cuckoo was identified through distinctive physical characteristics (Higgins 1999; Pizzey & Knight 2012; Nielsen 2015). It could be confused with a juvenile Fan-tailed Cuckoo, but the juvenile Brush Cuckoo has a distinctive variegated rufous-brown pattern on the upperparts, coarser spots on the underparts (if not a barred morph), grey feet and pale or grey orbital ring. In contrast, the juvenile Fan-tailed Cuckoo has a yellow orbital ring, finely mottled and barred underparts, and initially pinkish (later yellow) feet.
**Observations**
The Brush Cuckoo (Figure 1) and its host-parents were always in an area ~30 m × 30 m, near the edge of the rainforest, except for the last observation. No other species was seen feeding the Cuckoo. Initially, the Cuckoo was always hidden in low shrubs, and did not fly further than ~10 m. Mostly it waited for the host-parents to come and feed it, but on the last observation day (4 March) it actively followed the host-parents when they were foraging. On the last day, it was being fed ~60 m from where it was first seen, on a slope at the edge of the rainforest where the density of the rainforest understory was lower. By this time, it could fly well, displayed less cryptic behaviour, and its tail-feathers were almost fully grown (Figure 2). It no longer sat and waited for the host-parents to come and feed it, but watched them as they foraged for insects, and flew towards them, begging when they were successful in obtaining food.
*Figure 1.* The Brush Cuckoo fledgling when first observed (18 February 2016). Photo: Patrick De Geest
*Figure 2.* The Brush Cuckoo fledgling on the last day that it was seen with the host-parents (4 March 2016), with well-developed tail-feathers. Photo: Patrick De Geest
*Figure 3.* Spectrograms (each 2.8 seconds) of the begging calls of (a) the fledgling Brush Cuckoo, 24 February 2016, (b) 9-day-old Lovely Fairy-wren nestling recorded in the nest, 3 August 2016, and (c) 1-month-old fledgling/juvenile Lovely Fairy-wren calls recorded on 28 July 2016.
The Cuckoo’s begging calls were relatively loud and were accompanied by rapid wing movements, up and down close to the body. These were similar to begging calls of Lovely Fairy-wren nestlings but more repetitive and stable, and different from fledgling Lovely Fairy-wren calls (Figure 3). The closer the host-parents approached with food, the louder the Cuckoo’s begging calls became. When food was transferred from Fairy-wren to Cuckoo, the Cuckoo spread one wing and covered the host with it (Figure 4). After being fed and in the absence of the host-parents, the Cuckoo did not make loud begging calls but, instead, made quieter calls. Before the last day that it was observed, the Cuckoo made soft calls similar to adult Lovely Fairy-wren alarm calls (Figure 5). During the last observation the Cuckoo did no longer make the quieter or softer calls (see above) when waiting for its foraging parents. It was now following the parents and made only the louder begging calls; just before and as it was being fed. The final observation only lasted ~15 min as we could not follow the cuckoo and Fairy-wrens through the rainforest on steep and difficult terrain.
The contributions to feeding of the Brush Cuckoo by the male and female Lovely Fairy-wrens differed considerably, with the female doing most of the feeding. Although it was not quantified, we estimate that the female fed the Cuckoo ~50 times and the male only once (Figure 6). During observations on 19 February, the female fed the Cuckoo 10 times in 1 hour. Neither the male nor the female Fairy-wren was seen foraging higher than 5 m above the ground, nor near or in the rainforest.
Both male and female Lovely Fairy-wrens were usually quiet, except for the last time that they were seen with the Brush Cuckoo (4 March), when they seemed to be warning the fledgling of the observer’s presence. The alerted state of the Fairy-wrens could have been the result of the observer actively following them as they moved quickly along the rainforest edge.
**Figure 4.** Female Lovely Fairy-wren feeding the Brush Cuckoo fledgling, showing the position of the Cuckoo’s wing, 24 February 2016. Photo: Patrick De Geest
**Figure 5.** Spectrograms of (a) fledgling Brush Cuckoo ‘soft’ calls, 24 February 2016, and (b) adult Lovely Fairy-wren alarm calls.
**Figure 6.** Male Lovely Fairy-wren with the Brush Cuckoo fledgling, 21 February 2016. This was the only occasion that the male was seen feeding the Cuckoo. Photo: Patrick De Geest
Discussion
The observations reported here represent the first confirmed observation of brood-parasitism by the Brush Cuckoo of the Lovely Fairy-wren. Previous records of brood-parasitism of this fairy-wren did not clarify which cuckoo species was involved (and there are no extant photographs or museum specimens to investigate this further) and if it was a successful parasitism (and not accidental, for example, when a cuckoo cannot find a host nest at a suitable time to parasitise, it might lay in the nest of an ‘accidental’ host).
We report observations of a juvenile Brush Cuckoo being fed by adult Lovely Fairy-wrens. When the Cuckoo was being fed, it spread one of its wings as if to shield the host or the food from onlookers or predators (Figure 4). To our knowledge, this behaviour has not been described in other cuckoo species. Further research might confirm this behaviour and help understand its function.
In the European Common Cuckoo *Cuculus canorus*, species other than the foster-parent sometimes feed the young cuckoo (Cramp 1985), since the cuckoo fledgling uses a begging call that attracts birds that are passing by and collecting food for their own young (Davies 2000). This has also been reported for Horsfield’s Bronze-Cuckoo, and the Shining Bronze-Cuckoo, Fan-tailed Cuckoo, and Pallid Cuckoo *Heteroceroses pallidus* (see Brooker & Brooker 1989), and also in the Brush Cuckoo (Higgins 1999). Other possible hosts (hosts recorded by Brooker & Brooker 1989) that occur in the study area include the Red-backed Fairy-wren *Malurus melanocephalus*, and the Brown-backed Honeyeater, Fairy Gerygone *Gerygone palpebrosa*, Large-billed Gerygone *G. magnirostris* and Large-billed Scrubwren *Sericornis magnirostra*. However, despite several days of observation by us, no other species was observed feeding the Brush Cuckoo fledgling, which supports the Lovely Fairy-wren as a valid record of brood-parasitism by this cuckoo species (Brooker & Brooker 1989).
We also show here that the juvenile Brush Cuckoo displayed some vocal mimicry of nestling calls and adult alarm calls, but seemed to call at faster rates, which could possibly stimulate the host adults to pay more attention and provide more food. In other cuckoo species, the cuckoo mimics the begging call of its host young (Redondo & de Reyna 1988; Langmore *et al.* 2003). It is possible that cuckoo calls are developed through experience by using calls that are more effective in stimulating the host, as has been shown in the Common Cuckoo (Madden & Davies 2006).
Interspecific brood-parasitism of fairy-wrens by species other than Horsfield’s Bronze-Cuckoo is rare and occurs only at low rates (Brooker & Brooker 1989; Langmore 2013; Guppy *et al.* 2017). Brush Cuckoos are host generalists, but primarily parasitise species other than fairy-wrens. Parasitism of fairy-wrens by the Brush Cuckoo occurs at low rates: 0.4% in the Purple-crowned Fairy-wren *Malurus coronatus* and 1.8% in the Red-backed Fairy-wren (Langmore 2013), and generally 7% in fairy-wrens (Erritzoe *et al.* 2012). Since brood-parasitism of the Lovely Fairy-wren by the Brush Cuckoo has not been reported before, it is likely that the present record is a rare case of parasitism. However, brood-parasitism can be region-specific (Langmore 2013), so further observations and research into the Lovely Fairy-wren at other sites and at other times of the year would provide useful information of how prevalent parasitism is in this species.
Acknowledgements
We are grateful to Brian Venables, Michelle Hall and Raoul Mulder for their help with the Lovely Fairy-wren project, and to Naomi Langmore for providing information about parasitism in fairy-wrens. We thank Richard Seaton and Richard Noske for previous comments on the manuscript; and James Fitzsimons, Golo Maurer and Michael Guppy for helpful suggestions and revision of the manuscript. This work was supported by grants from the Australia & Pacific Science Foundation and BirdLife Australia—Stuart Leslie Award 2015 to AVL.
References
Beruldsen, G.R. & Uhlenhut, K. (1995). Cape York in the wet (part two). *Australian Bird Watcher* **16**, 3–10.
BirdLife Australia (2017). Birddata Project. Available online: http://www.birddata.com.au (retrieved 21 June 2017).
Brooker, M.G. & Brooker, L.C. (1989). Cuckoo hosts in Australia. *Australian Zoological Reviews* **2**, 1–67.
Cramp, S. (1985). *Handbook of the Birds of Europe, the Middle East and North Africa: The Birds of the Western Palearctic, Volume IV: Terns to Woodpeckers*. Oxford University Press, Oxford, UK.
Davies, N.B. (2000). *Cuckoos, Cowbirds and Other Cheats*. T. & A.D. Poyser, London.
Erritzoe, J., Mann, F.C., Brammer, F., Fuller, R.A. (2012). *Cuckoos of the World*. Bloomsbury Publishing, London.
Feeney, W.E., Welbergen, J.A. & Langmore, N.E. (2012). The frontline of avian brood parasite–host coevolution. *Animal Behaviour* **84**, 3–12.
Guppy, M., Guppy, S. & Fullagar, P. (2017). Parasitism strategies of the Fan-tailed Cuckoo *Cacomantis flabelliformis*. *Australian Field Ornithology* **34**, 59–66.
Higgins, P.J. (1999). *Handbook of Australian, New Zealand & Antarctic Birds, Volume 4: Parrots to Dollarbird*. Oxford University Press, Melbourne.
Langmore, N.E. (2013). Fairy-wrens as a model system for studying cuckoo–host coevolution. *Emu* **113**, 302–308.
Langmore, N.E., Hunt, S. & Kilner, R.M. (2003). Escalation of a coevolutionary arms race through host rejection of brood parasitic young. *Nature* **422**, 157–160.
Macgillivray, W. (1914). Notes on some north Queensland birds. *Emu* **13**, 132–186.
Madden, J.R. & Davies, N.B. (2006). A host-race difference in begging calls of nestling cuckoos *Cuculus canorus* develops through experience and increases host provisioning. *Proceedings of the Royal Society of London B: Biological Sciences* **273**, 2343–2351.
Nielsen, L. (2015). *Birds of the Wet Tropics of Queensland & Great Barrier Reef & Where to Find Them*. Author, Mt Molloy, Qld.
Payne, R.B. (2005). *The Cuckoos*. Oxford University Press, Oxford, UK.
Pizzey, G. & Knight, F. (2012). *The Field Guide to the Birds of Australia*. 9th edn. HarperCollins Publishers, Sydney.
Redondo, T. & de Reyna, L.A. (1988). Vocal mimicry of hosts by great spotted cuckoo *Clamator glandarius*: Further evidence. *Ibis* **130**, 540–544.
Rowley, I.R. & Russell, E. (1997). *Fairy-wrens and Grasswrens: Maluridae*. Oxford University Press, Oxford, UK.
Received 18 May 2017, accepted 5 August 2017, published online 23 November 2017
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Black History Month is an annual celebration of achievements by African Americans, recognizing their central role in U.S. history. In 1976, President Gerald Ford officially recognized Black History Month, calling on the public to “seize the opportunity to honor the too-often neglected accomplishments of Black Americans in every area of endeavor throughout our history.” Every American president since then has designated February as Black History Month. The celebration also has received official recognition from other countries around the world.
Today, NATCA recognizes and honors one of its first Black members, retired member Kyle “Kj” Johnson. Johnson was born and raised in Oxford, Ohio, along with his older brother and two younger sisters.
Both of Johnson’s parents were strong union members. His mother was a 20-year member of the Ohio Civil Service Union and his father was a 30+ year member of the Laborers’ International Union of North America and several other building trade organizations.
After a short-lived college football career that ended due to injury, Johnson joined the U.S. Air Force. “I often tell the story of my recruiter trying to persuade me not to choose air traffic control (ATC) because in his words, ‘Negroes don’t do well in air traffic control, and there weren’t many,’” Johnson said. “My response to him was, ‘I’ll take air traffic control!’” Johnson’s ATC career started at Wright-Patterson Air Force Base (AFB), and two years later, he was transferred to Travis AFB in California where he met his wife, Pat, of 37 years.
Johnson joined the Federal Aviation Administration (FAA) as a direct hire to Chicago Center (ZAU) just weeks after the PATCO strike in 1981, and it quickly became clear to him why the PATCO sisters and brothers had taken that severe action. “We had no voice in working conditions, training, or career advancement,” said Johnson. “Management had very little accountability and ran their facilities like their own little kingdoms.”
By the mid 1980s, the FAA was making attempts at collaboration and partnership, but could never seem to get out of its own way and never fully embraced partnership, said Johnson. By 1985, talks of organizing had taken hold and the word began to spread. Around the same time, Johnson had transferred to San Francisco ATCT (SFO). “I remember long car rides to facilities around the Bay Area. SFO member Mark Sherry, retired member Steve Fabela, myself, and others pushed Union pledge cards,” he said. “We signed up as many as we could get, and by June 1987, NATCA was born.”
“I am forever a Gold Card-carrying Charter Member of the National Air Traffic Controllers Association,” Johnson adds proudly.
In early 1988, Johnson was elected the first vice president/treasurer of Concord ATCT (CCR), and by fall became the FacRep until 1992. He represented CCR as a delegate to the 1990 and 1992 biennial conventions and was an Oakland ATCT (OAK) delegate/alternate from 1996-2006. Johnson also served as the East Bay representative to the Western Pacific Region (NWP) Steering Committee from 1990-1998, on the NWP Legislative Committee from 1992-2000, and on the Level I Contract Tower Committee from 1993-1998. Additionally, he was the OAK President and/or officer from 1995-2007, on the National Organizing Committee from 2006-2009, a Retired NATCA Active Volunteers (RNAV) Executive Board member from 2015-2018, and a Boots On The Ground participant since its creation in 2008.
Johnson stated, “I have seen our little Union grow and accomplish amazing things—accomplishments that folks said could never be done,” said Johnson. “In the early 90s we began our fight to stop the contracting out of lower activity towers—that’s correct, the 90s—by creating the National Legislative Committee. We organized informational pickets to educate the public about the consequences of such contracting. During that same period, we worked overtime to get our PATCO brothers and sisters back to work, and by 1998, we had successfully completed (pay) reclass, saved over 900 bargaining unit employees from losing their jobs through the contracting out their facilities, increased our membership to over 70%, and we were just getting started. We gained direct affiliation with the AFL-CIO, organized other bargaining units and bought the Krasner Building (home of the NATCA National Office in Washington, D.C.).”
He concluded, “As we embark on another month of Black History Month, I encourage you to celebrate our (NATCA’s) diversity and inclusivity. In the early years, it was not always easy or comfortable to be the only one or the rare one, but NATCA gave me a safe home. NATCA gives you the forum where your voice carries as much weight as any other—a place where opposing views are encouraged and valued.”
Attend the Union Synergy Committee's Second Town Hall Focusing on Involvement
The Union Synergy (US) Committee invites all active and retired members to join them in their Facebook Group on Feb. 10 at 7 p.m. EST for a special Town Hall on Involvement. No registration is required!
The US Committee was created to promote and maintain a Union that is inclusive of all members and thrives on the talents of our diversity. Through research, awareness, education, and with a clear understanding of our professional/conduct codes and the NATCA constitution, US works to recognize and address the effect of bias on the work culture and climate amongst all NATCA’s safety professionals.
The committee serves to promote awareness of bias and stereotypes and how they negatively influence diversity and inclusion within our Union. If you are not already a member, you can join the US Facebook group here.
The nomination period for the 2021 Archie League Medal of Safety Awards, the 17th annual, is now open. We are looking for the best saves that have occurred at
The 2021 Awards will be presented on Sept. 29 at Communicating For Safety 2021 at Bally's Las Vegas.
Click here to access the nomination form.
To learn more about the past winners of the Archie League Medal of Safety Awards, click here.
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2020 Southwest Region Archie League Award Winners Podcast, Pilot Anise Shapiro (No. 2 of 2)
In our last episode of The NATCA Podcast, we brought you the story of Fort Worth Center (ZFW) members Brian Cox, Larry Bell, and Colin McKinnon. The trio worked together as a team to help pilot and flight instructor Anise Shapiro and her student, Jouni Uusitalo when the engine failed on his Piper PA-46 Malibu halfway into a 75-minute flight over West Texas. For their efforts, the members are being honored this year with the Archie League Medal of Safety Award for the Southwest Region.
Now, we bring you part two of this event—a conversation with Shapiro. She describes what the experience was like and how she and Uusitalo and the six dogs they were transporting all escaped unharmed after landing safely in a wheat field.
Shapiro has been flying since 1997. This was her first engine failure, something she trains for regularly with her students. Shapiro said she could feel the ZFW team behind her, having her back. “Knowing that you’re not alone actually is more helpful as a pilot than anything,” she said. “They stayed super calm. The calmer each transmission was, the calmer I felt.”
Click here to listen.
Other ways to listen to The NATCA Podcast:
Apple Podcasts | iHeart Radio | Google Podcasts
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Welcoming Two New FCT Facilities into the NATCA Family
NATCA represents a group of air traffic control specialists that work in 114 facilities across the United States. We are proud to welcome two new facilities into the NATCA family: the Federal Air Route Traffic Control Center (FCTC) in Anchorage, Alaska, and the FCTC in San Diego, California.
Federal Contract Towers (FCTs) for one of four private employers: Midwest Air Traffic Control Services, Robinson Aviation (RVA), Inc., RVA-CI Squared Aviation, Inc., and Serco Management Services, Inc. For more information on all of NATCA’s represented bargaining units, please [click here](#).
Today, we’d like to recognize and welcome the members from two more FCTs who recently voted to join NATCA:
Westfield-Barnes Regional Airport is a joint civil-military airport in Hampden County, Mass., three miles north of Westfield and northwest of Springfield. Westfield-Barnes is one of the state’s largest airports with a strong flight training, general aviation, and military presence. It is also known as Barnes Air National Guard Base.
Westfield-Barnes ATCT (BAF) has four members who unanimously voted to join NATCA in August 2020. Andrew Brennan serves as the FacRep and treasurer, and Laurie Addoms serves as the vice president and secretary.
"It is great to be back in the active NATCA family," said Brennan. "During my FAA career, I was a longtime FacRep and a Legislative Rep at Bradley International ATCT (BDL). As a lifetime NATCA member that started in the FAA before NATCA was chartered, it has been amazing to see the growth and development of NATCA into a world-class organization. I am encouraged to see all the new, young NATCAvists stepping up to the challenges and continuing the work."
Southern Illinois Airport is a public airport in Jackson County, Ill. It is located three nautical miles northwest of the central business district of Carbondale and east of Murphysboro.
Home to Southern Illinois University's aviation flight and aviation technologies programs, the airport is capable of accommodating a variety of aircraft up to and including the Boeing 757. Sufficient aircraft ramps and tie-down spaces
exist for a large and varied number of aircraft. Hangar space is available for based and transient aircraft up to and including the Gulfstream V.
Southern Illinois ATCT (MDH) has five members, with Brad Devening serving as the FacRep, Mark Wilcox serving as the vice president, and Elliott Benton serving as the secretary and treasurer. The tower operates daily from 7 a.m. to 9 p.m., with an Automated Surface Observing System (ASOS) weather facility operating on a 24-hour basis.
NATCA Member Appointed to Serve on the Executive Board of the Northern Virginia Labor Federation
Congratulations to Retired NATCA Active Volunteers (RNAV) member and NATCA's National Office Technology Representative Matt Sullivan on being elected to sit on the Executive Board of the Northern Virginia Labor Federation (NoVA Labor) of the Virginia AFL-CIO.
Northern Virginia has been one of NATCA's Boots On The Ground (BOTG) locations for many years, which has allowed NATCA members to slowly grow their leadership and activism within NoVA Labor, both during the BOTG working cycle, and in the months outside program work.
NoVA Labor is comprised of 72 local unions and approximately 56,000 union members. Sullivan's two-year term will begin in January 2018.
NATCA's Historical Committee: A Blast From the Past
You may have heard of NATCA’s National Historical Committee (NHC), but with a newly-appointed Chair at its helm, Minneapolis TRACON (M98) Secretary Ryan Herrick, the committee is working to make sure that neither it, nor you, are forgotten.
The NHC was established in 2012 under the National Constitution Standing Rule H-7 (SRH-7) and is chartered for the exclusive purpose of documenting the official history of NATCA at the national, regional, and local levels. There are currently nine members of the committee: five active controllers, one Region X member, and three Retired NATCA Active Volunteers (RNAV) members.
Herrick is a new member on the NHC, having joined last November. He accepted this important responsibility because he’s always enjoyed learning about what happened in the early years of our Union and how it affects the membership now.
“History of the Union is very important,” says Herrick. “We must learn from our past.”
Herrick added, “I feel that we are at a crossroads in our Union. There is nearly 80% of our membership that never lived in the White Book years. They have no idea of the struggles that the Union endured throughout those years.”
As chair, one of Herrick’s main goals is to grow NATCA’s online historical information. He would like to create an online, searchable repository of all the historical documents of the Union for use by all the national committees.
Concludes Herrick, “the Historical Committee is poised to be a great resource to explain to the newer members the struggles we endured and how we came out stronger as a Union.”
Upgrades to NATCA's ITC's Webpage
Looking for NATCA IT support? The IT Committee has a new online form to streamline the process of requesting help on its committee page on the NATCA member website at https://www.natca.org/itc. Below is a video that shows how easy it is to request help.
Also on ITC's webpage, NATCA members now can see in realtime the current functional status of important NATCA tools like GATS, MS Office 365, and our Union's email servers.
NATCA Virtual Academy Courses Available
Building on the success of classes over the past year, organizers of the NATCA Academy have announced a new schedule of classes for virtual learning through the end of March. We hope that you will take this opportunity to learn more about your Union, your rights, and how you can become more active in the areas that interest you.
Visit the NATCA Membership Portal to sign up for any of the NATCA Academy Virtual Learning courses. Once you have logged in, select “List of Events” from the Events menu tab, then select “NATCA Academy Virtual Learning.” If you have any questions, please contact Chrissy Padgett.
LEGISLATIVE
What you Need to Know About Funding the FAA: Having experienced the longest shutdown of the federal government in history, many members were curious how we got there and what can be done to prevent it in the future. NATCA has been advocating for a stable, predictable funding stream for years but many don’t understand why. This is your opportunity to learn about the U.S. budgeting and appropriations processes so that you understand the issue and can educate your fellow NATCA members. (60 minutes)
- Thursday, Feb. 11 @ Noon EST
- Tuesday, March 9 @ Noon EST
**RELOADED**
**Having a Difficult Conversation:** People are not always equipped to communicate effectively when perspectives differ or when discussing a sensitive topic. This webinar will uncover techniques to help participants improve professional and personal communication that opens a path forward to benefit everyone involved. *(60 minutes)*
- **Wednesday, Feb. 17 @ 4 p.m. EST**
**Collaborative Leadership:** Leaders may receive the right technical training, but not many know how to incorporate differing personality types and work styles within their team. This webinar facilitates an understanding of effective leadership in demanding environments. The outcome of this course is for each individual to gain a better understanding of their leadership strengths and weaknesses, as well as be able to identify various traits in others to propel their local into a more collaborative and successful team. *(90 minutes)*
- **Wednesday, Feb. 10 @ Noon EST**
**NATCA 101:** NATCA 101 endeavors to provide a foundation of information about the Union for all levels of membership. Whether attended online, or in-person, members will learn the history of the organization, the work the Union does for its members every day, and be provided insight for how members can become more involved. Education is the first step toward a stronger local, which leads to a more powerful national Union. A strong Union creates a better future for our members and their families. *(2 hours)*
- **Monday, Feb. 15 @ 2 p.m. EST**
- **Monday, March 15 @ TIME TBD**
**Building a Stronger Local:** This webinar is designed to enhance the strength of your local by recognizing and embracing individual differences, and learning how to improve teamwork and communication. This course provides an in-depth overview of how a local is organized, how the local functions, and educates members at all levels on how to become an active participant in their Union. *(60 minutes)*
- **Wednesday, Feb. 24 @ 2 p.m. EST**
---
**SECRETARY/TREASURER**
**End of Year Forms:** Join us for a detailed overview on end of year forms. We will discuss filing deadlines, how to setup an online account through the IRS, OLMS, and breakdown all the required information needed for you to fill out your LM4 and 990N forms. Due to the limited amount of facilities required to fill out an LM3 we ask that you work directly with your NFC member for questions regarding the LM3. *(60 minutes)*
- **Thursday, Feb. 11 @ 6 p.m. EST**
- **Tuesday, March 2 @ 6 p.m. EST**
How to Amend Your Local Constitution: Join us for a detailed overview on how to amend your locals constitution. The DOL requires local constitutions to be in line with national constitutions. As this is a convention year, locals will have to make any changes made by the convention body. (60 minutes)
Conducting Local Meetings: Join us for an overview on how to conduct a general/EBoard membership meeting in person and virtually. We will cover how to take meeting minutes and how to properly conduct Roberts rules while complying with DOL regulations and NATCA procedures. (60 minutes)
Conducting Local Elections: As an election official, you will be responsible for conducting your union’s election of officers in accordance with federal law and your union’s constitution and bylaws. This training will prepare you to facilitate your locals election. (60 minutes)
Roberts Rules: Based on Robert’s Rules of Order Newly Revised In Brief, this course is designed for people who are new to using parliamentary procedure, or who would like a refresher on the fundamental concepts of effective meeting procedure. (60 minutes)
Social Media: Create an engaged community around your local with social media marketing. Learn how to attract an audience, provide value for followers, promote our Union, and set up targeted advertising campaigns on platforms like Facebook and Twitter. (60 minutes)
Online Drug and Alcohol Basics Training: Learn about your rights, the role we all play, what to expect, and where you can find additional resources before, during, and after testing. (2 hours)
- Tuesday, Feb. 23 @ 1 p.m. EST
- Saturday, March 27 @ 1 p.m. EDT
FEDERAL CONTRACT TOWER
Federal Contract Tower (FCT) Training (90 min)
- Wednesday, March 10 @ 2 p.m. EST
NATCA 101
A basic understanding of our Union is the foundation for personal involvement. This is the first step toward creating a STRONGER UNION and a BETTER FUTURE for you and your family!
FREE NATCA STICKERS!
This interactive course is taught via Microsoft Teams
Questions? Contact your Regional Reloaded Rep Or Kristi Perigo at email@example.com
NATCA 101 is an interactive learning course used to introduce our new members, as well as those looking to get more involved, to the organization and structure of NATCA. This class provides a foundation with information about NATCA that will help members understand and become more involved with the organization that is working on their behalf every day.
Having the basic knowledge and background of our Union and then building on it with personal involvement are the first steps toward a stronger local, a more powerful national Union, and a better future for your family.
Take Advantage of Your Retirement Future With Online Webinars
"Planning is bringing the future into the present so you can do something about it now" - Alan Lakem
NATCA Advantage
A Financial Mastery & Retirement Briefing for Members at Any Career Stage
Thursday, February 18th, 9a-3p CST
Tuesday, March 16th, 9a-3p CDT
Wednesday, April 21st, 9a-3p CDT
Wednesday, May 19th, 9a-3p CDT
This briefing will be conducted online. For access information please register on the NATCA Portal.
Learn How to Maximize Your Benefits to Meet Your Goals
Whether you're building for your future in retirement or ready to put your retirement plan into action, we are here with information to help. Spouses are encouraged to attend.
Presented by
4 Square Financial Literacy Partners, Inc.
Your Retirement Benefits Educational Partners
Register Online at: https://portalnatca.org
For questions or problems with registration contact:
Lisa Head, Membership Services Coordinator
(202) 628-5451
firstname.lastname@example.org
One of the most important member benefits that NATCA provides you is expert planning and guidance about your retirement. This year, we are pleased to offer you online briefings provided by 4 Square Financial Literacy Partners, Inc.
Here are the upcoming online briefings:
Thursday, Feb. 18, 9 a.m.-3 p.m. CST
Tuesday, March 16, 9 a.m.-3 p.m. CDT
Wednesday, April 21, 9 a.m.-3 p.m. CDT
Wednesday, May 19, 9 a.m.-3 p.m. CDT
Learn How to Maximize Your Benefit to Meet Your Goals - Whether you’re building for your future in retirement, or ready to put your retirement plan into action, we are here with information to help. Spouses are also encouraged to attend.
Use the NATCA Portal to register, portal.natca.org. Click on the “events” tab in the main menu at the top of the screen.
For questions or any problems with registration, please contact NATCA Membership Services Coordinator Lisa Head at the National Office: 202-628-5451 or email@example.com.
Apply for NATCA's College Scholarship Today!
NATCA offers a scholarship program for spouses, children, stepchildren, and legally adopted children of active, retired, and deceased members in good standing for at least two consecutive years. This scholarship is for full-time attendance at accredited colleges and universities within the United States and its territories for an undergraduate degree program.
Applicants must apply in writing to the NATCA National President no later than March 1 for the college/university attendance in 2021, and submit a qualifying 500-word essay.
During a crisis, like COVID-19, many workers have been able to perform their work from home. Many essential workers, like air traffic controllers, are unable to do so. Describe in 500 words or less: “What has NATCA been able to attain on behalf of the professionals we represent through advocacy, collaboration and negotiations?”
NATCA will notify applicants as to whether they will receive the scholarship by April 30, 2021. For details about the NATCA Scholarship Program, including the application, click here.
Aviation System Performance Metrics (ASPM)
TUESDAY, FEBRUARY 2, 2021
ASPM77 Airport Ops
-39.6%
31,647 CURRENT OPS
52,429 SEASONAL AVG
Core Airport Ops
-47.0%
17,940 CURRENT OPS
33,868 SEASONAL AVG
Center Ops
-41.9% var from baseline
67,248 CURRENT OPS
Top 7 TRACONs
-43.2% var from baseline
16,038 CURRENT OPS
SOURCE: Federal Aviation Administration
VFR Flights Index
7 Day Rolling Average
NATCA | www.natca.org
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The need for an investment policy, carefully thought out and personalized to accommodate the investor's particular objectives, is widely acknowledged. Once a policy is decided, the investor is advised to stick to it steadfastly as exemplified by the quote by McGee and Edwards at the beginning of the handout. Many investors have attributed their failures to their inability to adhere to predetermined plans.
In my talk today, I am going to analyze the problems of adhering to policy from a psychological viewpoint. Some research will be described which indicates that we do indeed deviate from the policies we wish to follow. There are two key elements behind such deviations. The first stems from changes over time in the goals, aspiration levels, or criteria that underlie our policies. Often, these changes are triggered by the fact that we are earning money or losing money. The second facet of nonadherence involves certain deficiencies in our thought processes.
These deficiencies allow two villains—random error and systematic bias—to obliterate our policies, often without our awareness of the fact that this is happening.
After reviewing research that demonstrates the ways in which we fail to adhere to policy, I'll close with a discussion of some techniques aimed at helping decision makers to follow their policies.
Let's look first at changes over time in our goals or decision criteria. At an intuitive level, almost everyone agrees that it's hard to follow a predetermined policy when your financial condition is riding the crest of good fortune or plummeting with a bear market.
For example, Gerald Loeb notes that a bull market causes us to: congratulate ourselves for being such astute investors and to think how foolish we were to have been so conservative or how much better off we would be if we had taken greater risks. He cautions the investor to "stick to your long-term investment plan, not modified by the fears or exuberance of the moment."
Surprisingly, there is very little research on the stability of a person’s risk-taking behavior in the face of emotional turmoil caused by gaining or losing money; but what research there is supports our intuitive perceptions to the effect that changes in our state of wealth do change our risk-taking policies.
Some of the most interesting research on this problem was done by McGlothlin in 1956. He studied the effects of prior wins and losses upon subsequent betting at the race track. McGlothlin found that, when it came time for the last race of the day, bettors tended to underbet the favorite and overbet long-shot horses. McGlothlin attributed this overbetting of long shots to the bettors' desire to recoup their losses with a big winning payoff. Since the favorites were going off at larger odds than they should have, those who did bet on them in the last race actually had a slight positive expected value going for them.
Race tracks typically return about 83¢ for every dollar invested by the bettors. So, as the racing day proceeds, and the bettors as a group fall farther behind, it is interesting to note that the proportion of horses bet to win increases while the proportion of place and show bets decreases. Win bets offer lower probabilities of winning, but higher payoffs. So this result is also consistent with the idea that willingness to take risks increases after a financial loss. Finally, McGlothlin showed that the amount of money wagered on a race was positively correlated with the odds of the winning horse in the previous race. Thus, after a race won by a long shot (which means that most bettors lost), more money was wagered than if the favorite had won. Again, this indicates that losing bettors increase their risk-taking propensities in an attempt to recoup their losses.
Sarah Lichtenstein and I have recently conducted a study in Las Vegas where we confirmed McGlothlin’s findings of greater preferences for high risk, high payoff gambles by gamblers who were losing money. We also found that gamblers who were ahead of the game became more conservative, placing greater emphasis on getting bets with high probabilities of winning, and thus preserving their newly-acquired wealth. There seems to be other circumstances in which just the opposite occurs. That is, where good fortune induces people to take greater risks than they ordinarily would accept.
It is not necessarily inappropriate to change one’s financial objectives or risk-taking propensity as a result of a change in financial position. If the change is a substantial one that is likely to be relatively permanent, the investor’s goals should be revised. Less defensible, of course, is a change of policy after a small, or temporary, change in wealth.
One other type of situationally-induced change should be mentioned here. There have been many recent studies in which the level of risk acceptable to a group has been compared to the risk acceptable to the individuals who comprise the group. In situations where society as a
whole values a conservative approach, groups make more conservative decisions than the average of their individual members. Where society values risk, the reverse holds true—that is, groups are riskier than individuals. Thus, we see that individuals change their policies towards risk-taking when they enter the group setting.
Next I'd like to focus on some aspects of policy implementation that are more subtle in nature and less familiar to us in an intuitive sense. These have to do with the notion that the faithful execution of one's own decision policies involves a considerable degree of skilled thinking.
It is commonly believed that we can infer an individual's policy by looking closely at his actual judgments and decisions. However, recent research indicates that this may not always be true. Instead, there is now evidence which indicates that a person's judgments and decisions may often reflect his true policies imperfectly, due to the action or random error and systematic biases. Faithful adherence to policy appears to require a degree of skilled thinking that often exceeds the capabilities of human intuition.
Let's look first at random error. The quote by Goldberg on page two of your handout describes the problem of error and unreliability rather eloquently. He says:
He [the judge] “has his days”: Boredom, fatigue, illness, situational and interpersonal distractions all plague him, with the result that his repeated judgments of the exact same stimulus configuration are not identical. He is subject to all those human frailties which lower the reliability of his judgments below unity. And, if the judge’s reliability is less than unity, there must be error in his judgements—error which can serve no other purpose than to attenuate his accuracy. If we could remove some of this human
unreliability by eliminating the random error in his judgments, we should thereby increase the validity of the resulting predictions. (Goldberg, 1970)
The presence of random error in highly-skilled judgment was demonstrated by Garland, who studied the reliability of radiologists as they attempted to detect the presence of lung disease on X-ray films. Garland found that a radiologist changed his mind about 20% of the time when reading the same film on two occasions.
Another example of inconsistency comes from a study of expert horse-race handicappers, which we are currently conducting at the Oregon Research Institute. We're not really interested in horse-race predictions, we're studying the stresses caused by information overload, and horse racing provides an appropriate context in which to do this. We expect that the results will generalize to any domain in which the skilled integration of large masses of quantitative information is performed by means of human judgment. For horse-race handicapping is an information game, much as investment analysis is an information game, and although there are many differences between these two domains of risk-taking, there are many similarities as well. Figure 1 shows a typical past-performance chart, which gives detailed information about each horse's recent performances. It doesn't take too much imagination to see the similarities between these kinds of charts and the data sources used in some forms of financial analysis.
Our judges in this study were eight individuals, carefully selected for their expertise as handicappers. Each judge was presented with a list of 88 variables culled from the past-performance charts. He was asked to indicate which five variables out of the 88 he would wish to use when handicapping a race, if all he could have was five variables. He was then asked to indicate which 10, which 20, and which 40 he would use if 10, 20, or 40 were available to him. Table 2 illustrates the five variables chosen by one of the handicappers. The upper part of the
table lists the variables by name. The lower part provides the values of each variable for the eight horses in one of the 40 races the handicapper was to judge. Table 3 shows the list of 40 variables chosen by this same handicapper.
Each handicapper judged each of 40 races under all four information conditions. First he would see five variables and then rank the top five horses in the order he thought they would finish. He then received his first 10 variables and researched the horses. He then ranked them again using 20, and finally 40, variables.
We had all of the information stored in a computer so the computer could print out the appropriate variables for every race. Each handicapper had his own personalized set of five, 10, 20, and 40 variables.
Five of the 40 races were repeated at the end of the experiment. By examining the two rankings for the same race, we can assess the degree of random error in the prediction policies of our handicappers.
Before examining inconsistency, though, let's look at how accuracy and confidence varied with amount of information as shown in Figure 4 of the handout. We see that accuracy was as good with five variables as it was with 10, 20, or 40. The flat curve is an average over eight subjects and is somewhat misleading. Three of the eight actually showed a decrease in accuracy with more information, two improved, and three stayed about the same. All of the handicappers became more confident in their judgments as information increased.
In Table 1, we see a comparison of the amount of inconsistency in our handicappers' judgments at low and high levels of information. Consistency was measured in three ways—by the number of times the first-place horse was changed when the race was judged the second time, by the number of changes in any of the five ranks, and by the sum of the differences in ranks.
from one time to the next. Each of these measures told the same story—there was considerable inconsistency in the rankings, and this inconsistency increased as the amount of available information increased.
These results should give some pause to those of us who believe we're better off by getting as many items of information as possible, prior to making a decision.
Next, I'd like to describe some research using a technique called the "lens model," which further indicates the disruption of decision policies by inconsistency.
Before describing the model, let me describe the subject's task which is called a "multiple-cue probability learning task." This awful-sounding task was developed to embody certain fundamental aspects of important real-world judgment situations. First, there are several cues that the judge must learn to use, in order to predict some criterion value. These cues differ in importance, and they can differ in the form of their functional relationship to the criterion.
A specific example, shown on page two of the handout, may help clarify things. There are three cues \( \{ A \ B \ C \} \) with numerical values between one and 10. The criterion, \( Y_c \), is a number between one and 20.
The subject is shown the cue values of A, B, C. He makes a judgment, and then is shown the correct answer. (See display in the handout). In the experiments I'm going to describe, this is repeated for 200 learning trials. The subject is supposed to learn how to predict the correct answer from knowledge of the three cues.
The experimenter controls the learning environment by means of a "policy equation," which indicates how the criterion is related to the cues. Shown in the handout are two equations—one linear, the other nonlinear—which were used in the studies to be described. In the nonlinear case, each cue is related to the criterion by an upside-down U-shaped function, as
indicated in the handout. Notice the term E in the linear and nonlinear equations. This represents the small amount of error which was added to the environment to simulate the natural uncertainty in the world.
Now, keeping the linear task in mind, let's turn to the rather gruesome looking Figure 5 in the handout. Figure 5 shows what is called the Lens Model for reasons that, if not obvious, aren't worth mentioning. It describes the statistics used to evaluate a judge's performance in a multiple-cue learning tasks like those we've been talking about. One slight discrepancy is that in the Figure the cue dimensions A, B, and C are called X₁, X₂, X₃, etc.
The cue values, X₁, X₂, etc., change from trial to trial. On each trial, the subject makes a response Yₛ. Over a block of trials, this response can be correlated with the correct answer or criterion, Yₑ. The index of subject's achievement, denoted by the symbol rₐ, is simply the correlation between Yₑ and Yₛ.
If the policy equation controlling the environment is linear, like Equation 1 at the lower left of Figure 5, we can use it to predict the environment. We can build a similar equation to predict the subject, as in Equation 2 in Figure 5. The correlation between the two predicted scores Ŷₑ and Ŷₛ, is called G, the matching index. G will be high if the subject is employing the correct policy equation—that is, appropriate weights and functions. The degree to which the equation of the subject can actually predict the subject’s own responses is indicated by the correlation between Yₛ and Ŷₛ, designated Rₛ. Rₛ is an index of the amount of error in the subject’s execution of his own policy equation. Ken Hammond, who is responsible for all this, calls Rₛ an index of the subject’s cognitive control.
These relationships are listed at the top of page 3. Also listed there, on line 5, is the lens model equation showing that subject achievement, $r_a$, can be expressed as a product of $G$, $R_s$, and $R_e$.
Figure 6 shows the performance of subjects who were trying to learn the linear and nonlinear policies described on page two. The values of $r_a$, $R_s$, and $G$ are computed for each of 10 blocks, with 20 trials in each block. We can see that learning of the linear task is fast, but learning is relatively poor in the nonlinear task. Before discussing this further, let me note that we can compute the matching index, $G_1$, even in the nonlinear case, by using the appropriate nonlinear equations to predict the criterion and the subject’s responses. Looking at the right-hand side of Figure 6, we see that $G$ was quite high by the end of the 200 learning trials. This means that subjects learned what the appropriate nonlinear function was. The reason their achievement, $r_a$, was so low was because of a low degree of consistency ($R_s$, the thin solid line). We see that subjects learned the correct policy, but could not employ it as consistently as they should have.
Figure 7 shows the results of another study using this same nonlinear task. Subjects in two of the three groups were told the correct policy equation after 20 trials. As the center graph shows, $G$ quickly jumped almost to 1.00 and stayed high for these two groups. If you look at the right-hand graphs, you’ll see that $R_s$, the index of consistency or control, was also high, provided that subjects did not get correct-answer feedback. If they did receive correct-answer, or outcome, feedback, their control over the execution of their policies was disrupted and their performance suffered. There was a slight bit of error added into the task equation so that the criterion, $Y_e$, was not perfectly predictable. The outcome feedback thus contained some random error, and this apparently induced the subjects to be inconsistent in applying their own policies.
These studies indicate how random error can disrupt judges’ policies. Let’s look briefly at another disruptive element—systematic bias. At Oregon Research Institute, we have spent several years studying the ways that a person’s limited memory, attention, and reasoning capabilities induce systematic biases that result in his decisions being inconsistent with his “true preferences or beliefs” (true policies).
The failure of one’s decisions to appropriately reflect his personal values or policies can be considered one of the most fundamental aspects of nonoptimal decision making. One example of this comes from an experiment that Sarah Lichtenstein and I did in 1968. In this study, we asked individuals to indicate how much they would like to play various gambles. The attributes of the gambles, which had to be integrated into the overall judgment, were the gambles’ probabilities of winning and losing and the winning and losing payoffs. The experiment was straightforward. One group of subjects rated the attractiveness of playing each gamble on a 10-point scale. A second group of subjects indicated the attractiveness of these same gambles by a bidding method in which they put a price tag on each to indicate its worth to them. That is, they stated an amount of money such that they would be indifferent between playing the gamble and receiving the stated amount. In addition, some of the subjects in these groups indicated their subjective beliefs about the relative importance of the four attributes of a gamble (i.e., probability of winning, probability of losing, amount to win, and amount to lose). When subjects rated the attractiveness of a gamble, probability of winning was found to be the most important dimension. When they put a price on a gamble, attractiveness was determined primarily by the gamble’s payoffs. Yet subjects in both groups stated that they valued probability of winning as the most important attribute. Apparently, there was a failure to give proper consideration to this value when making the pricing responses.
Another experiment, conducted on the floor of the Four Queens Casino in Las Vegas, demonstrated a similar response-mode effect. Consider the following pair of gambles used in the Las Vegas experiment:
**Bet A**
11/12 chance to win 12 chips
1/12 chance to win 24 chips
**Bet B**
2/12 chance to win 79 chips
10/12 chance to lose 5 chips
where the value of each chip has been previously fixed at, say, 25¢.
Notice that Bet A has a much better chance of winning but Bet B offers a higher winning payoff. Subjects were shown many such pairs of bets. They were asked to indicate, in two ways, how much they would like to play each bet in a pair. First they made a simple choice, A or B. Later they were asked to assume they owned a ticket to play each bet, and they were to state the lowest price for which they would sell this ticket.
Presumably these selling prices and choices are both governed by the same underlying quality, the subjective attractiveness of each gamble. Therefore, the subject should state a higher selling price for the gamble that he prefers in the choice situation. However, the results indicated that subjects often chose one gamble, yet stated a higher selling price for the other gamble. For the particular pair of gambles shown in the handout, Bets A and B were chosen about equally often. However, Bet B received a higher selling price about 88% of the time. Of the subjects who chose Bet A, 87% gave a higher selling price to Bet B, thus exhibiting an inconsistent preference pattern.
What accounts for the inconsistent pattern of preferences among almost half the subjects? We have traced it to the fact that subjects use different weighting policies for setting prices than for making choices. Subjects choose Bet A because of its good odds, but they set a higher price
for B because of its large winning payoff. Because the responses are inconsistent, it is obvious that at least one kind of response does not accurately reflect what the decision maker believes to be the most important attribute in a gamble.
We can measure a person’s utility for risk in terms of his preference for low probability-high payoff bets. We obtained two measures of preference for long-shot bets for each of our subjects—one measure was based on the subject’s choices among bet pairs like the one in the handout. The other was based on his selling prices for these same bets. The correlation across subjects, between these two measures of the same characteristics, was only .46. A scatterplot of this relationship is shown in Figure 8 of the handout. Each dot in the figure is a person. Perfect consistency would cause these dots to fall on a straight line. Again, we see how this slight change in response—from choice to pricing—disrupts people’s risk-taking policies.
Another kind of systematic bias was demonstrated in a recent experiment in which we predicted that dimensions common to each alternative in a choice situation would have greater influence upon decisions than would dimensions that were unique to a particular alternative. We asked subjects to compare pairs of students and predict which would get the higher college Grade Point Average. The subjects were given each student's scores on two cue dimensions (tests) on which to base their judgments. One dimension was common to both students and the other was unique. Some examples of the format we used are shown in Table 3 on page 10 of the handout. For example, Student A might be described in terms of his scores on Need for Achievement and Quantitative Ability, while Student B might be described by his scores on Need for Achievement and English Skill. In this example, since Need for Achievement is a dimension common to both students, we expected it to be weighted heavily. We figured that a comparison between two students along the same dimension should be easier, cognitively, than a
comparison between different dimensions, and this ease of use should lead to greater reliance on the common dimension. The data strongly confirmed this hypothesis. Dimensions were weighted more heavily when common than when they were unique attributes. Interrogation of the subjects after the experiment indicated that most did not wish to change their policies by giving more weight to common dimensions and they were unaware that they had done so.
The message in these experiments is that the amalgamation of different types of information and different types of values into an overall judgment is a difficult cognitive process. In our attempts to ease the strain of processing information, we often resort to judgmental strategies that do an injustice to the underlying values and policies that we’re trying implement.
Investment policies are often based on some expected level of performance—expected rate of return, expected risk, expected covariation, etc. If we feel that the returns on our investments are not running true to form we may be tempted to assume that we made a mistake in our calculations or that there has been a fundamental change in the conditions underlying those calculations. Either assumption could be considered grounds for rearranging our investments in an attempt to get them to conform to the properties we desire.
The problem is that the probabilistic nature of investment parameters leads them to fluctuate randomly about their expected performance levels. It takes a statistician to determine whether observed deviations are due to factors other than random chance. If we attempt to make such judgments intuitively, we’re likely to fall victim to another systematic bias—the underestimation of sampling variability. Psychologists Tversky and Kahneman have found that even people with statistical training overestimate the validity of small samples of data when they are relying solely on their intuition. People are too quick to interpret a deviation from expected values as due to a change in the world, rather than mere sampling variability. Tversky and
Kahneman concluded that the only effective precaution against overreacting to small samples of data is to employ formal statistical procedures, rather than intuition, to evaluate deviations from expected levels of performance.
A major problem that a decision maker faces in his attempt to be faithful to his policy is the fact that his insight into his own behavior may be inaccurate. He may not be aware of the fact that he is employing a different policy than he thinks he’s using. This problem is illustrated by a study that Dan Fleissner, Scott Bauman, and I did, in which 13 stockbrokers and five graduate students served as subjects. Each subject evaluated the potential capital appreciation of 64 securities. Figure 9 illustrates the way that information about each company was displayed. A mathematical model was then constructed to predict each subject's judgments. One output from the model was an index of the relative importance of each of the eight information items in determining each subject’s judgments. These importance weights are shown at the top of Table 4. Below them in Table 4 are the subject’s perceptions of their weighting policies. Examination of Table 4 shows that the broker’s perceived weights did not relate closely to the weights derived from their actual judgments. For example, Broker 6 thought he gave most weight to Industry, but he actually gave that factor less weight than any other. The importance of Industry was consistently overestimated by the brokers; also, Volume was perceived as more important than resistance and support, a fact that was not evident in the policies calculated from the actual judgments. The students’ perceptions were more accurate than the brokers. This prompted an examination of the relationship between number of years’ experience as a broker and accuracy of self-insight. The correlation was -.43, indicating a tendency for the more experienced brokers to be less accurate in perceiving their own weighting policies.
Well, if I've been successful in demonstrating the variety of problems involved in adhering to a decision policy, the natural question at this point is—what can be done to facilitate adherence to policy?
There are at least three basic therapies we can try. The first is a tonic to reduce random error, called bootstrapping. It is applicable in situations where a judge or decision maker makes a large number of decisions on the basis of quantitative information. Bootstrapping involves building a model to represent the judge's decision policy. This model may take the form of an algebraic equation or it may be a complex decision tree like Clarkson's model of a bank's trust investment officer. Once the model is available, it can be substituted for the decision maker. The advantage is that the model can be applied without error. Surprisingly, this actually works. There are a number of studies in which a judge's model is shown to outperform the judge himself in predicting some criterion.
Of course, the bootstrapping procedure preserves any systematic biases in the judge's behavior. Implicit in the use of bootstrapping is the assumption that these systematic biases will be less detrimental to performance than the inconsistency of unaided human judgment.
The second technique for facilitating adherence to policy is based on the decomposition principle. Rather than trying to infer policy from the decision maker's behavior, we can ask him directly about all the essential elements of his policy. We can ask him to indicate the relevant attributes and their weights and we can then combine these by means of some logically optimal model. The difference between this and bootstrapping is that in bootstrapping we attempt to infer the policy by observing a representative set of decisions. With decomposition, we ask the decision maker directly about his policy and then build a model to apply that policy with consistency. We are presently doing an experiment at Oregon Research Institute that attempts to
determine whether the decomposition approach can improve upon an expert’s intuitive judgments.
The third approach to helping a decision maker abide by his policies comes out of the “lens model” research discussed earlier. Remember the task with the three cues A, B and C, each related to the criterion by an inverse U-shaped function, and each having a different importance weight? Recall that performance on this task is impaired by subjects’ inability to apply their policies with consistency. Hammond has shown that consistency in this task, and thus achievement, improves dramatically when subjects are given computerized feedback, as shown in Figure 10 of your handout. The subjects make a series of 10 judgments. The computer then displays the key elements of their policies (their weights and the functional relationships between the cues and their responses). It also shows them the optimal or desired policy so they can compare the components of their policies with the policy they should be employing. Figure 11 compares the performance of a subject who received this computer feedback with the performance of subjects who received more traditional kinds of feedback. Performance is quite good for the computer graphics group and Figure 12 indicates why both G and $R_s$ are high. This type of feedback helps individuals apply the correct policy with relatively little random error.
Although my knowledge of investment policies is limited, it seems to me that this kind of computerized feedback could be employed just as readily to help an investor compare his actual policy with the ideal policy he was striving to achieve.
Brehmer, B. Subjects’ ability to use functional rules. *Psychonomic Science*, 1971, 24, 259–260.
Dudycha, L. W., & Naylor, J. C. Characteristics of the human inference process in complex choice behavior situations. *Organizational Behavior and Human Performance*, 1966, 1, 110–128.
Edwards, R. D., & McGee, J. *Technical analysis of stock trends*. Springfield, Mass.: John McGee, 1966.
Garland, L. H. Studies of the accuracy of diagnostic procedures. *American Journal of Roentgenology, Radium Therapy, and Nuclear Medicine*, 1959, 82, 25–38.
Goldberg, L. R. Man versus model of man: A rationale, plus some evidence, for a method of improving on clinical inferences. *Psychological Bulletin*, 1970, 73, 422–432.
Hammond, K. R. Computer graphics as an aid to learning. *Science*, 1971, 172, 903–908.
Hammond, K. R., Summers, D. A., & Deane, D. H. Negative effects of outcome feedback in multiple-cue probability learning. *Organizational Behavior and Human Performance*, 1973, 9, 30–34.
McGlothlin, W. Stability of choices among uncertain alternatives. *American Journal of Psychology*, 1956, 69, 604–615.
Raiffa, H. *Decision analysis*. Reading, Mass.: Addison-Wesley, 1968.
Slovic, P. Information processing, situation specificity, and the generality of risk-taking behavior. *Journal of Personality and Social Psychology*, 1972, 22, 128–134. (a)
Slovic, P. Psychological study of human judgment: Implications for investment decision making. *Journal of Finance*, 1972, 27, 779–799. (b)
Slovic, P., Fleissner, D., & Bauman, W. S. Analyzing the use of information in investment decision making: A methodological proposal. *Journal of Business*, 1972, 45, 283–301.
Slovic, P., & Lichtenstein, S. Comparison of Bayesian and regression approaches to the study of information processing in judgment. *Organizational Behavior and Human Performance*, 1971, 6, 649–744.
Slovic, P., & MacPhillamy, D. Dimensional commensurability and cue utilization in comparative judgment. *Organizational Behavior and Human Performance*, in press.
Tversky, A., & Kahneman, D. The belief in the “law of small numbers.” *Psychological Bulletin*, 1971, 76, 105–110.
BEHAVIORAL PROBLEMS OF ADHERING TO A DECISION POLICY
Paul Slovic
Oregon Research Institute; Eugene, Oregon
". . . while you are following any set of rules and policies, follow them to the letter. It is the only way they can help you [Edwards & Magee, 1966]."
I. Introduction
A. Statement of the problem
B. Overview of this presentation
1. key facets of nonadherence to policy
a. changes in criteria, goals, or aspiration levels
b. lack of necessary cognitive skills: random error and systematic bias
2. techniques to facilitate adherence to policy
II. Changes in Criteria, Goals, or Aspirations
A. Wall Street folklore and research agree: sudden gains and losses can alter one's goals and, accordingly, one's propensity for taking risks.
1. McGlothlin (1956) found that losing bettors at the race track developed increased preferences for low probability, high payoff bets in an attempt to recoup their losses. Research in Las Vegas shows that gamblers who win money sometimes become more conservative.
2. Changes in policy are desirable if they are in response to relatively stable changes in financial position.
B. Group decisions embody risk-taking criteria different than the criteria of the individuals in the group.
III. Policy Implementation as Skilled Thinking
A. Contrary to popular belief, an individual's overt judgments and decisions may reflect his "true decision policies" only imperfectly; observed judgments deviate from desired policy due to the presence of random error (inconsistency) and systematic biases. Faithful adherence to policy requires a degree of cognitive skill that may often exceed our intuitive capabilities.
B. Random error
1. "He [the judge] 'has his days': Bordeom, fatigue, illness, situational and interpersonal distractions all plague him, with the result that his repeated judgments of the exact same stimulus configuration are not identical. He is subject to all those human frailties which lower the reliability of his judgments below unity. And, if the judge's reliability is less than unity, there must be error in his judgments--error which can serve no other purpose than to attenuate his accuracy. If we could remove some of this human unreliability by eliminating the random error in his judgments, we should thereby increase the validity of the resulting predictions [Goldberg, 1970]."
2. Studies by Garland (1959) and others have revealed a surprising degree of inconsistency when a physician diagnoses the same case on two or more occasions.
3. A study of expert horse-race handicappers shows that as the amount of available information increases (a) accuracy remains stable, (b) confidence rises sharply, and (c) judgment policies exhibit more random error.
See Figures 1, 2, 3, & 4, and Table 1
4. Research with the "lens model" illustrates the importance of "cognitive control."
a. the learning task (multiple-cue probability learning)
3 cues \{X_1, X_2, & X_3\} with numerical levels between 1 and 10
a criterion (Y_e) that ranges between 1 and 20
policy weights: A = .4, B = .8, C = .2
task equations (policies to be learned):
linear Y_e = .4A + .8B + .2C + Error
nonlinear Y_e = .4(\alpha_1 A^2 + \alpha_2 A + \alpha_3) + .8(\alpha_1 B^2 + \alpha_2 B + \alpha_3) +
.2(\alpha_1 C^2 + \alpha_2 C + \alpha_3) + Error
Function Forms in Nonlinear Task
Trial 001
| A | B | C |
|---|---|---|
| 5 | 8 | 4 |
Your J ____
Correct J ____
Petite Drake 110 Lt. ch. f, 3, by Admiral Drake—Petite Soeur, by Beau Pere.
Breeder, G. G. Jamieson. 1950 3 M 0 0
Owner, Mr. & Mrs. G. Jamieson. Trainer, L. W. Kildee. 85.000 1952 4 M 0 0
May1-60fB.M 6 f 1:125ft 56 113 2h 54f ScheichF'900 76 VegasBoy110 PioneerJoe12
Apr27-60fB.M 6 f 1:135sy 73 108* 4f 59 7519f D'TeigE12 M500 59 L'Esouline114 Tr'Scrible114 T'xasT'114
Mar15-60fB.M 6 f 1:13 ft 48 113 8f 910111519 Sch'B'114 M500 59 TheWave114 Nightken113 Web'sReg'ds12
May 6 BM 3-8 ft .355gh April 2 BM 5-8 ft 1:035gh
Royal Jane 115 Ch. f, 3, by Texas Sandman—Fighting Jane, by Silver Horde.
Breeder, J. T. Todd. 1950 4 M 0 0 $125
Owner, Mr. & Mrs. E. H. Sorrell. Trainer, J. W. Sorrell. 85.000 1959 3 M 0 0
May 4-60fB.M 6 f 1:125ft *40 113 4f 51f 55f Harm'aW'8 M500 70 StarItTow'100 Q'Waters112 Wahalis 8
Apr26-60fB.M 6 f 1:115ft 73 115 5f 73f 70f 71f PierceD3 Mdn 76 MissJoyce110 Himalaya115 Heione 12
Mar1-60fB.M 6 f 1:12 ft 173 113 14 12 1h 4f PierceD2 4000 79 Q'Waters112 Facelieu113 Bern'O'Dine 12
Mar23-60fB.M 6 f 1:115ft 53 103 10f 8f 11f Shirata16 M 3500 72 HighDrag112 EdwardJ.114 RareTouco 12
April 20 BM 5-8 ft 1:015gh April 10 BM 5-8 ft .365gh March 23 BM 1-2 ft .49h
Bold Dust 115 Br. f, 3, Bold Gallo—Garara, by Nirgal.
Breeder, E. J. Harris. 1950 3 M 0 0
Owner, E. & J. Harris. Trainer, F. Jolosky. 85.000 1959 2 M 0 0 $40
May 4-60fB.M 6 f 1:125ft 114 5f 10f 10f 41f 10f HuntG4 M5000 76 Facelieu116 FlowerDeck115 Adagio 12
Apr28-60fB.M 6 f 1:125ft *182 113 4f 51f 58f 61f HuntG10 Mdn 76 Sabe-R'ggs115 Q'T'wats115 Kylew'd 12
Apr14-60fB.M 6 f 1:115ft 59 89 8110f10f11f10f HuntG7 Mdn 65 GoHost118 Principiolo118 FoxyRudy 11
Sep23-59fPom a 6 f 1:145ft 24 116 8f 8j 7f 9f C'anL'14 M5000 66 Dimity116 MissGenelle116 SunC. 8
Sep 3-59fDmr 6 f 1:115ft 88 116 10f11f11f11f11f G'ithsR'9 M7500 68 Gladiolal16 PaulineK.111 SocietyRose 12
May 9 BM 3-8 ft .365gh April 4 BM 5-8 ft 1:05h
Adagio 115 Ch. f, 3, by Esprit de France—Nautch Girl, by Soodani.
Breeder, J. Parker, Parkhill Larne Ltd. 1950 11 M 0 3 $485
Owner, Mr. & Mrs. N. C. Archer. Trainer, N. C. Archer. 85.000 1953 7 M 1 1 $302
May10-60fB.M 6 f 1:1:12 ft 32 115 8f 8f 5f 34f HuntG4 M5000 76 Facelieu116 FlowerDeck115 Adagio 12
Apr 2-60fB.M 6 f 1:105ft 122 113 117111110f14f10f GlennP4 4500 74 Stencil116 P'nt'Mis116 DarkSh'dows 11
Mar17-60fB.M 1¥ 1:45ft 50 113 11f 11f 11f 11f HuntG10 Mdn 65 Sabe-R'ggs115 Q'T'wats115 Kylew'd 11
Mar10-60fB.M 6 f 1:125ft 57 113 11510f10f 510 6f GlennP4 M5000 75 Pr'sig'k114 Chick'Miss108 Inter'n't12
Mar 5-60fB.M 6 f 1:12 ft 27 107 8f 5f 6f 6f GlennP5 3500 73 Reg'Igl'a109 Capt'nBos'n113 Q'Waters 9
Feb22-60fTup 5f 1:106 ft 81 115 5f 6f 5f 5f Ditt'cHt'H4 Mdn 80 TribalSec't120 Fr'tyBomb115 Unwr'tn'12
Feb17-60fTup 6 f 1:125ft 53 113 5f 5f 7f 4f PeyPio M3500 76 JakeH'Pass110 EthelLiz115 Time'sLast 12
Jan20-60fTup 6 f 1:12 ft 24 116 8f 8f 8f 8f Mdn 65 Sabe-R'ggs115 Q'T'wats115 Quin'116 SunC. 12
Jan17-60fTup 5f 1:003ft 34 115 11f 5f 4f 4f Ditt'cHt'H2 Mdn 68 WingLo115 Transcribe115 BullCamp10
Jan 8-60fTup 6 f 1:195ft 25 110* 7f 7f 7f 3f MurrayK2 Mdn 76 Jean'Shes112 Directly120 Transcribe 10
May 6 BM 5-8 ft 1:025gh April 21 BM 3-4 ft 1:165gh April 21 BM 3-8 ft :364gh
Painted Pet 115 Ch. f, 3, by Mafostafa—Gold Paint, by Gold Bridge.
Breeder, F. R. Graham. 1950 2 M 0 0
Owner, Montrose Stable. Trainer, K. R. Darbyshire. 85.000 1959 8 M 0 1 $130
May10-60fB.M 6 f 1:1:12 ft 74 115 2f 3f 4f 6f Ar'tnJ4 M5000 73 Facelieu115 FlowerDeck115 Adagio 12
Apr21-60fB.M 6 f 1:135ft 30 113 9f10f10f10f V'zkeM3 M5000 51 D'm'dMark118 Kitsimban113 P'n'Toe12
Dec14-59fB.M 6 f 1:135ft 17 116 5f 74f 95f 95f Nakak10 M5000 68 TurkishN119 Q'Waters116 SunNote116 SunC. 12
Dec10-59fB.M 6 f 1:135ft 22 116 8f11f11f11f11f Y'zkeM4 M5000 50 P'nt'Mis116 N'Ex't114 MasterSpecial12
Jun29-59fL.P 4f 1:05ft 17 117 4f 4f 3f Rich'Don'K Mdn MyBoyJ'n113 Foxelieu116 Top Tippy'10
Jun25-59fL.P 4f 1:54ft 51 117 8 7f 7f 7f Cop'nollK2 Mdn BraveKn'l113 Foxelue110 Y'S'Run'10
Jun15-59fL.P 4f 1:53fsgd 51 118 6 4f 4f Cop'nollK4 Mdn Ur-Mia118 AmcanCathy111 Kydette 9
May 8-59fTan 5 f 1:015ft 17 117 7f 8f1 8f V'zkeM'9 M6000 78 BlueT'sht117 Nina deTejas117 StepGby 11
May 4-59fTan 5 f 1:036ft 24 117 6f 4f 4f 4f Mdn 82 Svalan117 Lady Arg112 N' deTejas 7
Apr20-59fTan 5 f 1:00ft 8f 8f 11f 11f 11f 11f Mdn 79 MissJewel115 M5000 79 M'GOT'Farrell118 Reins 11
May 9 BM 3-8 ft .55%gh May 5 BM 1-2 ft :495gh April 11 BM 5-8 ft 1:05gh
Continuity 115 Ch. f, 3, by Balsamo—Sunny Pharlara, by Sun Briar.
Breeder, O. R. Harrold. 1950 5 M 0 1 $375
Owner, Mr. & Mrs. N. Jensen. Trainer, N. Jensen. 85.000 1953 3 M 0 1 $25
May10-60fB.M 6 f 1:111%ft 20 115 7f 54f 3f 34f Ar'tnJ4 M5000 80 Pilikia115 Tillie's110 Continuity 12
May 4-60fB.M 1¥ 1:45ft 175 113 7f 7f 7f 7f Ar'burrJ5 Mdn 60 Penoi118 Principiolo118 EdenBelle 8
Apr28-60fB.M 6 f 1:114 sl 18 115 9f 7f 6f 6f Ar'burrJ11 Mdn 61 Sals-R'ge115 Sm'T'wnGirl115 Kylew'd 12
Apr21-60fB.M 6 f 1:135ft 52 113 5f 5f 4f 4f Ar'tnJ2 M5000 67 D'm'dMark118 Kitsimban113 P'n'Toe12
Mar25-60fB.M 6 f 1:12 ft 173 115 8f 7f 7f 7f Ar'burrJ5 Mdn 72 Kern'piper118 GreatN'Nightken 12
Sep 3-59fL.P 5f 1:036ft 59 115 11f11f10f10f5f FreP4 M5000 50 M'Bravbri118 M'rim110 Dark'Que 12
Aug26-59fLga 5 f 1:05%ft 41 115 7f 7f 9f11f11f11f11f Sim'1g12 Mdn 75 JetTiger118 Malecent118 SeefairQu'n 12
May25-59fL.P a 3f f :42%ssy 3 *118 8 8f1 8f1 MarshW7 Mdn 79 GwenethGl'n111 TigerTh'ry118 B'yJoe 8
April 27 BM 3-8 sy :37h March 23 BM 3-8 ft .385gh March 19 BM 3-4 ft 1:15%gh
Tillies Baby 110 Br. f, 3, by Star Traveler—Till Lykke, by Boxthorn.
Breeder, A. L. Holmes. 1950 1 M 1 0 $425
Owner, A. L. Holmes. Trainer, A. Peters. 85.000 1953 1 M 0 0
May10-60fB.M 6 f 1:113%ft 91 110* 11 14 14 2pk F'slerF'8 M5000 85 Pilikia115 TilliesBaby110 Continuity 12
Jly 9-59fTpin 5 f :59fsgd 12 118 14 12 9f4 9f5 M'y'h'nB5 AlwM 57 Imatz118 Kent'ySlover115 FrenchFilly 9
May 5 BM 3-4 ft 1:15%gh April 29 BM 5-8 ft 1:01%gh April 18 BM 3-8 ft :36hg
Past Performances—First Race at Bay Meadows on May 13, 1960
Figure 1. A past-performance chart.
PREDICTOR NAME
WEIGHT TO BE CARRIED THIS RACE
1968; PERCENTAGE OF RACES IN WHICH HORSE FINISHED FIRST, SECOND, OR THIRD
WEIGHT HORSE CARRIED IN HIS LAST RACE
SPEED RATING CORRECTED BY TRACK VARIANT FOR HORSE'S LAST RACE
IS THE JOCKEY ONE OF THE LEADING JOCKEYS IN THIS RACE?
RACE 2
5 PREDICTORS
| Horse's number | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
|----------------|-----|-----|-----|-----|-----|-----|-----|-----|
| 3 | 116 | 116 | 113 | 112 | 111 | 109 | 116 | 116 |
| 24 | 0 | 50 | 100 | 0 | 50 | 33 | 40 | 50 |
| 55 | 111 | 112 | 110 | 114 | 110 | 111 | 116 | 116 |
| 58 | 93 | 95 | 91 | 75 | 90 | 92 | 94 | 96 |
| 83 | NO | YES | NO | NO | YES | YES | NO | YES |
Figure 2. Example of one judge's information set in the 5 predictor condition.
Figure 3. The same judge's information set in the 40 predictor condition.
PREDICTOR NAME
3 WEIGHT TO BE CARRIED THIS RACE
24 1968: PERCENTAGE OF RACES IN WHICH HORSE FINISHED FIRST, SECOND, OR THIRD
55 WEIGHT HORSE CARRIED IN HIS LAST RACE
58 SPEED RATING CORRECTED BY TRACK VARIANT FOR HORSE'S LAST RACE
83 IS THE JOCKEY ONE OF THE LEADING JOCKEYS IN THIS RACE?
19 1968: NUMBER OF STARTS
49 NUMBER OF DAYS SINCE HORSE'S LAST RACE
62 NUMBER OF LENGTHS HORSE FINISHED BEHIND LEADER IN LAST RACE
72 SPEED RATING OF HORSE CORRECTED BY TRACK VARIANT IN NEXT-TO-LAST RACE
76 SPEED RATING OF HORSE CORRECTED BY TRACK VARIANT ON SECOND-TO-LAST RACE
5 CLAIMING PRICE THIS RACE
17 HIGHEST CLASS AT AQUEDUC TTHIS SEASON
33 1967: PERCENTAGE OF RACES IN WHICH HORSE FINISHED FIRST, SECOND, OR THIRD
47 RANK IN PACE RATING CORR. FOR WT.; BEST RACE THIS YR., AT "A" AT 6F ON FAST TRACK
52 CLASS OF HORSE'S LAST RACE
61 FINISHING POSITION OF HORSE IN LAST RACE
66 NUMBER OF DAYS SINCE NEXT-TO-LAST RACE
68 CLASS OF HORSE IN NEXT-TO-LAST RACE
73 NUMBER OF DAYS SINCE SECOND-TO-LAST RACE
51 WAS HORSE'S LAST RACE RUN AT AQUEDUC T?
1 AGE
2 SEX
8 HIGHEST CLASS ON HORSE'S PAST PERFORMANCE CHART
12 HIEST CLASS AT "A" THIS YR AT 6F W/ FINISH 1,2,3,4 OR W/IN 1/2 LENGTH OF LEADER
20 1968: NUMBER OF WINS
25 1966: TOTAL MONEY WON
28 1967: NUMBER OF STARTS
29 1967: NUMBER OF WINS
34 1967: TOTAL MONEY WON
37 NUMBER OF RACES IN LAST 21 DAYS
40 DISTANCE AT WHICH HORSE HAS RACED MOST OFTEN
41 FASTEST SPEED RATING ON PAST PERFORMANCE CHART FOR RACES OF 6F
54 DISTANCE OF HORSE'S LAST RACE
63 NUMBER OF LENGTHS GAINED OR LOST IN THE STRETCH IN LAST RACE
65 DID HORSE FAIL TO GAIN ON THE LEADER AT ANY CALL IN THE LAST RACE?
67 DISTANCE OF NEXT-TO-LAST RACE
78 DISTANCE OF LAST WORKOUT
79 TIME OF LAST WORKOUT
80 NUMBER OF DAYS SINCE LAST WORKOUT
88 IS THE TRAINER ONE OF THE LEADING TRAINERS IN THIS RACE?
Table 1
Test-Retest Consistency at Low (5 Predictors) and High (40 Predictors)
Levels of Information for 8 Subjects (Horse Racing Study)
| Index of Reliability | 5 Predictors | 40 Predictors |
|----------------------|--------------|---------------|
| 1. Changes in first-place selections | 9/40 22% | 14/40 39% |
| 2. Changes in any of five ranks | 91/200 45.5% | 121/200 60.5% |
| 3. Differences in ranks* | 153 | 220 |
* Sum of differences is less for 5 than for 40 predictors in 30/37 races (3 ties)
Conclusion: Expert handicappers are much less consistent with 40 predictor items than with 5 predictor items.
Example: Race N: 5 predictors
First ranking of Race N: 8 3 7 2 4
Second ranking of Race N: 7 3 4 8 2
The first-place horse changed; the horses changed at four out of five ranks; sum of differences = 3+0+2+1+2=8.
Figure 4. Mean changes in confidence and accuracy with increasing amounts of information.
Figure 5. The lens model
\[
\hat{Y}_e = b_{1e} X_1 + b_{2e} X_2 + \cdots + b_{ie} X_i \\
+ \cdots + b_{ke} X_k
\]
\[
\hat{Y}_s = b_{1s} X_1 + b_{2s} X_2 + \cdots + b_{is} X_i \\
+ \cdots + b_{ks} X_k
\]
b. method of analysis: the "lens model" (see Figure 5)
1. \( r_a = r_{Y_e Y_s} \) achievement
2. \( G = r_{Y_e Y_s} \) policy validity (appropriateness of judge's weights and function forms)
3. \( R_s = r_{Y_s Y_s} \) policy consistency (random error)--index of control
4. \( R_e = r_{Y_e Y_e} \) environmental consistency
5. \( r_a = GR_s R_e \) the lens model equation
c. results
1. subjects gain knowledge of nonlinear policies but predict poorly (low \( r_a \)) due to high degree of inconsistency (low \( R_s \) - lack of control) in executing the policy.
![Graphs showing mean performance over blocks for linear and nonlinear tasks]
**Fig. 6.** Indexes of achievement (\( r_a \)), knowledge (\( G \)), and control (\( R_s \)) in two multiple-cue probability learning tasks. (In each task condition, \( n=20 \).)
From Hammond & Summers (1972)
2. Outcome feedback impedes control over the execution of one's knowledge in the nonlinear task. (Hammond, Summers, & Deane, 1973)
![Graphs showing achievement, knowledge, and control indices plotted over blocks of 20 trials according to experimental condition]
**Fig. 7.** Mean achievement (\( r_a \)), knowledge (\( G \)) and control (\( R_s \)) indices plotted over blocks of 20 trials according to experimental condition.
3. Brehmer (1971) finds that, even when you tell Ss what weights and functional relationships to employ, they have difficulties being consistent.
C. Systematic biases
1. General hypothesis
Man's limited memory, attention, and reasoning capabilities lead him to apply simple strain-reducing strategies when processing information. While these strategies may be efficient in some situations, in others they induce systematic biases that make the decision maker's actions inconsistent with his "true" preferences or beliefs.
2. Examples a, b, & c. Influence of response mode upon risk-taking decisions
a. When subjects rate the attractiveness of playing a gamble, probability of winning is the most important determiner of their responses; when they estimate the monetary worth of a gamble, payoff dimensions are more important than probabilities (Slovic & Lichtenstein, 1968).
**TABLE 2**
Percentage of Ss for Whom a Given Risk Dimension Was Most Important
| Risk Dimension | P_W | $W | P_L | $L |
|----------------|-----|----|-----|----|
| Computed Weights | | | | |
| Rating Group (N=88) | 50 | 09 | 15 | 26 |
| Bidding Group (N=125) | 18 | 19 | 10 | 53 |
| Subjective Weights | | | | |
| Rating Group (N=43) | 45 | 13 | 26 | 16 |
| Bidding Group (N=50) | 40 | 18 | 24 | 16 |
b. Given pairs of bets such as those below, subjects in Las Vegas often chose to play Bet A rather than Bet B, but they attached a higher monetary worth to Bet B. Such inconsistencies reflect systematic bias intervening between "true values" and observed preferences. They result from subjects using different information-processing strategies when choosing and setting prices.
Bet A
11/12 chance to win 12 chips
1/12 chance to lose 24 chips
Bet B
2/12 chance to win 79 chips
10/12 chance to lose 5 chips
where each chip is worth 25¢.
c. Individuals' preferences for long-shot bets were assessed by two methods: choices and selling prices—some persons gave selling prices consistent with their choices; others did not (see Figure 8).
**Fig. 8.** Relationship between choice and selling-price indexes across the total sample of subjects \((r = .46)\).
3. Slovic & MacPhillamy found that dimensions common to each alternative in a choice had greater influence upon decisions than dimensions that were unique to a particular alternative, even though the judges did not wish this to occur.
**Table 3**
Examples of Stimulus Pairs in the Equal- and Unequal-Units Conditions
| Common Dimension | Unequal-Units Condition | Equal-Units Condition |
|------------------|-------------------------|------------------------|
| | Student → A | B | Student → A | B |
| N Ach | 67 | 59 | 618 | 561 |
| | Eng | 86 | Eng | 572 |
| | Quant | 452 | Quant | 382 |
| | A | B | A | B |
| N Ach | | 33 | | 458 |
| Eng | 119 | 90 | 457 | 800 |
| | Quant | 414 | Quant | 348 |
| | A | B | A | B |
| N Ach | | 27 | | 698 |
| Eng | 74 | | 469 | |
| Quant | 701 | 466 | Quant | 264 | 388 |
4. The experiments described above suggest that the compatibility or commensurability between a cue dimension and the required decision affects the importance of that cue in determining the decision.
5. Biased perceptions of probabilistic events—"the law of small numbers" Tversky & Kahneman (1971) observed that people have strong intuitions about random sampling; these intuitions are shared by naive persons and sophisticated scientists, and they are wrong in fundamental ways with resulting unfortunate consequences in the course of scientific inquiry. They concluded that the typical scientist:
a. has undue confidence in early trends from the first few data points and in the stability of observed patterns;
b. rarely attributes a deviation of results from expectations to sampling variability because he finds a causal explanation for any discrepancy.
These results suggest that investors may be too quick to infer that their policies are not working and too quick to change policies to remedy this apparent (but often illusory) failure.
D. Insight into one's own policy
Judges' insight into their own weighting policies is poor. They typically overestimate their weightings of minor cues and fail to recognize the extent to which their judgments can be predicted by only a few cues. Greater experience in the task may lead to poorer self-insight (see Figure 9 and Table 4, taken from Slovic, Fleissner, & Bauman, 1972).
---
**Fig. 9.**—Example of a stimulus company. The response scale is at the
Table 4
Comparison between Importance of Effect and Subjective Weights across Thirteen Brokers and Five Students
| Factor | Broker No. | Student No. |
|--------|------------|-------------|
| | 1 2 3 4 5 6 7 8 9 10 11 12 13 | Mean for Brokers | 1 2 3 4 5 | Mean for Students |
| IND | 02 01 09 09 07 03 10 04 04 13 10 14 03 07 03 10 14 04 12 09 |
| RES | 12 18 06 01 15 01 09 13 14 06 13 01 03 09 01 11 01 08 05 05 |
| SUPP | 20 28 06 05 07 11 06 15 07 10 21 02 06 11 03 04 06 05 01 04 |
| VOL | 16 07 08 13 08 14 06 18 13 17 07 02 04 10 14 07 04 02 00 05 |
| NTP | 16 07 27 34 13 14 25 16 22 25 09 11 15 18 13 07 15 14 00 10 |
| PMT | 09 05 05 02 11 20 14 09 10 09 11 24 22 12 13 18 10 17 10 14 |
| PER | 13 02 24 14 03 07 09 12 02 09 14 15 23 11 04 12 16 22 33 17 |
| EYT | 12 32 14 22 36 31 21 13 28 09 14 32 24 48 29 34 29 39 36 |
Note.—The highest entry in each column is in boldface type.
IV. Facilitating Adherence to Policy
A. If a decision maker is to approach subjective optimality (a condition wherein his actions are consistent with his underlying values and beliefs), random errors and systematic biases must be minimized.
B. Eliminating random error by "bootstrapping"
The judge's policy equation may do a better job of predicting some outcome or implementing the judge's personal values than the judge himself could do.
"... humans tend to generate 'correct' strategies but then, in turn, fail to use their own strategy with any great consistency. ... One is left with the conclusion that humans may be used to generate inference strategies but that once the strategy is obtained the human should be removed from the system and replaced by his own strategy [Dudycha & Naylor, 1966]."
C. Analytic thinking--the decomposition principle
"The spirit of decision analysis is divide and conquer: Decompose a complex problem into simpler problems, get your thinking straight in these simpler problems, paste these analyses together with a logical glue, and come out with a program for action for the complex problem. Experts are not asked complicated, fuzzy questions, but crystal clear, unambiguous, elemental, hypothetical questions [Raiffa, 1968]."
D. Cognitive feedback
Hammond (1971) demonstrates that computerized feedback, showing the judge how his judgment policy compares to the desired policy, leads to dramatic increases in ability to execute a policy with consistency and precision. (See Figures 10, 11, and 12.)
Figure 10. Cognitive feedback displays for a multiple-cue learning task.
Figure 11. Learning curve for computer graphics group compared with groups receiving other forms of feedback.
Fig. 12. Indexes of achievement ($r_a$), knowledge ($G$), and control ($R_s$) in a nonlinear inference task when cognitive feedback is presented in the form of graphic displays. (Block = 10 trials.)
V. References
A. A general introduction to this type of research is provided in the article: Slovic, P. Psychological study of human judgment: Implications for investment decision making. *The Journal of Finance*, 1972, 23, 779-799.
B. I will be happy to supply additional references for the work described in this talk.
|
STS Group AG
Entry of Adler Pelzer could spur expansion
Rating: Buy (prev.: Speculative Buy) | Price: 7.60 € | Price target: 11.60 € (prev.: 10,60 €)
Analyst: Dipl.-Kfm. Holger Steffen
sc-consult GmbH, Alter Steinweg 46, 48143 Münster
Phone: +49 (0) 251-13476-93
Telefax: +49 (0) 251-13476-92
E-Mail: firstname.lastname@example.org
Internet: www.sc-consult.com
Please take notice of the disclaimer at the end of the document!
# Contents
| Section | Page |
|----------------------------------------------|------|
| Contents | 2 |
| Snapshot | 3 |
| Executive Summary | 4 |
| SWOT analysis | 5 |
| Profile | 6 |
| Market environment | 9 |
| Strategy and competitive advantages | 12 |
| Figures | 15 |
| Equity-story | 18 |
| DCF model | 19 |
| Conclusion | 22 |
| Annex I: Balance sheet and P&L estimation | 23 |
| Annex II: Cash flows estimation and key figures | 24 |
| Disclaimer | 25 |
**Basic data**
- **Based in:** Hallbergmoos
- **Sector:** Automotive supplier
- **Headcount:** 1,601
- **Accounting:** IFRS
- **ISIN:** DE000A1TNU68
- **Ticker:** SF3:GR
- **Price:** 7.60 Euro
- **Market segment:** General Standard
- **Number of shares:** 6.5 m
- **Market Cap:** 49.4 m Euro
- **Enterprise Value:** 65.9 m Euro
- **Free Float:** 21.8 %
- **Price high/low (12 M):** 8.36 / 1.73 Euro
- **Øturnover (Xetra, 30 d):** 44,600 Euro
---
**Short profile**
In the last financial year, the STS Group sold its Acoustics division to the Adler Pelzer Group and thus focused fully on hard trim products. These are plastic components produced by injection moulding or thermocompression and have so far been used mainly in commercial vehicles, but increasingly also in electric and hybrid vehicles. The company has positioned itself as an integrated supplier that also manufactures key basic materials itself and can thus support customers in all important steps of the value chain - from the initial product concept to series production. Production takes place in twelve plants on three continents, and STS also has two research and development centres in France and one in China.
The Chinese market was a major support for STS in the difficult Covid-19 year 2020, with revenues in the world’s largest commercial vehicle market expanding by 69 percent to EUR 85 m. The next major expansion step will be the construction of a new plant in the USA, for which STS has already acquired a major order.
---
| FY ends: 31.12. | 2018 | 2019 | 2020 | 2021e | 2022e | 2023e |
|-----------------|--------|--------|--------|--------|--------|--------|
| Sales (m Euro) | 401.2 | 362.8 | 235.0* | 259.7 | 276.9 | 292.0 |
| EBIT (m Euro) | -1.3 | -6.5 | -1.4* | 3.0 | 6.5 | 8.5 |
| Net profit | -4.8 | -12.1 | -15.9 | -2.3 | 0.8 | 2.3 |
| EpS | -1.20 | -2.03 | -2.60 | -0.36 | 0.12 | 0.36 |
| Dividend per share | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 | 0.00 |
| Sales growth | 29.4% | -9.6% | -6.2%* | 10.5% | 6.6% | 5.4% |
| Profit growth | - | - | - | - | - | 199.2% |
| PSR | 0.12 | 0.14 | 0.21 | 0.19 | 0.18 | 0.17 |
| PER | - | - | - | - | 63.1 | 21.1 |
| PCR | 7.0 | 1.3 | - | 4.4 | 3.7 | 3.9 |
| EV / EBIT | - | - | - | 22.0 | 10.2 | 7.8 |
| Dividend yield | 0.0% | 0.0% | 0.0% | 0.0% | 0.0% | 0.0% |
*without the sold Acoustics division
Executive Summary
- **Integrated provider:** With the sale of the Acoustics division last year, STS has focused on hard trim products manufactured by injection moulding or thermocompression. The company also manufactures key primary materials itself and has positioned itself as an integrated supplier that can accompany the customer’s entire process from the initial product idea to series production. STS currently still generates the majority of its revenues in Europe, with a share of around 60 percent, but China (around 36 percent) has recently rapidly gained in importance. Expansion in the USA is also currently being driven forward with the construction of a new plant.
- **Adler Pelzer agrees to purchase shares:** Adler Pelzer Group agreed to buy Mutares’ STS stake (73.25 percent) in March, although the deal is still subject to approval by antitrust authorities and Adler Pelzer’s financing partners. After completion, STS is to remain as an independent division for hard trim products within the Adler Pelzer Group and is also expected to absorb the existing hard trim activities of the future majority shareholder.
- **Market slump in 2020:** The Corona crisis caused a market collapse in the commercial vehicle sector in spring 2020. Despite a recovery in the second half of the year, new truck registrations fell therefore by 27 percent in Europe and by 22 percent in the USA. In China, on the other hand, a dynamic business cycle led to growth of 35 percent. However, the market is now expected to consolidate in 2021, while Europe and the US are forecast to continue their recovery.
- **High loss:** The market slump had a strong impact on STS’s business development, especially in the second quarter of 2020. Thanks to a catch-up process in the further course of the year, the decline in revenues from continuing operations for the entire year was limited to -6.2 percent (to EUR 235 m), and adjusted EBITDA from continuing operations was only EUR 0.2 m below the previous year’s figure at EUR 17.7 m. However, including the profit contribution of the sold division, a high net loss of EUR 15.9 m was reported.
- **Growth drivers intact:** In the current year, STS will primarily benefit from the recovery of the industry environment in Europe. Group turnover is expected to increase by around 10 percent and the EBITDA margin is expected to be in the high single-digit range; no special items are expected. The company’s growth drivers - in particular the need for weight reduction in truck construction and the rapid development in the field of electromobility - are intact and should enable the emergence of a profitable growth path without external shocks.
- **Milestone US production:** We have depicted this in our model, with the start of US production in 2023 as the central milestone. However, we have not yet factored in the transfer of business activities from Adler Pelzer or acquisitions. Nevertheless, based solely on organic development, we see a price target of EUR 11.60 and thus a potential of more than 50 percent. With the improvement in the economic conditions, the forecast risk has decreased further, so that we are upgrading the share from "Speculative Buy" to "Buy".
SWOT analysis
**Strengths**
- STS has established itself as a global tier-one truck supplier for plastic parts.
- The company has expertise and flexibility in the application of a wide range of manufacturing techniques (SMC, thermocompression and injection moulding), materials and batch sizes and is increasingly becoming a system supplier.
- Successful international expansion with strong growth in China and the acquisition of a major order from the USA.
- Proven competence in acquisition and integration of acquisitions as well as in the implementation of efficiency enhancement measures.
- With Adler Pelzer, a large strategic partner is about to join the company.
**Weaknesses**
- STS suffered significant losses in the difficult years of 2019 (industry downturn) and 2020 (Covid-19).
- A high increase in receivables in China has recently weighed on cash flow.
- Despite a broad customer base, sales are heavily dependent on a few buyers. The top 4 customers accounted for almost 70 percent of revenues in 2020.
- Due to the long lead time from order placement to revenue generation, current sales initiatives will only have an impact on Group revenues in the medium term.
- Structural growth dynamics in the still important European commercial vehicle market are low.
**Opportunities**
- An unexpectedly strong economic recovery could stimulate investments in the commercial vehicle sector; in Europe, there is still significant catch-up potential.
- Electromobility and new emission regulations (Europe, China) act as growth drivers.
- The establishment of a new plant in the USA creates high growth potential in the medium term.
- Adler Pelzer intends to transfer its hard trim activities to STS; further acquisitions to strengthen the market position are conceivable.
- If STS establishes a growth path with rising margins, the share could be revalued.
**Threats**
- Hopes for an early defusing of the Covid-19 crisis could be disappointed.
- Bottlenecks in semiconductors are currently slowing down the dynamics of the automotive industry.
- The Chinese commercial vehicle market is facing a consolidation that may take longer than expected.
- The rise in commodity prices could weigh on margins and make it more difficult to break even.
- The costs of building the US plant could exceed the budget.
Globally active automotive supplier
STS Group AG, headquartered in Hallbergmoos near Munich, is a globally active supplier to the automotive industry, with a focus on the production of components and systems for commercial vehicles. The company was formed between 2013 and 2017 by the investment company Mutares as part of a buy-and-build process. Mathieu Purrey, the STS sole director since July 2020, is also formally still an employee of Mutares and has been delegated by the major shareholder. However, his contract as a board member at STS runs until 2023.
Share deal signed
The buy-and-build phase was crowned by an IPO on the German capital market in 2018. Even after the IPO, Mutares remained the majority shareholder of STS, with a current stake of 73.25 percent. However, in March, the investment company signed a sale agreement for all the shares held at a price of EUR 7.00 per share. The buyer is the German-Italian automotive supplier Adler Pelzer Group, which had acquired STS’s acoustics business with soft trim products only last November. The closing of the transaction is still subject to approval by the antitrust authorities and Adler Pelzer’s financing partners. If the sale
is completed, STS will continue to operate as a separate and, based on current information, listed division of the Adler Pelzer Group.
**Specialisation in hard trim products**
In the newly formed group, STS would be responsible for the so-called hard trim products. These are plastic parts produced by injection moulding or thermocompression and used, for example, for exterior trim and aerodynamic parts or also for storage systems in the cabins of commercial vehicles (see illustration on previous page). Adler Pelzer is already active in the business itself to a lesser extent, and a transfer of these activities to STS is being considered.
**Integrated provider**
STS has positioned itself as a vertically integrated supplier of hard trim products that can offer customers the complete process from a single source – from product conception to the manufacture of the necessary composite materials and the production of components and systems using injection moulding or thermocompression. The company sees itself as the only supplier in the market that offers both thermosetting and thermoplastic technology (thermoset products can no longer be deformed by the effect of temperature after curing, thermoplastic ones can) and can combine both manufacturing processes as part of system solutions.
**Three business areas**
Die Herstellung von Faserformmassen (Bulk Molding Compound) takes place in the "Materials" business unit, which thus provides the semi-finished materials for its own component production, but also supplies third parties. Last year, this segment accounted for EUR 20.2 m, or 8.6 percent of Group revenues (after consolidation). Sales of the finished components and systems are even higher. This business in Europe as well as in Central and North America with sales of EUR 129.9 m (55.3 percent of Group revenues) is represented in the Plastics division. A separate segment was created for China in mid-2018 due to its increasing importance for the Group. The subsidiaries there also offer hard trim products, which are mainly manufactured using the SMC process, but since 2019 also using injection moulding, and, after a sharp increase, most recently contributed already EUR 85 m (36.2 percent) to Group revenue.
**Global positioning**
While three production facilities and a R&D centre are operated locally for the business in China, the American market is supplied from a plant in Mexico. However, most of the locations are still in Europe, with – in addition to the group headquarters – a total of six factories and two R&D centres in France and Germany. In total, the group employs around 1,600 staff. The geographical distribution of sales is closely related to the location distribution. Customers from France and Germany were responsible for EUR 88 m and 33.9 m respectively last year, the rest of Europe accounted for EUR 20.4 m and other countries (mainly China) for EUR 92.9 m.
Customers' share of group sales 2020
- France: 37.4%
- Germany: 14.4%
- Rest of Europe: 8.7%
- RoW: 39.5%
Customers by country (upper illustration) and by business areas; source: Company
Tier 1 supplier
STS has established itself as a Tier 1 supplier, directly supplying various OEMs. The customer base includes numerous leading manufacturers of commercial vehicles, such as Daimler, FAW, Dongfeng, Volvo or Traton. In addition, STS products are also used in light commercial vehicles and automobiles (see illustration). Recently, the company has also gained a foothold in the electric vehicle market, supplying mainly Chinese suppliers such as NIO, Great Wall and Sokon with lightweight and battery components.
Long-term supply contracts
Despite a broad customer base, a large part of the business is accounted for by a few customers. Last year, the largest customer accounted for EUR 66 m, or about 28 percent of the group's revenues, while the top four accounted for 69 percent in total. However, there is also a close customer relationship, as STS products are used in series production, which is usually secured by long-term supply contracts. These cover the lifetime of a vehicle model from 5 to 10 years, with the specific order take-up figures depending on the market success of the provider. However, such contracts also have a long lead time; the time span from the first enquiry to the start of production is usually two to three years (see figure).
Time from request to production; source: Company
Market environment
China dominates world market
As a systems supplier of interior and exterior parts for motor vehicles, the business success of the STS Group is directly linked to the demand for passenger cars and trucks in general, and medium and heavy commercial vehicles in particular. The world’s most important commercial vehicle market by far is China. According to VDA data, 1.78 million vehicles were sold there last year, which corresponded to a world market share of 52 percent. The USA followed far behind with 410,000 units or 12 percent, while Europe accounted for 272,000 trucks or 8 percent.
High losses in Europe and the USA
However, the market figures from 2020 are distorted by the extreme framework conditions and special effects and China’s share is therefore overstated. The outbreak of the Covid-19 pandemic was a turning point for the industry, leading to a massive slump in demand for commercial vehicles in the spring, which, despite the recovery trends from mid-year onwards in Europe and the USA, could no longer be made up for in the further course of the year. For the entire year, truck registrations in Europe fell by 27 percent, although the decline in the markets that are particularly important for STS, France and Germany, was somewhat below average at -24 and -25 percent respectively. In the USA, the decline was at a similar level of -22 percent (data source: VDA).
China with dynamic business cycle
Sales in China also came under pressure for a short time, but then the expansionary drivers quickly prevailed. Against the global trend, commercial vehicle registrations increased by 35 percent in the entire year, which led to the high global market share mentioned at the beginning. The strong growth resulted from the interplay of several factors. In 2019, the authorities significantly intensified their monitoring of transported volumes in order to prevent the widespread practice of overloading. Together with a tightening of emission standards and a government programme for fleet renewal that ran until the end of 2020, this resulted in high investment in new trucks. In addition, the demand for transport services has also increased significantly, as the Covid-19 crisis has caused significant growth in e-commerce.
Reversed indicators for 2021
In the current year, the boom in China will come to an end, which, according to an assessment by the VDA, will cause a significant market contraction. The industry association expects a decline of 25 percent.
On the other hand, the recovery in Europe and the USA is likely to continue, so that the two markets could each grow by 15 percent. However, this would still be well below the pre-crisis level.
**Sector under pressure**
Even before Covid-19, many German automotive suppliers were under pressure as the industry is undergoing a comprehensive transformation phase outlined by the catchwords electrification, digitisation and autonomous driving. With the market collapse in the USA and Europe, this pressure has once again increased significantly, resulting in numerous insolvencies in the sector – in the first half of 2020 alone, 31 companies with sales of more than EUR 10 m became insolvent, which was more than in the entire 2019 (30). However, the great wave of bankruptcies that had been temporarily predicted – in June 2020, the management consultancy Berylls Strategy Advisors had forecast 120 insolvencies of German automotive suppliers for the period March 2020 to mid-2021 – has (so far) failed to materialise. This was likely helped by government aid loans, generous short-time working rules as well as the suspension of the obligation to file for insolvency, but also the recovery of business activities from the third quarter of 2020.
**Trend towards lightweight construction...**
Beyond the recent extreme economic fluctuations due to the pandemic, there are several longer-term trends in the commercial vehicle business that are supportive of STS’s sales opportunities. From our point of view, the continuous tightening of emission standards is of particular importance, as it creates a high pressure to innovate. In Europe, for example, the development of the Euro 7 standard has already begun, which will bring a further significant reduction in emission limits in the future. One of the most important instruments for reducing the fuel consumption of commercial vehicles and thus also emissions is a lighter design. Here, the substitution of heavy metal parts with fibre-reinforced plastics is one of the best options. With its high level of material competence and expertise, especially in the SMC area, STS offers custom-fit solutions for this sector. The company names as main competitors in this business and in the addressed segment of small to medium-sized batches the Polytec Group, also listed on the stock exchange, Georg Fritzmeier GmbH & Co. KG from Grosshelfendorf near Munich, IMR Automotive from Italy, CSP Continental Structural Plastics from the USA and numerous smaller family-owned companies in China.
**...and towards electrification**
Another megatrend in the automotive industry is the electrification of the powertrain. However, for large commercial vehicles, the most important sales market for STS, there are currently no signs of a rapid substitution of the diesel engine. The costs and the range of batteries are the core problems here, and larger storage solutions are also problematic with regard to a necessary further weight reduction. Nevertheless, many companies are already working on the electrified truck, with high hopes being set on fuel cell technology and the use of hydrogen. However, industry experts at PWC do not expect the new drive forms to take a larger share of the heavy commercial vehicle market until the end of this decade.
**Boom in Europe**
By contrast, electrification in the passenger car sector has already gained considerable momentum. After China initially led the way in the sector, Europe replaced it as the largest market last year with sales growth of 137 percent to almost 1.4 million units. Significantly improved state subsidies, the expansion of the model range, intensified marketing efforts by manufacturers and the increase in the numbers of charging stations were the main drivers of the positive development. Thanks mainly to the jump in sales in Europe, global sales figures have increased by 43 percent to 3.2 million, while overall global car sales have slumped by 14 percent (data source for this paragraph: ev-volumes.com).
Potential in the hundreds of millions
STS has already positioned itself as a supplier in this attractive market. Orders for battery covers based on SMC technology were won, initially from several suppliers in China, but subsequently also in Europe and the USA. In China, SMC solutions are used for about 50 percent of battery covers, in Europe it is about 40 percent. The company puts the market potential in this area at up to EUR 240 m (China) and EUR 200 m (Europe). The sales growth with STS’s existing customers alone should ensure a further significant increase in revenues in the business. In addition, the company is working on acquiring new customers and on further products for this market.
Source: ev-volumes.com
Battery Cover Market Europe
- Market share of Battery Covers with SMC technology: 40%
- Potential market volume of SMC Battery Covers: up to 200 mEUR
- STS sales share in mid-term of up to 30% in Europe
Battery Cover Market China
- Market share of Battery Covers with SMC technology: 50%
- Potential market volume of SMC Battery Covers: up to 240 mEUR
- STS future sales share of up to 20%, with upside due to growing relevance for EMC shielding
Source: Company
Strategy and competitive advantages
Strategy adjustment in 2020
Until the outbreak of the Covid-19 crisis, STS had taken the approach of offering its customers a broad product range that included both hard trim and soft trim products. In the latter area, which was covered by the Acoustics segment, there were already profitability problems before the outbreak of the pandemic, which were exacerbated by the market slump. The CEO Mathieu Purrey, newly appointed in July last year, made therefore a cut with the sale of the Acoustics business and positioned STS as a specialist for hard trim products. In addition, the Group headquarters was greatly reduced in size and several functional divisions were anchored in the operating subsidiaries.
Flexible and global
The production of the components themselves is also variably designed for small and medium batches with an annual quantity of approx. 10 to 100 thousand units. STS can address a wide range of customers with its high flexibility in terms of batch sizes while at the same time distinguishing itself from larger automotive and truck parts suppliers that only focus on serving customers with high-volume orders. STS's manufacturing facilities are located in the immediate vicinity of customers, which facilitates integration into their development processes and production workflows, but is also an important cost factor for large, bulky parts. In addition, the company also benefits from favourable labour costs in countries such as Mexico and China.
Four key competitive advantages
In the hard trim business, the company claims four key competitive advantages that are to secure the group’s further expansion: its overarching technological know-how, vertical integration, high flexibility in terms of order size and global positioning.
Wide range
With the SMC process, injection moulding and thermocompression, STS masters three essential production methods for the plastic parts of vehicles and can thus manufacture a wide range of products, from structural parts to components for aerodynamics and optics to parts with specific thermal properties. These can be flexibly combined into systems if required. Flexibility is further increased by the fact that STS also creates key primary materials itself and thus masters the essential elements of the entire value creation process. This makes it much easier to adapt to customer requirements. In addition, customers can be accompanied throughout the entire cycle, from the initial product idea to series production.
additional revenue potential per unit at 120 percent (see illustration). The company has already acquired a major order for the US market in 2019 for the supply of a complete truck roof system made of fibre-reinforced plastic (SMC). The order has a volume of EUR 230 m over a term of ten years and forms the basis for the construction of the new plant in Virginia. The project was delayed by Covid-19, but now the construction is being prepared and should take place next year. Production could then start in 2023. For financing, STS will fall back on subsidised loans and leasing, plus a mid-single-digit million amount of own funds, spread over the period up to 2023.
**Further internationalisation**
Building on this good foundation, the further expansion of international business is at the top of the management's agenda, with a particular focus still on the Chinese market. In China, the company has already been very successful in order acquisition, with the result that numerous new launches in both trucks and electric vehicles took place last year (see illustration). By now, all major Chinese commercial vehicle manufacturers are customers of STS. The management is pushing for further market penetration, and the company's own high quality standard and development competence with the local R&D centre are important USPs in competition with the numerous small family-owned companies that characterise the structure of the supply side in China.
**R&D as a core competence**
The range of SMC products, which will initially also be the main driver for the US market, serves a megatrend: the replacement of metal components with robust and lightweight plastic materials. This can significantly reduce the weight of commercial vehicles, which has a positive effect on fuel consumption and emissions. As the ever stricter emission regulations require continuous improvement in this regard, this is also a focus of STS's R&D activities, which are currently advanced by 60 employees in the three development centres. Research and development is thus one of the company's core competencies in order to open up new business areas. For example, the company is currently working on the development of "green" SMC compounds with bio-based or recycled materials and, as part of a co-development project with an engineering firm, on the use of high-performance composite parts in shipbuilding.
Targeting the market for electric vehicles
Thanks to its own R&D expertise, the company has already tapped into a particularly high-potential market with electric vehicles in recent years. STS has developed innovative battery covers for the vehicles based on SMC technology and has already won several customers in China, Europe and the USA. The growth in the e-mobility sector has recently gained a lot of momentum, which is likely to be accompanied by a significant increase in order take-ups at STS. At the same time, the company is working to win more OEMs as customers.
Expansion of market position
Although the last two financial years were accompanied by significant losses in a difficult industry environment, STS is strategically well positioned to establish a profitable expansion path in the future due to the factors outlined. The planned entry of a strategic investor from the industry, who is expected to invest as much as EUR 33 m, supports this impression. And with the Adler Pelzer Group as a major shareholder, the market position could be expanded even further. On the one hand, it is envisaged that STS will take over Adler Pelzer’s previous hard trim activities shortly after the transaction is completed. On the other hand, the group is pushing ahead with industry consolidation through acquisitions – and this path could also be continued with STS as a new platform.
Strong growth, low margin
With the implementation of the buy-and-build process initiated by the investment company Mutares, the STS Group has grown strongly. From 2016 to 2018, sales almost tripled from EUR 136 m to EUR 401 m thanks to the acquisitions. However, the profitability of the group remained low: Adjusted for special factors, EBITDA amounted to EUR 23.7 m in 2018, equivalent to a margin of 5.9 percent. This was mainly due to the business with soft trim products in the Acoustics division, which generated a slightly negative adjusted EBITDA of EUR -1.2 m on revenues of EUR 124.4 m.
...followed by the Covid-19 crisis
With the outbreak of the Covid-19 crisis, the industry downturn turned into a crash. In the second quarter of 2020, the slump in demand and the politically imposed lockdown in numerous countries led to temporary plant closures and sharply reduced order take-up figures for STS as well. This was particularly noticeable in the revenues of the Plastics and Acoustics divisions, which – from April to June 2020 – were 57.4 and 51.8 percent below the previous year’s figures, at EUR 20.3 m and EUR 15.0 m respectively. It was partially offset at the Group level by the strong expansion in China, where, thanks to the ramp-up of numerous new orders, revenues increased by 3.5 percent year-on-year to EUR 11.7 m already in the first quarter of 2020, when parts of the country were also in lockdown. When the situation eased in the second quarter, sales in China even increased by around 113 percent to EUR 24.7 m.
Slump in sales and operating loss
At the group level, Q2 sales were, at EUR 61.7 m, nevertheless 37.2 percent below the 2019 reference
figure. This led – despite a positive contribution of EUR 5.2 m from the China business – to a negative Group EBITDA of EUR -2.6 m, after EUR +5.8 m in the previous year.
**Increasing recovery**
In a brightening economic environment, the very difficult second quarter was followed by a gradual recovery. Between July and September, sales in Plastics (-24.0 percent), Acoustics (-8.8 percent) and Materials (-24.2 percent) were still below the previous year’s figures, but thanks to the very strong business in China (+128.2 percent), group sales were already at the previous year’s level. As a result, adjusted EBITDA was clearly positive again at EUR 4.1 m and was even slightly above the previous year (EUR 4.0 m). The positive trend solidified further in the final quarter, in which the sold Acoustics division was still included with one month. In the Plastics segment in particular, there were – with revenues of EUR 48.0 m, equaling an increase of 68.4 percent on the previous quarter and 28.3 percent on the previous year – strong catch-up effects and one-off revenues from the sale of tools for new orders, but the China business (+6.8 percent on Q3 and +46.8 percent on Q4 2019) also continued to grow at a high level. This was accompanied by a significant improvement in operating profitability, which, however, was still overshadowed in the final figures by the numerous special items in connection with the sale of the Acoustics division. This is because, unlike in the nine-month report, the Acoustics figures are now only listed as discontinued operations in the annual financial statements.
**EBITDA decreases only slightly**
Thanks to the successful recovery, Group revenue from continuing operations for the entire year was, at EUR 235.0 m, ultimately only 6.2 percent below the comparable figure for the previous year, while the decline in total operating revenue was somewhat greater at minus 8.2 percent due to a reduction in inventories. However, the cost-saving measures implemented during the year led to an even greater percentage drop in personnel costs (-12 percent to EUR 61.8 m), and the
cost of materials (-7.5 percent to EUR 129 m) and other operating expenses (-5.4 percent to EUR 31.8 m) decreased as well. As a result, the decline in reported EBITDA was contained to -4 percent (to EUR 14.7 m).
| Business figures | 2019 | 2020 | Change |
|---------------------------|--------|--------|------------|
| Sales (incl. Acoustics) | 362.8 | 308.1 | -15.1% |
| Sales (w/o Acoustics) | 250.7 | 235.0 | -6.2% |
| - Plastics | 169.0 | 129.9 | -23.1% |
| - China | 50.4 | 85.0 | +68.7% |
| - Materials | 39.8 | 26.7 | -32.9% |
| Adj. EBITDA (w/o Ac) | 17.9 | 17.7 | -1.1% |
| - Plastics | 12.6 | 2.3 | -81.7% |
| - China | 9.0 | 17.4 | +93.3% |
| - Materials | 2.4 | 1.6 | -33.3% |
| EBITDA (reported) | 15.3 | 14.7 | -3.9% |
| EBIT (cont. activities) | -0.5 | -1.4 | - |
| Net profit | -12.1 | -15.9 | - |
*In m Euro and percent; source: Company*
**China business very profitable**
If the special expenses of EUR 3.0 m (mainly for the restructuring) are deducted, the adjusted EBITDA of EUR 17.7 m was even almost at the previous year’s level (EUR 17.9 m). However, the contributions of the individual divisions shifted considerably over the course of the year. While the Plastics segment, which in the previous year still had the largest share of adjusted EBITDA with an operating surplus of EUR 12.6 m, recorded a decline to EUR 2.3 m, China’s contribution almost doubled from EUR 9.0 m to EUR 17.4 m. This was the main factor behind the improvement in the Group-wide adjusted EBITDA margin from 7.1 to 7.5 percent (based on Group sales) in 2020.
**Overall result clearly negative**
Taking into account depreciation and amortisation of EUR 16.1 m, the reported EBITDA resulted in a slightly negative EBIT of EUR -1.4 m (previous year on a comparable basis: EUR -0.5 m). Together with the financial result (EUR -2.2 m) and the tax expenses (EUR -3.0 m), this led to a result from continuing operations of EUR -6.6 m (previous year: EUR -4.5 m). Added to this is the deficit from discontinued operations of EUR -9.3 m, so that the year 2020 closed with a consolidated loss of EUR -15.9 m (previous year: EUR -12.1 m).
**Debt declining rapidly**
The separation from the Acoustics business had a significant positive impact on the balance sheet. After net financial debt still amounted to EUR 48.9 m at the end of September, it was reduced to EUR 22.9 m by the end of the financial year. Liquidity of EUR 20 m was offset by loan and leasing liabilities of EUR 42.9 m as of the reporting date. The multiple of net financial debt to last year’s adjusted EBITDA is now only 1.3. Thanks to a significant balance sheet reduction (from EUR 256.5 m to EUR 185.7 m), the Group’s equity ratio is also still solid at 27.5 percent, despite a decrease in equity from EUR 68.6 m to EUR 51.1 m.
**Return to growth path**
This gives the Group a good basis for a return to the expansion path in the current year. Management is planning for revenue growth of around 10 percent, driven by a recovery in business in Europe. In China, on the other hand, the boom is slowly coming to an end and the market volume is likely to decline significantly, which STS believes will be felt more strongly in the second half of the year. Nevertheless, the Executive Board expects continued successful order acquisition and aims to maintain sales in the country at about the previous year’s level. With regard to the expected profitability at Group level, the forecast announcing an adjusted EBITDA margin in the high single-digit percentage range is still vague. As there are no extraordinary expenses according to current information, this will also correspond to the reported EBITDA margin.
Equity-story
Emerging stronger from the crisis
In 2020, an extremely difficult year for the industry, STS initiated a major course correction. The company has streamlined its corporate headquarters, sold the Acoustics division, and focused on the larger and significantly higher-margin business with hard trim products. This had a positive impact on the margin, so that the adjusted EBITDA from continuing operations in the crisis year 2020 was kept almost constant despite a 6.2 percent decline in sales. In addition, the balance sheet structure has also been significantly improved: After net financial debt still stood at EUR 48.9 m at the end of September, it was only EUR 22.9 m at the end of the year.
Drivers: lightweight construction and electromobility
This created a good basis for a return to the expansion path. In the current year, the company is likely to benefit in particular from the recovery of the industry in Europe. In the important Chinese market, a significant overall decline in market volume is to be expected as a special economic situation comes to an end, but STS wants to gain further market share and thus keep revenues there constant. Basically, several trends are playing into the company's hands, of which the replacement of metal parts with robust plastic components to reduce weight and emissions is presumably the most important. But electromobility is also a growth driver for STS, as the company can launch new products in this segment. For example, the plastic cover for batteries offered by STS is meeting with brisk demand.
USA in the focus
Based on an attractive product portfolio, STS is preparing to conquer the next big market. After Europe and China, a plant is now also to be built in the USA. The existing production facility in Mexico represents a bridgehead for this project, as the US market can initially be supplied from there. The expansion in North America has already been secured by a new major order, which will be rolled out successively over the next few years and thus already ensures the basic capacity utilisation of the plant. The company also sees itself in a good position to acquire further large orders from the USA.
New options
In the future, it could have a strong partner from the industry at its side. Adler Pelzer, itself with sales of almost EUR 2 billion, intends to take over the majority stake in STS from Mutares. Provided the transaction is completed as planned, STS is to remain as an independent division of Adler Pelzer and be given sole responsibility for hard trim products within the group, which would also include the transfer of the major shareholder's existing activities in this area to STS. With the big partner behind it, the expansion of the market position could also be pushed even further through acquisitions, so as to actively shape the market consolidation fuelled by the Covid-19 crisis.
High valuation leverage
Overall, there are thus good opportunities for sustainable growth at STS, which should also have a positive impact on margins due to learning curve and fixed cost depression effects. This in turn could exert strong valuation leverage on the share price. With a current market capitalisation of almost EUR 50 m, STS is valued very low in terms of sales: the PSR is only about 0.2. The ratio of enterprise value to EBITDA is also not high at 3.5. This is presumably due to the difficult industry conditions on the one hand, but also to the low profitability at EBIT and net profit level on the other. If this can be significantly improved - and we see good chances of this on the basis of the drivers outlined - the company should also be valued with considerably higher multiples, which would significantly strengthen the valuation effect of the earnings improvement.
After a difficult year...
The year 2020 was exceptionally difficult for automotive suppliers. The industry downturn, already underway since 2019, was massively exacerbated by the Covid-19 pandemic, culminating in high double-digit production declines in Europe and the US in the second quarter. During this time, however, the Chinese market has already recovered dynamically from the effects of the pandemic, which occurred earlier than in Europe and the USA, and has been a great support for STS.
...diverging market trends
However, the special boom in the form of extensive fleet renewal and expansion, brought about by stricter controls on truck loading and a local tightening of emission standards, will come to an end in the current year, with likely negative consequences for industry sales. However, thanks to the successful order acquisition, STS still wants to keep its own revenues in China at about the previous year’s level. In Europe, on the other hand, the market is expected to recover at a double-digit rate from the low base of 2020, but not yet to pre-crisis levels. This is likely to translate into significant sales growth, especially in the STS Plastics segment. Overall, the group is targeting a revenue increase of 10 percent for 2020 and aims to generate an EBITDA margin in the high single-digit percentage range on this basis.
Estimate for 2021 adjusted
So far, we have assumed that the company will be able to generate sales of EUR 270 m in the current year. In contrast to management, we had assumed a decline in revenue in China and a much stronger recovery in Europe. In response to the forecast and the current reports on the market outlook, we are adjusting this estimate somewhat. We now expect Chinese sales to decline by only 5 percent to EUR 80.8 m (previously: -18 percent) and anticipate growth of 19 percent to a combined EUR 179 m for the other two divisions (previously: +33 percent to EUR 200 m), so that we expect a 10.5 percent increase in sales across the group to EUR 259.7 m. The EBITDA margin is now slightly higher at 7.2 percent (previously 7.0 percent), as we had expected moderate extraordinary expenses, which are no longer expected to be incurred. At the same time, the depreciation and amortisation remaining after the divestment of the Acoustics business is significantly higher than we had previously expected, so that we now expect EBIT of EUR 3.0 m (previously EUR 6.0 m) for 2020.
Adler-Pelzer entry: upside potential
We have not yet included any effects from the agreed but not yet completed acquisition of shares by Adler Pelzer. However, the potential new major shareholder has held out the prospect of handing over its own hard trim business to STS. This would further strengthen the market position in the core area. We will only integrate this into our model when the data on the business to be transferred and the conditions are available. Currently, we consider this to be an additional upside potential for the model result. Furthermore, we assume that Adler Pelzer has a high interest in STS successfully continuing its international expansion. Therefore, we expect that both the expansion of the China business and the establishment in the US market with a new production facility will be given a high priority.
Multiple growth drivers
These continue to be the cornerstones of our estimation model, which we have revised somewhat in detail. For the Plastics and Materials segments, after the strong recovery in 2021, we expect moderate revenue growth in the following years (subsequent CAGR by 2028: 3.3 percent), which mainly reflects the low market dynamics in Europe. It is possible that STS can significantly outperform the overall market through a growing business with components and systems for
electric and hybrid vehicles, but this will first have to be supported by further figures. After normalisation in 2021, growth in China is likely to be disproportionately high compared to Europe from next year (CAGR by 2028: 5.7 percent). And as before, we expect an initial contribution from the new US business from 2023 onwards, which we still expect to grow to around EUR 38 m by the end of the detailed forecast period. The average growth rate of Group revenues from 2022 to 2028 is thus 5.6 percent.
**Cautious margin calculation**
The steady growth should go hand in hand with a continuous improvement in margins thanks to the associated learning curve and fixed cost depression effects. We have factored these in very cautiously so far and have only allowed the EBITDA margin to rise to 8.5 percent in 2028. We maintain this approach for the time being, which corresponds to a target EBIT margin of 4.9 percent. The slow margin increase also covers possible start-up losses in the new US business. By the end of the detailed forecast period, however, this business should already be clearly profitable and even make a disproportionately high contribution to earnings due to the advantageous market conditions (long-nose trucks, lower competition intensity for SMC components). However, we have not yet included this in our estimates, as we first want to wait for the next steps to develop the market, and we see it as further upside potential for the model.
**Initially high tax rate**
STS’s tax rate at group level is initially fairly high: for 2021, we have even estimated it at 100 percent of EBIT. This is due to the still uneven distribution of profitability in the group. The tax payments result primarily from the very profitable business in China, while the activities in Europe depress group profitability, which leads to a high ratio in terms of figures. This effect loses significance over time with the assumed improvement in the margin in the Plastics and Materials segments.
**Organic development**
We have modelled an organic development and assume that STS can finance this without raising equity. The funds for the new US plant are to be raised primarily through leasing and subsidised loans. Therefore, we calculate with the current number of shares. We consider another share issue conceivable if the
| m Euro | 12 2021 | 12 2022 | 12 2023 | 12 2024 | 12 2025 | 12 2026 | 12 2027 | 12 2028 |
|--------|---------|---------|---------|---------|---------|---------|---------|---------|
| Sales | 259.7 | 276.9 | 292.0 | 317.5 | 334.4 | 350.9 | 367.5 | 381.5 |
| Sales growth | 6.6% | 5.4% | 8.7% | 5.3% | 4.9% | 4.7% | 3.8% | |
| EBIT margin | 1.2% | 2.3% | 2.9% | 3.2% | 3.7% | 4.1% | 4.6% | 4.9% |
| EBIT | 3.0 | 6.5 | 8.5 | 10.1 | 12.3 | 14.5 | 16.8 | 18.6 |
| Tax rate | 100.0% | 50.0% | 40.0% | 35.0% | 32.0% | 29.0% | 29.0% | 29.0% |
| Adjusted tax payments | 3.0 | 3.2 | 3.4 | 3.6 | 3.9 | 4.2 | 4.9 | 5.4 |
| NOPAT | 0.0 | 3.2 | 5.1 | 6.6 | 8.3 | 10.3 | 11.9 | 13.2 |
| + Depreciation & Amortisation | 15.7 | 14.9 | 14.9 | 15.6 | 15.1 | 14.6 | 14.1 | 13.8 |
| + Increase long-term accruals | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 | 0.4 |
| + Others | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 |
| Gross operating cash flows | 16.1 | 18.5 | 20.4 | 22.6 | 23.9 | 25.3 | 26.4 | 27.5 |
| - Increase Net Working Capital | -5.2 | -5.5 | -7.6 | -7.6 | -6.0 | -5.6 | -5.1 | -4.6 |
| - Investments in fixed assets | -11.3 | -14.7 | -18.3 | -13.3 | -12.2 | -12.0 | -12.5 | -12.9 |
| Free cash flow | -0.3 | -1.7 | -5.5 | 1.7 | 5.7 | 7.7 | 8.8 | 10.0 |
*SMC estimation model*
company takes over competitors to strengthen its market position, which is not an unlikely option with the entry of Adler Pelzer. However, since we have not factored in any effects from acquisitions, we do not calculate with financing measures for them. The table on the previous page shows the development of the most important cash flow data resulting from these premises in the detailed forecast period until 2028. Further details on the balance sheet, income statement and cash flow statement can be found in the Annex.
**Safety margin 25 percent**
Following the detailed forecast period, we continue to apply a 25 percent safety margin to the target EBIT margin to determine the terminal value and, on this basis, calculate with a "perpetual" cash flow growth of 1 percent.
**Discount rate 7.1 percent**
We discount the free cash flow resulting from these assumptions with unchanged WACC (Weighted Average Cost of Capital) of 7.1 percent using an interest rate on borrowed capital of 7.5 percent. The cost of equity is determined using the Capital Asset Pricing Model (CAPM). Our risk-free interest rate is – at 1.0 percent – the long-term average of the German current yield and for the market risk premium we use the average value for Germany, which is currently 5.8 percent (source: Survey: Market Risk Premium and Risk-Free Rate used for 81 countries in 2020). In combination with a beta of 1.5, this results in a cost of equity of 9.7 percent. With a target capital structure of 60 percent debt and a tax shield with a tax rate of 29 percent, this results in the WACC rate.
**Price target: EUR 11.60 per share**
In our favoured scenario (WACC of 7.1 percent and perpetual growth of 1.0 percent), our assumptions result in a market value of equity of EUR 75.4 m. Converted to 6.5 million shares, this corresponds to EUR 11.60 per share, which we set as a new price target. The increase over our last estimate (EUR 10.60) results from updating the model to the 2020 closing figures and management's forecast. Thus, we currently see a price potential of more than 50 percent.
**Forecast risk reduced**
In addition to the fundamental fair value calculation, we assess the estimation risk on a scale from 1 point (very low) to 6 points (very high). The Covid-19 crisis has caused a temporary increase in estimation uncertainty, but the latest - very positive - economic data suggest that the economy has emancipated itself from the pandemic problems. In principle, the fairly good calculation basis in the form of long-term contracts for series production should now come to the fore again at STS. We therefore reduce the forecast risk from 5 to 4 and thus now see it as only slightly above average (due to the fluctuation intensity of the order take-up figures).
| Sensitivity analysis | Perpetual cash flows growth |
|----------------------|-----------------------------|
| | 2.0% | 1.5% | 1.0% | 0.5% | 0.0% |
| **WACC** | | | | | |
| 6.1% | 20.71| 18.12| 16.04| 14.33| 12.90|
| 6.6% | 17.27| 15.26| 13.61| 12.24| 11.07|
| 7.1% | 14.52| 12.93| 11.60| 10.48| 9.51 |
| 7.6% | 12.27| 10.99| 9.91 | 8.97 | 8.16 |
| 8.1% | 10.40| 9.36 | 8.46 | 7.68 | 6.99 |
**Sensitivity analysis**
For our sensitivity analysis, we have varied the input parameters WACC and perpetual growth. The calculated fair value lies between EUR 6.99 per share in the most restrictive case (WACC of 8.1 percent and perpetual growth of 0 percent) and EUR 20.71 in the most optimistic case.
The Covid-19 year 2020 was very difficult for the automotive industry, which came under heavy pressure, especially in the second quarter. The slump in sales has led to extensive adjustment measures at STS. With a new management board at the helm, the corporate headquarters was streamlined, a number of functions were transferred to the operating subsidiaries, and, above all, the Acoustics division, suffering from poor profitability even before the Covid-19 crisis, was sold. The benefits of these measures were already reaped in the final quarter of 2020 with a significant business recovery. For the entire year, the decline in sales (from continuing operations) was thus contained to 6.2 percent, and the adjusted EBITDA of EUR 17.7 m was even close to the previous year's level.
The company has focused on the larger hard trim business and is targeting the Chinese market for future growth, where it has already established a strong position, as well as the US market, which it plans to tap into with a new plant. Electromobility also promises positive stimuli, as the Group is encountering brisk demand with products such as its own battery cover solution.
The positioning is apparently also considered promising by the Adler Pelzer Group, which has agreed to purchase the 73.3 percent stake in STS from the investment company Mutares at a price of EUR 7.00 per share. However, the transaction is still subject to the approval of the antitrust authorities and Adler Pelzer's financing partners.
Nevertheless, we see these plans as confirming our positive assessment of STS. Although we have not yet factored in the positive effects that may result from the addition of a major shareholder from the industry, we see the fair value of STS at EUR 11.60 per share as significantly above the current price, and also above the price of the transaction, which is likely to be associated with a significant price discount, also due to the still uncertain industry situation.
In view of a price potential of more than 50 percent and a now lower forecast risk, we upgrade the share from "Speculative Buy" to "Buy".
## Annex I: Balance sheet and P&L estimation
### Balance sheet estimation
| m Euro | 12 2020 | 12 2021 | 12 2022 | 12 2023 | 12 2024 | 12 2025 | 12 2026 | 12 2027 | 12 2028 |
|--------|---------|---------|---------|---------|---------|---------|---------|---------|---------|
| **ASSETS** | | | | | | | | | |
| I. Total non-current | 86.2 | 81.8 | 81.6 | 85.0 | 82.7 | 79.8 | 77.2 | 75.6 | 74.7 |
| 1. Intangible assets | 21.0 | 19.7 | 18.7 | 17.8 | 17.1 | 16.4 | 15.9 | 15.5 | 15.1 |
| 2. Tangible assets | 61.2 | 58.1 | 58.9 | 63.2 | 61.7 | 59.4 | 57.3 | 56.1 | 55.6 |
| II. Total current assets | 99.5 | 104.6 | 111.1 | 116.1 | 124.9 | 134.4 | 144.7 | 155.6 | 167.0 |
| **LIABILITIES** | | | | | | | | | |
| I. Equity | 51.1 | 48.8 | 49.5 | 51.9 | 55.6 | 61.3 | 69.0 | 78.7 | 90.4 |
| II. Accruals | 19.4 | 19.8 | 20.3 | 20.7 | 21.2 | 21.6 | 22.0 | 22.5 | 22.9 |
| III. Liabilities | | | | | | | | | |
| 1. Long-term liabilities | 23.1 | 23.1 | 24.3 | 25.9 | 25.4 | 23.8 | 21.6 | 19.1 | 16.1 |
| 2. Short-term liabilities | 92.1 | 94.7 | 98.5 | 102.6 | 105.4 | 107.5 | 109.3 | 110.9 | 112.4 |
| TOTAL | 185.7 | 186.4 | 192.6 | 201.1 | 207.6 | 214.2 | 222.0 | 231.2 | 241.7 |
### P&L estimation
| m Euro | 12 2020 | 12 2021 | 12 2022 | 12 2023 | 12 2024 | 12 2025 | 12 2026 | 12 2027 | 12 2028 |
|--------|---------|---------|---------|---------|---------|---------|---------|---------|---------|
| Sales | 235.0* | 259.7 | 276.9 | 292.0 | 317.5 | 334.4 | 350.9 | 367.5 | 381.5 |
| Total operating revenues | 233.3* | 259.7 | 276.9 | 292.0 | 317.5 | 334.4 | 350.9 | 367.5 | 381.5 |
| Gross profit | 104.3* | 116.9 | 125.2 | 132.3 | 143.8 | 151.5 | 159.0 | 166.5 | 172.8 |
| EBITDA | 14.7* | 18.7 | 21.3 | 23.4 | 25.7 | 27.4 | 29.1 | 30.9 | 32.4 |
| EBIT | -1.4* | 3.0 | 6.5 | 8.5 | 10.1 | 12.3 | 14.5 | 16.8 | 18.6 |
| EBT | -12.9 | 0.5 | 3.9 | 5.9 | 7.4 | 9.5 | 11.9 | 14.3 | 16.4 |
| EAT (before minorities) | -15.9 | -2.3 | 0.8 | 2.3 | 3.7 | 5.7 | 7.7 | 9.7 | 11.6 |
| EAT | -15.9 | -2.3 | 0.8 | 2.3 | 3.7 | 5.7 | 7.7 | 9.7 | 11.6 |
| EPS | -2.60 | -0.36 | 0.12 | 0.36 | 0.57 | 0.88 | 1.19 | 1.50 | 1.79 |
*without the sold Acoustics division
## Annex II: Cash flows estimation and key figures
### Cash flows estimation
| | 12 2020 | 12 2021 | 12 2022 | 12 2023 | 12 2024 | 12 2025 | 12 2026 | 12 2027 | 12 2028 |
|----------------|---------|---------|---------|---------|---------|---------|---------|---------|---------|
| CF operating | -1.6 | 11.2 | 13.2 | 12.8 | 14.9 | 18.1 | 19.8 | 21.6 | 23.6 |
| CF from investments | -23.7 | -11.3 | -14.7 | -18.3 | -13.3 | -12.2 | -12.0 | -12.5 | -12.9 |
| CF financing | 28.1 | -2.6 | -0.4 | 0.0 | -3.6 | -5.7 | -6.6 | -7.1 | -7.7 |
| Liquidity beginning of year | 17.2 | 20.0 | 17.3 | 15.5 | 10.0 | 8.0 | 8.1 | 9.3 | 11.4 |
| Liquidity end of year | 20.0 | 17.3 | 15.5 | 10.0 | 8.0 | 8.1 | 9.3 | 11.4 | 14.4 |
### Key figures
| | 12 2020 | 12 2021 | 12 2022 | 12 2023 | 12 2024 | 12 2025 | 12 2026 | 12 2027 | 12 2028 |
|------------------|---------|---------|---------|---------|---------|---------|---------|---------|---------|
| Sales growth | -6.2%* | 10.5% | 6.6% | 5.4% | 8.7% | 5.3% | 4.9% | 4.7% | 3.8% |
| Gross margin | 44.4%* | 45.0% | 45.2% | 45.3% | 45.3% | 45.3% | 45.3% | 45.3% | 45.3% |
| EBITDA margin | 6.3%* | 7.2% | 7.7% | 8.0% | 8.1% | 8.2% | 8.3% | 8.4% | 8.5% |
| EBIT margin | -0.6%* | 1.2% | 2.3% | 2.9% | 3.2% | 3.7% | 4.1% | 4.6% | 4.9% |
| EBT margin | -5.5% | 0.2% | 1.4% | 2.0% | 2.3% | 2.8% | 3.4% | 3.9% | 4.3% |
| Net margin (after minorities) | -6.8% | -0.9% | 0.3% | 0.8% | 1.2% | 1.7% | 2.2% | 2.6% | 3.0% |
*without the sold Acoustics division
Disclaimer
Editor
sc-consult GmbH
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Responsible analyst
Dipl.-Kfm. Holger Steffen
Charts
The charts were made with Tai-Pan (www.lp-software.de).
Disclaimer
Legal disclosures (§85 of the German Securities Trading Act (WHPG), MAR, Commission Delegated Regulation (EU) 2016/958 supplementing Regulation (EU) No 596/2014)
The company responsible for the preparation of the financial analysis is sc-consult GmbH based in Münster, currently represented by its managing directors Dr. Adam Jakubowski and Holger Steffen, Dipl.-Kfm. The sc-consult GmbH is subject to supervision and regulation by Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht), Lurgiallee 12, D-60439 Frankfurt and Graurheindorfer Strasse 108, D-53117 Bonn.
I) Conflicts of interests
Conflicts of interests, which can arise during the preparation of a financial analysis, are presented in detail below:
1) sc-consult GmbH has prepared this report against payment on behalf of the company
2) sc-consult GmbH has prepared this report against payment on behalf of a third party
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II) Preparation and updating
The present financial analysis was prepared by: Dipl.-Kfm. Holger Steffen
Participants in the preparation of the present financial analysis: -
The present analysis was finished on 20.04.2021 at 8:35 and published on 20.04.2021 at 9:30.
For the preparation of its financial analyses, the sc-consult GmbH uses a five-tier rating scheme with regard to price expectation in the next twelve months. Additionally, estimation risk is quantified on a scale from 1 (low) to 6 (high). The ratings are as follows:
| Rating | Description |
|-----------------|-----------------------------------------------------------------------------|
| Strong Buy | We expect an increase in price for the analysed financial instrument by at least 10 percent. We assess the estimation risk as below average (1 to 2 points). |
| Buy | We expect an increase in price for the analysed financial instrument by at least 10 percent. We assess the estimation risk as average (3 to 4 points). |
| Speculative Buy | We expect an increase in price for the analysed financial instrument by at least 10 percent. We assess the estimation risk as above average (5 to 6 points). |
| Hold | We expect that the price of the analysed financial instrument will remain stable (between -10 and +10 percent). The forecast risk (1 to 6 points) has no further impact on the |
rating. The rating “hold” is also used in cases where we perceive a price potential of more than 10 percent, but explicitly mentioned temporary factors prevent a short-term realization of the price potential.
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In the past 24 months, sc-consult GmbH has published the following financial analyses for the company:
| Date | Rating | Target price | Conflict of interests |
|------------|-----------------|--------------|-----------------------|
| 17.03.2021 | Speculative Buy | 10.60 Euro | 1), 3), 4) |
| 23.11.2020 | Speculative Buy | 7.20 Euro | 1), 3), 4) |
| 10.11.2020 | Speculative Buy | 5.70 Euro | 1), 3), 4) |
| 14.08.2020 | Hold | 4.30 Euro | 1), 3), 4) |
| 14.05.2020 | Speculative Buy | 7.00 Euro | 1), 3), 4) |
| 04.05.2020 | Speculative Buy | 7.00 Euro | 1), 3), 4) |
| 12.03.2020 | Speculative Buy | 7.50 Euro | 1), 3), 4) |
| 13.01.2020 | Speculative Buy | 10.00 Euro | 1), 3), 4) |
| 19.11.2019 | Speculative Buy | 10.00 Euro | 1), 3), 4) |
| 10.10.2019 | Speculative Buy | 10.00 Euro | 1), 3), 4) |
| 14.08.2019 | Speculative Buy | 10.00 Euro | 1), 3), 4) |
| 21.05.2019 | Speculative Buy | 14.10 Euro | 1), 3) |
In the course of the next twelve months, sc-consult GmbH will presumably prepare the following financial analyses for the company: two updates and three comments.
The publishing dates for the financial analyses are not yet fixed at the present moment.
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|
Reconstruction of solar spectral irradiance since the Maunder minimum
N. A. Krivova\textsuperscript{1}, L. E. A. Vieira\textsuperscript{1,2}, and S. K. Solanki\textsuperscript{1,3}
Abstract. Solar irradiance is the main external driver of the Earth’s climate. Whereas the total solar irradiance is the main source of energy input into the climate system, solar UV irradiance exerts control over chemical and physical processes in the Earth’s upper atmosphere. The time series of accurate irradiance measurements are, however, relatively short and limit the assessment of the solar contribution to the climate change. Here we reconstruct solar total and spectral irradiance in the range 115–160 000 nm since 1610. The evolution of the solar photospheric magnetic flux, which is a central input to the model, is appraised from the historical record of the sunspot number using a simple, but consistent physical model. The model predicts an increase of 1.25 W/m$^2$, or about 0.09%, in the 11-yr averaged solar total irradiance since the Maunder minimum. Also, irradiance in individual spectral intervals has generally increased during the last 4 centuries, the magnitude of the trend being higher towards shorter wavelengths. In particular, the 11-yr averaged Ly-$\alpha$ irradiance has increased by almost 50%. An exception is the spectral interval between about 1500 and 2500 nm, where irradiance has slightly decreased (by about 0.02%).
1. Introduction
Various observations suggest that the Earth’s climate has always been changing. Both internal sources and external drivers contribute to this variability. The most recent strong increase of the global surface temperature appears to be rather unusual, however [Solomon et al., 2007]. Although human activity has being widely recognised to be a major contributor, the relative roles of different drivers are still not well understood and need more accurate evaluations.
The solar radiative output is the main external driver of the Earth’s coupled atmospheric and oceanic systems [Hansen, 2000; Haigh, 2001, 2007]. A prime solar quantity for the Earth’s climate is solar irradiance, which is the total solar energy flux at the top of the Earth’s atmosphere. With the advent of coupled chemistry and general circulation models (GCM), the variability of solar spectral irradiance (SSI) is increasingly coming into the focus of attention of climate research due to its importance for the chemistry and dynamics of the Earth’s atmosphere [Haigh, 1994, 2001, 2007; Langematz et al., 2005]. Whereas the total solar irradiance (i.e. the irradiance integrated over the whole spectrum, TSI) changes by about 0.1% between solar activity minimum and maximum [Fröhlich, 2006], the UV emission changes by a few percent at 200–300 nm up to 100% around the Ly-alpha emission line near 121.6 nm [Floyd et al., 2003; Krivova et al., 2006]. The variability in the IR is comparable to or lower than the TSI variation. In the range between about 1500 and 2500 nm, i.e. in the vicinity of the atmospheric water vapour absorption bands, the variation over the solar cycle is even reversed with respect to the TSI cycle [Harder et al., 2009; Krivova et al., 2010].
Unfortunately, the time series of accurate measurements of solar and geophysical parameters prior to the increase of man-made greenhouse gases are relatively short, which limits the assessment of the Sun’s role in present-day climate change relative to contributions of humanity and to other natural drivers. Reconstructions of these parameters prior to the satellite era are therefore needed in order to obtain further insight into the nature of solar influence on the Earth’s climate on longer time scales.
Recent century-scale reconstructions of the total solar irradiance [Foster, 2004; Lockwood, 2005; Wang et al., 2005; Balmaceda et al., 2007; Krivova et al., 2007; Crouch et al., 2008; Steinhilber et al., 2009] suggest that the magnitude of the secular increase in the total irradiance since the Maunder minimum, which was a period of extremely low solar activity observed prior to 1700 [Eddy, 1976], is comparable to the solar cycle variation. In most earlier reconstructions, the secular trend was not derived consistently but was assumed based on solar-stellar comparisons. Such an approach was later criticised and the derived values, between 2 and 8 W/m$^2$, were found to be significantly overestimated [for a discussion, see Krivova et al., 2007].
Reconstructions of solar UV irradiance since the Maunder minimum have earlier been presented by Flüge and Solanki [2000] and by Lean [2000]. Of these, the first one was based on LTE (Local Thermodynamic Equilibrium) calculations of the solar spectrum, whereas the latter was scaled using UARS/SOLSTICE measurements. The LTE approximation gives inaccurate results below approximately 200 nm and in some spectral lines, whereas the long-term uncertainty of SOLSTICE (indeed, of all instruments that measured solar UV irradiance before SORCE) exceeded the solar cycle variation above approximately 250 nm, thus leading to incorrect estimates of the UV irradiance variability at longer wavelengths [see Lean et al., 2005; Krivova et al., 2006]. Furthermore, both reconstructions assumed a higher value of the secular trend than currently accepted, as discussed in the previous paragraph.
In this paper, we present a new reconstruction of solar total and spectral irradiance back to the Maunder minimum. It is based on the SATIRE-T (Spectral And Total Irradiance REstructions for the Telescope era) model developed by Krivova et al. [2007], which is modified and updated here to take into account the latest observational data and theoretical results. These include: the new model of the evolution...
of solar total and open magnetic flux by Vieira and Solanki [2010], the updated reconstruction of the heliospheric magnetic flux by Lockwood et al. [2009], the reconstructed solar UV irradiance since 1947 [Krivova et al., 2009a, 2010] and the facular contribution to the TSI variations since 1974 [Wenzler, 2005]. Spectral irradiance below 270 nm is calculated following Krivova et al. [2006] and Krivova et al. [2009a].
The model is described in Sect. 2. The model is validated by computing its output with observed or reconstructed data in Sect. 3. The reconstruction of solar total and spectral irradiance since 1610 is presented in Sect. 4. Section 5 then summarises the results.
2. Model
2.1. SATIRE-T
The current model is a development of the SATIRE-Ts model presented by Krivova et al. [2007]. The SATIRE-Ts models [Solanki et al., 2005; Krivova et al., 2010] start from the fundamental assumption that all irradiance variations on time scales longer than a day are caused by the evolution of the solar photospheric magnetic field. This assumption is well supported by the excellent agreement ($r^2 > 0.9$) between the calculated irradiance variations and satellite measurements [Krivova et al., 2003; Wenzler et al., 2006]. Visible manifestations of the magnetic field in the solar photosphere are dark sunspots, bright faculae and the bright network, and they modulate solar brightness. Thus solar irradiance, $F(\lambda, t)$, i.e. the solar radiative flux, at the wavelength $\lambda$ and the point $t$ in time can be calculated as follows:
$$F(\lambda, t) = \alpha_q(t) F_q(\lambda) + \alpha_u(t) F_u(\lambda) + \alpha_p(t) F_p(\lambda) + [\alpha_f(t) + \alpha_n(t)] F_f(\lambda). \quad (1)$$
Here indices q, u, p, f, n denote different components of the solar photosphere, namely, the quiet Sun (i.e. solar surface essentially free of magnetic field), sunspot umbra, penumbra, as well as faculae and the network, $F_i(\lambda)$ (i = q, u, p, f, n); $F_i$ is the time-independent flux of each component at a given wavelength and $\alpha_i(t)$ is the corresponding filling factor at a given time. The spectrum of each component, $F_i(\lambda)$, i.e. the flux one would obtain if the whole solar surface were covered by component i, was calculated by Unruh et al. [1999] using the ATLAS9 code of Kurucz [1993, 2005] from semi-empirical model atmospheres. The same model atmosphere is used here to describe both faculae and the network, i.e. $F_f = F_n$.
Solar irradiance varies with time because the amount and the distribution of different brightness features (sunspots, faculae and the network) are steadily changing. This is represented by the so-called filling factors in the model, $\alpha_i(t)$. They describe which fraction of the solar surface is covered by each of the photospheric components at a given time. Their assessment is relatively straightforward for the period, when direct measurements of the solar magnetic fields (magnetograms) are available. Data of sufficient quality go back to 1974 only [see Wenzler et al., 2006]. At earlier times no or only lower quality data are available, and the filling factors need to be estimated in a different way. In particular, information on the spatial distribution of the photospheric structures is typically not available for the earlier times. Therefore Eq. (1) assumes their homogeneous spatial distribution.
2.2. Evolution of the photospheric magnetic flux
Krivova et al. [2007] have used the coarse physical model of the evolution of the solar photospheric magnetic flux by Solanki et al. [2000, 2002] to compute the filling factors. In this model, all magnetic features on the solar surface are subdivided into active (AR; large bipolar regions emerging in the activity belts and living for up to several weeks) and ephemeral (ER; smaller, short-lived structures emerging at all latitudes) regions. The flux emergence rate in AR and ER is estimated from the historical record of the sunspot number, $R_g$, as discussed below. Part of the magnetic flux emerging in AR and ER is dragged away from the Sun by the solar wind plasma and reaches far into the heliosphere. This open magnetic flux can survive for several years on the solar surface, since it is often located in large regions with a dominant magnetic polarity. However, some of the flux stays ‘open’ for a much shorter time, one to several solar rotations [Ilyasov and Ivanov, 1999; Crammer, 2002]. These are possibly smaller, short-lived coronal holes usually associated with a decaying active region. This rapidly decaying open flux component was not taken into account in the original model by Solanki et al. [2000, 2002]. Vieira and Solanki [2010] have shown, however, that its inclusion significantly improves the agreement between the modelled open flux and its reconstruction based on the aa-index.
Thus, 4 coupled ordinary differential equations describe the evolution of the AR ($\phi_{act}$), ER ($\phi_{eph}$) and of the slow ($\phi_{open}^s$) and rapidly ($\phi_{open}^r$) decaying open flux components [for details, see Vieira and Solanki, 2010] with time, $t$:
$$\frac{d\phi_{act}}{dt} = \varepsilon_{act}(t) - \frac{\phi_{act}}{\tau_{act}} - \frac{\phi_{act}^s}{\tau_{act}^s} - \frac{\phi_{act}^r}{\tau_{act}^r}, \quad (2)$$
$$\frac{d\phi_{eph}}{dt} = \varepsilon_{eph}(t) - \frac{\phi_{eph}}{\tau_{eph}} - \frac{\phi_{eph}^s}{\tau_{eph}^s}, \quad (3)$$
$$\frac{d\phi_{open}^s}{dt} = \frac{\phi_{act}}{\tau_{act}^s} + \frac{\phi_{eph}}{\tau_{eph}^s} - \frac{\phi_{open}^s}{\tau_{open}^s}, \quad (4)$$
$$\frac{d\phi_{open}^r}{dt} = \frac{\phi_{act}^r}{\tau_{act}^r} - \frac{\phi_{open}^r}{\tau_{open}^r}. \quad (5)$$
Note, that in the earlier version of the model [Solanki et al., 2002; Krivova et al., 2007] only 3 equations were considered, without distinguishing between the slow and rapid components of the open flux. The sum of all magnetic field components represents the total photospheric magnetic flux, $\phi_{tot}$:
$$\phi_{tot} = \phi_{act} + \phi_{eph} + \phi_{open}^s + \phi_{open}^r. \quad (6)$$
In Eqs. (2–5), $\tau_{act}$, $\tau_{eph}$, $\tau_{open}^s$ and $\tau_{open}^r$ are the decay time scales for AR, ER, slow and rapid components of the open flux, respectively, whereas $\tau_{act}^s$, $\tau_{eph}^s$ and $\tau_{act}^r$ are the flux transfer times from active and ephemeral regions to the slow and rapid open magnetic flux. Of these 7 parameters, $\tau_{eph}$ is fixed to 14 h (or 0.0016 yr) according to observations by Hagenaar [2001]. All other are left free within the limits provided by appropriate observations, as discussed by Krivova et al. [2007] and Vieira and Solanki [2010] (see also Table 1).
The flux emergence rates of AR, $\varepsilon_{act}$, and ER, $\varepsilon_{eph}$, which are the main inputs to the model, are calculated from the historical group sunspot number, $R_g$ [Hoyt and Schatten, 1993]. The emergence rate in active regions, $\varepsilon_{act}$, is taken to be linearly proportional to the sunspot number and is scaled according to the observations of Schrijver and Harvey [1994] for cycle 21. ER cycle is extended with respect to the AR cycle [see, e.g., Harvey, 1992, 1993, 1994], and its length and amplitude are assumed to be related to the properties of the corresponding sunspot cycle. The latter is justified if ER are produced by the same dynamo mechanism as the AR. This introduces 2 additional free parameters into the model: the scaling factor $X$ between the emergence rates of ER, $\varepsilon_{eph}$, and AR, $\varepsilon_{act}$, and the ER cycle length extension parameter,
2.3. Filling factors
After the magnetic flux is calculated as described above, the filling factors $\alpha_i$ needed to calculate solar irradiance (see Eq. 1) can be derived.
The filling factors for sunspots are calculated directly from the sunspot areas since 1874 [Balmaceda et al., 2009]. Before 1874 a correlation analysis between sunspot areas and numbers is first carried out in order to compute sunspot areas for that earlier period. Following Krivova et al. [2007], we employ a fixed ratio between umbral and penumbral areas, $\alpha_u / (\alpha_u + \alpha_p) = 0.2$ [Brandt et al., 1990; Solanki, 2003; Wenzler, 2005].
The filling factors of faculae and the network are calculated from the corresponding modelled magnetic fluxes. The sum of the ER and open magnetic fluxes represents the evolution of the network: $\phi_n = \phi_{\text{eph}} + \phi_{\text{open}}$. Facular magnetic flux, $\phi_f$, is derived from the AR magnetic flux after subtraction of the magnetic flux of sunspots: $\phi_f = \phi_{\text{act}} - \phi_s$. The latter, $\phi_s$, is the product of sunspot area and the mean magnetic field strength in sunspots [see Krivova et al., 2007]. In order to convert magnetic fluxes into filling factors we apply the same scheme as in all SATIRE models [e.g., Krivova et al., 2003; Wenzler et al., 2006; Krivova et al., 2007]; the filling factors $\alpha_f$ and $\alpha_n$ are proportional to the corresponding magnetic fluxes, $\phi_f$ and $\phi_n$, until a saturation limit, $\phi_{\text{sat},f}$ and $\phi_{\text{sat},n}$, is reached. Above the corresponding saturation limits $\alpha_f = 1$ and $\alpha_n = 1$. The value of $\phi_{\text{sat},n}$ is fixed to 800 G, in agreement with the results obtained for the model based on magnetograms [Krivova et al., 2007]. Note that these 800 G correspond to the value of 500 G employed by Krivova et al. [2007] for the newer calibration of the MDI magnetograms [Tran et al., 2005] (Krivova et al. still employed the older calibration). The saturation limit for faculae, $\phi_{\text{sat},f}$, is left free.
Finally, the area not covered by photospheric magnetic structures (sunspots, faculae and network elements) is considered to be the quiet Sun: $\alpha_q = 1 - \alpha_u - \alpha_p - \alpha_f - \alpha_n$.
2.4. Parameters and optimisation
Our model thus has 9 free parameters, summarised in Table 1, i.e. one more than in the magnetic flux model by Vieira and Solanki [2010]. The additional parameter $\phi_{\text{sat},f}$ is the only one, which is directly related to the irradiance reconstructions (as in all SATIRE models), i.e. to the conversion of the magnetic flux into irradiance. In order to constrain the free parameters as tightly as possible, we compare the model results with different sets of available observational data or with other models, i.e. we require that the modelled time series simultaneously match as well as possible 5 distinct related independent records.
Following Vieira and Solanki [2010], the modelled total magnetic flux is confronted with the measurements carried out at the Mt. Wilson Solar Observatory (MWO), National Solar Observatory Kitt Peak (KP NSO) and Wilcox Solar Observatory (WSO) over cycles 20–23 [Arge et al., 2002; Wang et al., 2005]. The calculated open magnetic flux is compared to the reconstruction by Lockwood et al. [2009] since 1904. Following Krivova et al. [2007], we also require the computed TSI variations to match the PMOD composite of space-based measurements since 1978 [Fröhlich, 2005, 2008, version d41_62_0906].
Here we have also added 2 new records to constrain the model further. These are (i) the facular contribution to the TSI variations over 1978–2003, computed by Wenzler [2005] with the SATIRE-S model from KP NSO magnetograms and continuum images, and (ii) the solar irradiance flux integrated over wavelengths 220–240 nm over the period 1947–2006 as reconstructed by Krivova et al. [2009a] and Krivova et al. [2010] using solar F10.7 cm radio flux (before 1974) and KP NSO as well as MDI magnetograms and continuum images (after 1974). The two new sets serve, firstly, to provide further constraints on the model and the values of the free parameters. Secondly, they ensure that not only the total (integrated over all wavelengths) irradiance is reproduced correctly but also its spectral distribution. The contribution of the UV wavelengths to the total irradiance is relatively weak [less than 8% for all wavelengths below 400 nm Krivova et al., 2006], and thus errors in its calculation are not necessarily evident in the TSI. Also, since faculae dominate irradiance variations in the UV [e.g., Unruh et al., 2008], it is crucial that their evolution is modelled properly. Thus although we now have one free parameter more than in the model by Vieira and Solanki [2010], the model is required to reproduce 3 additional independent records and is therefore better constrained.
Following Krivova et al. [2007] and Vieira and Solanki [2010], we utilise the PIKAIA optimisation routine [Charbonneau, 1995, http://www.hao.ucar.edu] in order to minimise the mean of the $\chi^2$ values (weighted by the degrees of freedom) between the 5 modelled and the corresponding measured (or independently reconstructed) time series. Further details are given in previous papers [Krivova et al., 2007; Vieira and Solanki, 2010].
3. Validation of the model
Here we first consider how well our model agrees with the 5 independent times series used to constrain the model parameters, as outlined in Sect. 2. The best estimates of the
Table 1. [ ]Parameters of the model providing the best fit to the 5 considered data sets and their allowed ranges. Times are given in years.
| Parameter | Notation | Value | Min | Max |
|----------------------------------|----------|-------|-----|-----|
| AR decay time | $\tau_{\text{act}}$ | 0.30 | 0.2 | 0.8 |
| ER decay time | $\tau_{\text{eph}}$ | 0.0016 | fixed | |
| Slow OF decay time | $\tau_{\text{open}}^s$ | 2.97 | 0.0016 | 6.0 |
| Rapid OF decay time | $\tau_{\text{open}}^r$ | 0.16 | 0.08 | 0.36 |
| AR to slow OF transfer time | $\tau_{\text{act}}^s$ | 71.2 | 10 | 90 |
| AR to rapid OF transfer time | $\tau_{\text{act}}^r$ | 2.1 | 0.0016 | 3.0 |
| ER to slow OF transfer time | $\tau_{\text{eph}}^s$ | 17.8 | 10 | 90 |
| ER cycle amplitude factor | $X$ | 78 | 70 | 150 |
| ER cycle extension | $c_X$ | 5.01 | 5 | 9 |
| Saturation flux in faculae, G | $\phi_{\text{sat},f}$ | 156.1 | 50 | 850 |
| Saturation flux in network, G | $\phi_{\text{sat},n}$ | 800 | fixed | |
Table 2. [ ] Parameters quantifying the quality of fits between the modelled and corresponding independent time series. Listed are: quantity that has been compared, time scale, on which the comparison was performed, the correlation coefficient, $R_c$, the slope of the linear regression, $\chi^2$ between the time series under examination, $\chi^2$ obtained by Vieira and Solanki [2010] if available ($\chi^2$-VS10).
| Quantity | $t$ scale | $R_c$ | Slope | $\chi^2$ | $\chi^2$-VS10 |
|---------------------------------|-----------|-------|-------|-----------|---------------|
| Total magnetic flux | 1 CR* | 0.93 | 1.06±0.01 | 0.069 | 0.065 |
| Open magnetic flux | 1 yr | 0.86 | 0.84±0.05 | 0.248 | 0.222 |
| TSI | 1 day | 0.81 | 0.76±0.01 | 0.233 | – |
| Fac. contr. to TSI var. | 3 months | 0.94 | 0.94±0.004 | 0.064 | – |
| UV flux (220–240 nm) | 3 months | 0.94 | 0.99±0.003 | 0.072 | – |
*CR = Carrington rotation
free parameters are listed in Table 1. Figure 1a shows the total magnetic flux between 1967 and 2007 (solid line). The total flux displayed there is calculated as $\phi_{\text{act}} + 0.3 \phi_{\text{eph}} + \phi_{\text{open}}$. The factor 0.3 for the ER component takes into account the finding of Krivova and Solanki [2004] that more than half of the ER magnetic flux remains undetected in the harnessed synoptic charts due to insufficient spatial resolution. Also plotted are the measurements by KP NSO (squares), MWO (diamonds) and WSO (triangles). Each data point is an integral over a synoptic chart for one Carrington rotation. Note that for the optimisation only the period between 1974 and 2002 is used, when all 3 observatories performed observations. The model is plotted against the measurements in Fig. 1b. The solid line in this panel represents the linear regression fit to the data, with a slope of 1.06, whereas the dashed line depicts the ideal fit (with a slope of 1). The correlation coefficient between the model and the observations is $R_c = 0.93$.
The results for the open magnetic flux are displayed in Fig. 2: panel a shows the time series of the modelled open flux since 1900 and of the independent reconstruction by Lockwood et al. [2009] from the geomagnetic aa-index, whereas panel b confronts one with the other directly. The correlation coefficient between the two is 0.86.
Another test of the calculated open flux is offered by its comparison with the cosmogenic isotope data. Their production rate depends on the galactic cosmic ray flux, which is modulated by the solar open magnetic flux. Usoskin et al. [2006] have, in particular, demonstrated that being independent of terrestrial processes, the activity of cosmogenic isotope $^{44}$Ti in meteorites represents a good proxy of secular variations of solar open magnetic flux. The activity of the cosmogenic isotope $^{44}$Ti calculated from our reconstructed open flux (Usoskin 2010, priv. comm.) is found to be in good agreement with the measurements.
Figure 3 displays changes in the TSI over cycles 21–25. The model is represented by the grey dotted line, the PMOD composite of measurements [Fröhlich, 2005, 2006, 2008] by the black solid line. The correlation coefficient between the daily time series is 0.81, which is slightly higher than in the previous version of the model [0.79, Krivova et al., 2007]. As discussed by Vieira and Solanki [2010], due to the extended length of the ER cycle, around activity minima both the preceding and following cycles contribute to the magnetic flux (and thus irradiance). Since the features of the next cycle (24) are not yet known and we wanted to avoid any speculations, we neglected this cycle and did not take the declining phase of cycle 23 into account in the optimisation. The missing cycle 24 leads to obviously too low values of TSI for the current minimum. Thus irradiance values after around 2005 are unreliable. For this reason also, the current model cannot be used to test the claim of Fröhlich [2009]: that the lower level of the TSI during the current minimum compared to the previous one is of non-magnetic origin. This question will be addressed separately in a forthcoming paper (Vieira et al., in prep.), where the unknown strength and length of cycle 24 are introduced into the model as additional free parameters, leading to a good agreement also with TSI values of the current minimum.
Another feature of the model is that the true shape of the cycle cannot be reproduced with high precision. The reason is the lack of detailed information on the emergence rate of the magnetic flux in bright magnetic features (faculae and the network) responsible for the Sun’s brightening during activity maxima. In the model they are assumed to be related to the evolution of sunspots, which is a reasonable assumption on time scales of multiple months and longer, but does not necessarily hold on time scales of days to months (see paper by Preminger and Walton [2005] showing that spots and faculae are offset in time relative to each other). Thus the evolution of the facular and network components cannot be recovered on a daily basis. Note that the dips in the irradiance, which are caused by sunspots, are still well replicated since they are described by real sunspot area observations. Thus caution should be exercised when using this model for analysis of irradiance trends on time scales of several weeks to about a year or two [cf. Krivova et al., 2009b]. This peculiarity is also seen in panel b of Fig. 3, where the difference between the model and the PMOD composite of measurements is plotted. For the reasons mentioned above, we do not plot the period after 2005. Although when averaged over the whole period this difference is clustered around 0 with no evident long-term trend, the difference shows some systematic trends during a cycle. Thus both the rise and the decline in the modelled irradiance are typically slightly delayed compared to the observations, i.e. the cycles are more symmetric in the model than in reality. This systematic difference in the cycle shape also leads to the relatively low value of the linear regression slope between the modelled and observed TSI (Table 2).
Since the main goal of this work is a reconstruction of the solar spectral irradiance over the last 4 centuries, it is important to validate the model against data, which are particularly sensitive to the correct representation of the solar spectral energy distribution, in particular in the UV. We found 2 such sets: the facular contribution to the TSI variations deduced by Wenzler [2005] from the KP NSO magnetograms and continuum images and solar irradiance integrated over the wavelength range 220–240 nm calculated by Krivova et al. [2009a, 2010] from the solar F10.7 cm radio flux (before 1974, proxy model) and NSO KP and MDI magnetograms and continuum images (after 1974, SATIRE-S). For the period since 1996 the values computed by Krivova et al. [2009a, 2010] are in excellent agreement with SUSIM measurements. Hence the quantities we are comparing to are finally anchored in measurements.
The modelled facular contribution to the TSI variability and the 220–240 nm radiative flux are shown and compared to the corresponding independent series in Figs. 4 and 5, respectively. As discussed above, our model is not expected to give accurate results for facular and network evolution (and thus also UV irradiance) on time scales shorter than a few months. Therefore the comparison (as well as the optimisation) was performed for these two records after smoothing over 3 months.
Figures 4a and 5a show the time series, both modelled here (solid lines) and deduced previously by independent means (dashed lines). Figures 4b and 5b compare each of the sets with the appropriate independent record. The correlation coefficients are 0.94 in both cases.
Table 2 summarises the main quantities reflecting the agreement between the modelled time series and the corresponding measurements or independent reconstructions. Listed are the shortest time scales, on which the data were compared (the longest time scale corresponds to the length of the observed data set), the correlation coefficients, slopes of the linear regressions and $\chi^2$ values. For the total and open magnetic flux, also the $\chi^2$ values obtained for the model by Vieira and Solanki [2010] are indicated. They are slightly lower than the values obtained here, which is not surprising. As mentioned by Vieira and Solanki [2010], the set of parameters obtained by them is not unique and similarly good fits can be reached with somewhat different values. This is partly because some of the parameters are not absolutely independent and have similar effects on the results. Since here we required the model to fit 3 additional data sets, this constrains the free parameters further, and thus it is not unexpected that fits to the individual data sets can be somewhat worse. In fact, it is rather encouraging that we still obtain fits of essentially the same quality
$\chi^2 = 0.069$ and $0.248$ compared to $0.065$ and $0.222$ from Vieira and Solanki 2010 for the total and open flux, respectively; Table 2). Further discussion on the magnetic flux evolution, including contributions of different components (AR, ER and open flux) can be found in the paper by Vieira and Solanki [2010].
Yet another test of the quality of the model is offered by a comparison of the reconstructed solar irradiance in Ly-$\alpha$ line with available measurements and a proxy model. Since this quantity was not taken into account in the optimisation and a comparison was carried out a posteriori, this is discussed in the next section.
4. Irradiance reconstruction
4.1. Total Solar Irradiance
Figure 6 shows the reconstructed TSI since 1610. Thin solid line represents daily values and the thick line the values after 11-yr smoothing. Also shown are the measurements available since 1978 (grey dots). Between the end of the 17th century (i.e. the end of the Maunder minimum) and the end of the 20th centuries (represented as an average over 1975–2005), the TSI has increased by 1.25 W/m$^2$, or about 0.09%. This is in a good agreement with the earlier estimate by Balme et al. [2007] and Krivova et al. [2007], who obtained a value of 1.3 W/m$^2$. This good agreement of the new version of the model presented here, which involves a more accurate representation of the open magnetic flux evolution and uses 2 additional data sets (facular contribution to the TSI variation and irradiance at 220–240 nm) to constrain model’s free parameters, is an encouraging result.
This suggests that the model is rather tolerant to some unavoidable assumptions and uncertainty in the values of the free parameters (see also discussion of errors in Vieira and Solanki [2010]). Even for two extreme assumptions time-independent ER flux and ER cycles being in antiphase with AR cycles, Krivova et al. [2007] obtained values of about 1.5 W/m$^2$ and 0.9 W/m$^2$ for the increase since the Maunder minimum, respectively. All these values thus lie within a rather tightly confined range, also consistent with the results obtained by other methods [e.g., Foster, 2004; Lockwood, 2005; Wang et al., 2005; Crouch et al., 2008; Steinhilber et al., 2009].
4.2. Solar Spectral Irradiance
By design, SATIRE models allow reconstruction of both total and spectral solar irradiance (see Sect. 2.1 and Eq. (1)). However, since the LTE (Local Thermodynamic Equilibrium) approximation is involved in calculations of brightness spectra of different surface features (Sect. 2.1) from the appropriate model atmospheres [see also Unruh et al., 1999], which is expected to fail in the UV, the irradiance below about 200 nm and in some stronger lines above 200 nm is not reliable.
Krivova et al. [2006, 2009a] have found that, despite the LTE approximation, SATIRE models work well in the spectral range 220 to 240 nm, as well as at the wavelengths above approximately 270 nm. In order to extend the model to other wavelengths below 270 nm, which are of special interest for climate studies, they worked out a technique, which makes use of the available measurements of solar irradiance in the UV by the UARS/SUSIM instrument. Empirical relationships have been constructed between the irradiance in the range 220–240 nm and irradiances at other wavelengths between 115 and 270 nm. Thus whenever irradiance at 220–240 is available, it is also possible to reconstruct irradiance over the whole range 115–270 nm. We have here applied this technique in order to also calculate the spectral irradiance over the range 115–270 nm.
The quality of this reconstruction can be judged from a comparison of the modelled irradiance in Ly-$\alpha$ line with available measurements by UARS/SUSIM between 1991 and 2005 and a composite time series compiled by Woods et al. [2000]. The composite comprises the measurements from the Atmospheric Explorer E (AE-E, 1977–1980), the Solar Mesosphere Explorer (SME, 1981–1989), UARS SOLSTICE (1991–2001), and the Solar EUV Experiment (SEE) on TIMED (Thermosphere, Ionosphere, Mesosphere Energetics and Dynamic Mission launched in 2001). The gaps are filled in using proxy models based on Mg core-to-wing and F10.7 indices, and the F10.7 model is also used to extrapolate the data set back in time. All 3 series are plotted in Fig. 7, with panels a and b showing daily and 3-month smoothed data, respectively. The model is represented by the red line, SUSIM data by green, and the composite record by the blue line. As in the case of the TSI, due to the missing ephemeral regions from cycle 24, the model gives too low Ly-$\alpha$ irradiance values from roughly 2005 onwards, so that we stop comparing its output with the data around then. By the model design, the magnitude of the solar cycle variation agrees better with the SUSIM data than with the composite [see Krivova et al., 2009a]. The correlation coefficients are 0.85 between the daily-sampled model and the SUSIM data and 0.89 between the model and the composite record. For the 3-month smoothed records, the correlation between the model and the composite by Woods et al. [2000] is 0.95. Note, however, that as discussed in Sect. 3, the shape of the cycles cannot be reproduced very accurately by the model design, so that times of activity minima and maxima may differ from the real ones by about a year or two. A complete Ly-$\alpha$ time series since 1610 is displayed in Fig. 8. Averaged over 11 years, Ly-$\alpha$ irradiance has increased by almost 50% since the end of the Maunder minimum.
Figure 9 shows the reconstructed irradiance integrated over some spectral ranges of particular interest for climate studies: Schumann-Runge oxygen continuum, 130–175 nm (a), Schumann-Runge oxygen bands, 175–200 nm (b), Herzberg oxygen continuum, 200–242 nm (c), Hartley-Huggins bands, 200–350 nm (d) and 2 IR intervals containing water vapour absorption bands, 800–1500 nm (e) and 1500–2500 nm (f). The variability is significantly stronger at shorter wavelengths, as previously found for solar cycle time scales [Floyd et al., 2003; Krivova et al., 2009a, 2010], and in the range between around 1500–2500 nm it is reversed compared to other wavelengths. The inverse solar cycle variability in this range has previously been noticed by Harder et al. [2009] based on SORCE/SIM observations in cycle 23 and by Krivova et al. [2010] based on the SATIRE-S model results. This is explained by the low or even negative contrast of faculae at these wavelengths [Unruh et al., 2008], so that their brightening (if any) no longer compensates the darkening due to sunspots. The increased amount of the facular and ER surface coverage since the Maunder minimum (as a result of the increase in the corresponding magnetic fluxes — see Vieira and Solanki [2010]), thus also leads to an overall increase (of the order of 0.02%) in the irradiance at 1500–2500 nm.
The complete time series of the reconstructed spectral and total irradiance are available from http://www.mps.mpg.de/~projects/sun-climate/data.html.
5. Summary
Solar irradiance has long been recognised as an important climate driver [Hansen, 2000; Haigh, 2001, 2007]. Nonetheless the main processes through which the Sun affects global climate remain uncertain. Whereas the total solar irradiance is the main external source of energy entering the Earth’s climate system, solar UV irradiance governs chemical and physical processes in the Earth’s upper atmosphere.
Accurate assessment of the solar forcing on the Earth’s climate is partly hampered by a shortage of reliable and sufficiently long irradiance records. Although significant attention has been paid in recent years to reconstructions of solar total irradiance, long-term reconstructions of solar spectral irradiance [Fligge and Solanki, 2000; Lean, 2000] suffered from the fact that they estimated the magnitude of the long-term trend from stellar data that have in the meantime been refuted. The SATIRE set of models [Solanki et al., 2005; Krivova et al., 2010] provides a tool to reconstruct solar total and spectral irradiance. However, since the LTE approximation underlies the computations of the brightness spectra of different photospheric components, the original version of the model fails in the UV. Although it contributes little to the total irradiance (such that the modelled TSI is nevertheless quite accurate), this wavelength range on its own is of special interest for climate research due to its important influence on the chemistry and dynamics of the Earth’s atmosphere [Haigh, 1994, 2007; Langematz et al., 2005].
The most recent empirical extension of the SATIRE models to shorter wavelengths [Krivova et al., 2006, 2009a] makes it possible to reconstruct solar spectral irradiance over a broad spectral range between 115 nm and 160 μm. Here we combined this empirical technique with the SATIRE-T model previously used by Balmaceda et al. [2004] and Krivova et al. [2007] to reconstruct solar total irradiance since the Maunder minimum. In the SATIRE-T model, the sunspot number and, whenever available, sunspot areas are used in order to reconstruct the evolution of the solar surface magnetic field following Solanki et al. [2000, 2002], which is then converted into irradiance. Recently, the physical model of the solar photospheric magnetic field was reconsidered and updated by Vieira and Solanki [2010], so that it now provides an even better agreement with the independent open flux reconstruction from the geomagnetic aa-index [Lockwood et al., 2009].
We have used this improvement to firstly update the reconstruction of the TSI since 1610. The new reconstruction shows a slightly better agreement with the PMOD composite of TSI measurements (with a linear correlation coefficient of 0.81 compared to 0.79) than the earlier version, although the two versions are still consistent with each other. We now find a value of about 1.25 W/m² as our best estimate for the 11-yr averaged increase in the TSI between the end of the Maunder minimum and the end of the 20th century, compared to 1.3 W/m² derived by Balmaceda et al. [2007] and Krivova et al. [2007].
We have then combined the SATIRE-T model with the empirical extension of the model to shorter wavelengths and calculated solar spectral irradiance for the last 400 years over the spectral range 115 nm to 160 μm. We required the model to fit 2 additional independent time series, namely the factual contribution to the TSI variation and the solar UV flux over the range 220–240 nm as derived with the SATIRE-S model based on KP NSO and MDI magnetograms and continuum images [Wenzler, 2005; Wenzler et al., 2006; Krivova et al., 2009a, 2010]. This allowed better constraints to be set on the model’s free parameter and put a special emphasis on the correct replication of the spectral distribution of the irradiance.
Thus the main result of this work is a reconstruction of solar total and spectral irradiance over a broad range between 115 nm and 160 μm since 1610. This fully covers the range of interest for the state-of-the-art climate models. The data set is available online from http://www.mps.mpg.de/projects/sun-climate/data.html.
Acknowledgments. The composite Lyman α time series was retrieved from the LASP ftp server (laspftp.colorado.edu). This work was supported by the Deutsche Forschungsgemeinschaft, DFG project number SO 711/1-2 and by the WCU grant No. R31-10016 funded by the Korean Ministry of Education, Science and Technology. We thank the International Space Science Institute (Bern) for hosting the meetings of the international team on “Interpretation and modelling of SSI measurements”. L.E.A.V. acknowledges support by the European Commission’s Seventh Framework Programme (FP7/2007-2013; grant number 218816).
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Figure 1. **a**: Measured (symbols) and modelled (solid line) total magnetic flux since 1967. Each data point is an integral over a synoptic chart of one Carrington rotation. Different symbols are used for different data sets: KP NSO (squares), MWO (diamonds) and WSO (triangles). For the modelled flux, the value $\phi_{\text{act}} + 0.3\phi_{\text{eph}} + \phi_{\text{open}}$ is given. **b**: Measured total magnetic flux vs. modelled. The solid line represents the linear regression fit ($R_c = 0.93$, slope is 1.06), the dashed line the expectation values, i.e. an ideal fit (with a slope of 1).
N. A. Krivova, Max-Planck-Institut für Sonnensystemforschung, Max-Planck-Str. 2, 37191 Katlenburg-Lindau, Germany (firstname.lastname@example.org)
L. E. A. Vieira, Laboratory for Physics and Chemistry of the Terrestrial Environment/CNRS, Orleans, France
S. K. Solanki, Max-Planck-Institut für Sonnensystemforschung, Max-Planck-Str. 2, 37191 Katlenburg-Lindau, Germany
Figure 2. **a**: Evolution of the modelled (yearly averages; solid line) open magnetic flux since 1900 compared to the reconstruction by Lockwood et al. [2009] since 1904 based on the geomagnetic aa-index (dotted line). **b**: Open magnetic flux from Lockwood et al. [2009] vs. modelled. The solid line represents the linear regression fit ($R_e = 0.86$, slope is 0.84), the dashed line the ideal fit.
Figure 3. **a**: Modelled (grey dotted line) and measured (PMOD composite, black solid line) daily total solar irradiance over cycles 21–23. **b**: Difference between the modelled and measured (PMOD composite) TSI. Dots represent daily values, the solid line the values smoothed over 1 year.
Figure 4. **a**: Facular contribution to the TSI variation calculated in this work (solid line) and using KP NSO magnetograms and continuum images [SATIRE-S, dashed line; Wenzler et al., 2006]. Plotted are the 3-months running means of the variation around mean values. **b**: Facular contribution to the TSI from the SATIRE-S model vs. the one calculated here. The solid line represents the linear regression fit ($R_c = 0.94$, slope is 0.94), the dashed line the ideal fit.
Figure 5. **a**: Solar radiative flux integrated over the wavelength range 220–240 nm (3-months running means). The dashed line shows the SATIRE-S reconstruction based on the solar F10.7 radio flux (before 1974) as well as on the KP NSO and MDI magnetograms and continuum images [Krivova et al., 2009a, 2010]. The solid line shows the model presented here. **b**: Solar 220–240 nm flux from the independent SATIRE-S reconstruction vs. the model presented here. The solid line represents the linear regression fit ($R_c = 0.94$, slope is 0.99), the dashed line the ideal fit.
Figure 6. Reconstructed solar total irradiance since 1610 (thin black line). Also shown are the 11-yr smoothed TSI (thick solid line) and PMOD composite of measurements since 1978 (grey dots).
Figure 7. **a:** Daily reconstructed irradiance in Ly-$\alpha$ (red line) since 1947. Also shown are SUSIM measurements (green) and the composite (blue) of measurements and proxy models by Woods et al. [2000]. The correlation coefficients are 0.85 and 0.89 between the model and the SUSIM data and between the model and the composite, respectively. **b:** Same as panel a, but for 3-months running means.
Figure 8. Reconstructed solar irradiance in Ly-$\alpha$: daily (thin solid line) and smoothed over 11 years (thick line).
Figure 9. Reconstructed solar irradiance in selected spectral intervals of special interest for climate models: daily (thin lines) and smoothed over 11 years (thick lines). **a**: Schumann-Runge oxygen continuum; **b**: Schumann-Runge oxygen bands; **c**: Herzberg oxygen continuum; **d**: Hartley-Huggins ozone bands; **e** and **f**: water vapour infrared bands. The exact wavelength ranges are indicated in each panel.
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Distribution Agreement
In presenting this thesis or dissertation as a partial fulfillment of the requirements for an advanced degree from Emory University, I hereby grant to Emory University and its agents the non-exclusive license to archive, make accessible, and display my thesis or dissertation in whole or in part in all forms of media, now or hereafter known, including display on the world-wide web. I understand that I may select some access restrictions as part of the online submission of this thesis or dissertation. I retain all ownership rights to the copyright of the thesis or dissertation. I also retain the right to use in future works (such as articles or books) all or part of this thesis or dissertation.
_________________________________________ _______________________
Emilia Ilieva-Hughes Date
The Tuberculin Skin Test:
Within-Subject Variability, Boosting, and Comparison with the QuantiFERON-TB Gold In-Tube Test
By
Emilia Ilieva-Hughes
Degree to be Awarded: Master of Public Health
Program: Executive MPH Program
______________________________________
Andrew Voetsch, PhD
Thesis Committee Chair
______________________________________
Gerald Mazurek, MD
Thesis Field Advisor
______________________________________
William C. Whitworth, MPH
Thesis Field Advisor
______________________________________
Leah Tompkins, MS, M.Ed., CHES
EMPH Program
The Tuberculin Skin Test:
Within-Subject Variability, Boosting, and Comparison with the QuantiFERON-TB Gold In-Tube Test
By
Emilia Ilieva-Hughes
DMD
Medical University of Sofia
1982
Thesis Committee Chair: Andrew Voetsch, PhD
Thesis Field Advisors: Gerald Mazurek, MD and William C. Whitworth, MPH
An abstract of
a thesis submitted to the faculty of the
Rollins School of Public Health of Emory University
in partial fulfillment of the requirements for the degree of
Master of Public Health
in the Executive Master of Public Health Program,
2017
The Tuberculin Skin Test: Within-Subject Variability, Boosting, and Comparison with the QuantiFERON-TB Gold In-Tube Test
By
Emilia Ilieva-Hughes
Introduction/Rationale:
Tuberculin skin test (TST) and interferon-gamma release assays, such as the QuantiFERON®-TB Gold In-Tube Test (QFT-GIT), are used to detect *Mycobacterium tuberculosis* infection. Information on the relative variability of TST and QFT-GIT, and effect of tuberculin injection on subsequent test results is limited.
Methods:
To assess 1) within-subject variability of TST when given simultaneously in the right vs. left arm, 2) agreement between simultaneously performed TST and QFT-GIT, 3) effect of initial TST on subsequent TST when performed a week apart, and 4) effect of initial TST on QFT-GIT when performed a week apart, we enrolled healthy adults with a prior positive TST but no TST in 3 previous years. All testing was performed blindly by healthcare workers with documented proficiency. Paired analyses compared categorical test interpretations using a 10mm TST cutoff and a 0.35 IU/mL QFT-GIT cutoff. Significance in differences of proportions was assessed using McNemar’s test.
Results:
There were 158 total subjects available for the analysis. Of those with analyzable results, 75/154 (49%), 80/155 (52%), and 31/149 (21%) were positive by initial TST on the right arm, initial TST on the left arm, and initial QFT-GIT, respectively. When repeated 1 week later, 72/124 (58%) TSTs were positive and 71/153 (46%) QFT-GITs were positive.
1) TSTs performed simultaneously in the right and left arm were discordant in 14% of subjects, while previous analyses of simultaneously performed QFT-GITs in this population demonstrated 5% discordance (p<0.01).
2) As compared to initial TST on the left arm, initial QFT-GIT results were discordant for 66 (45%) subjects. As compared to initial TST on the right arm, initial QFT-GIT results were discordant for 57 (39%) subjects.
3) Repeat TST was discordant with initial TST on the left arm for 34 (28%) subjects, with the majority of discordance (22%) due to TST conversion (i.e., negative to positive). Of 71 subjects with negative initial left arm TST, 27 (38%) converted to positive when TST was administered a week later. Repeat TST was discordant with initial TST on the right arm for 36 (29%) subjects, again with the majority of discordance (25%) due to TST conversion. Of 77 subjects with negative initial right arm TST, 31 (40%) converted to positive when TST was administered a week later.
4) Repeat QFT-GIT was discordant with initial QFT-GIT for 40 (27%) subjects with the majority of discordance (26.7%, all but one subject) due to conversion. Of 115 subjects with negative initial QFT-GIT prior to TST, 39 (34%) converted to positive when QFT-GIT was performed a week after TST.
5) The proportions of subjects with conversion (38% to 40% for TST, and 34% for QFT-GIT) were greater than within-subject variability when the tests were performed simultaneously (14% for TST and 5% for QFT-GIT, p < 0.0001).
**Conclusions:**
In a population with prior positive TSTs, TST was more variable than QFT-GIT when pairs of each test were performed simultaneously. TSTs may trigger conversion of subsequent TST and QFT-GIT.
The Tuberculin Skin Test:
Within-Subject Variability, Boosting, and Comparison with the QuantiFERON-TB Gold In-Tube Test
By
Emilia Ilieva-Hughes
DMD
Medical University of Sofia
1982
Thesis Committee Chair: Andrew Voetsch, PhD
Thesis Field Advisors: Gerald Mazurek, MD and William C. Whitworth, MPH
A thesis submitted to the faculty of the
Rollins School of Public Health of Emory University
in partial fulfillment of the requirements for the degree of
Master of Public Health in the Executive Master of Public Health Program,
2017
Acknowledgments
I would like to express my sincerest gratitude to my committee chair, Dr. Andrew Voetsch and my field advisors, Dr. Gerald Mazurek and Mr. William Whitworth. I would also like to express my gratitude to the Centers for Disease Control and Prevention, Division of Tuberculosis Elimination’s Clinical Research Branch, with whom I had the honor and privilege of working and learning. I would also like to thank the students and faculty at Emory University and the Rollins School of Public Health – EMPH program for helping me and providing me valuable knowledge and skills. I would finally like to thank my family for their constant understanding, patience, and support.
The findings and conclusions in this document are solely those of the author and do not necessarily represent the official views of the Centers for Disease Control and Prevention, The U. S. Department of Defense, or the U. S. Air Force.
# Table of Contents
**CHAPTER I: INTRODUCTION** ........................................................................................................... 1
- **INFECTION AND DISEASE DUE TO *MYCOBACTERIUM TUBERCULOSIS*** .................................................. 1
- Historical Perspective ............................................................................................................. 1
- Epidemiology .......................................................................................................................... 2
- Transmission .......................................................................................................................... 4
- ***MYCOBACTERIUM TUBERCULOSIS* INFECTION** .................................................................................. 5
- Treatment and Control .......................................................................................................... 6
- Targeted Testing .................................................................................................................... 7
- **IMMUNOLOGIC TESTS FOR *MYCOBACTERIUM TUBERCULOSIS* INFECTION** .............................................. 9
- Tuberculin Skin Test (TST) ................................................................................................... 9
- Interferon-Gamma Release Assay (IGRA) ........................................................................... 11
- **PROBLEMS ADDRESSED BY THIS RESEARCH** .................................................................................. 14
- Within-Subject TST Variability ............................................................................................. 14
- TST – QFT Agreement ......................................................................................................... 15
- Boosting of Immunologic Responses as Measured by TST ............................................... 15
- Boosting of Immunologic Responses as Measured by QFT-GIT ....................................... 17
- **ANALYSIS GOALS** ....................................................................................................................... 18
**CHAPTER II: LITERATURE REVIEW** ............................................................................................. 19
- **MEASURES OF VARIABILITY AND BOOSTING REPORTED IN PRIOR STUDIES** ........................................ 19
- **WITHIN-SUBJECT TST VARIABILITY (WITHIN-SUBJECT COMPARISON OF TST RESULTS)** .................. 20
- **WITHIN-SUBJECT COMPARISON OF TST AND QFT-GIT RESULTS** ....................................................... 22
- **TST BOOSTING** ......................................................................................................................... 26
**CHAPTER III: METHODS** ............................................................................................................. 28
- **STUDY POPULATION** .............................................................................................................. 28
- **ANALYSIS AND STUDY DESIGN** .................................................................................................. 29
- **TEST METHODS** ..................................................................................................................... 30
- **STATISTICAL ANALYSIS METHODS** ............................................................................................... 31
**CHAPTER IV: RESULTS** .............................................................................................................. 32
| Section | Page |
|------------------------------------------------------------------------|------|
| SUBJECT CHARACTERISTICS | 32 |
| TEST RESULTS | 33 |
| OBJECTIVE I: ASSESSMENT OF WITHIN-SUBJECT TST VARIABILITY | 33 |
| OBJECTIVE II: ASSESSMENT OF TST - QFT-GIT AGREEMENT | 34 |
| OBJECTIVE III: ASSESSMENT OF TST BOOSTING OF A SUBSEQUENT TST | 34 |
| OBJECTIVE IV: ASSESSMENT OF TST BOOSTING OF A SUBSEQUENT QFT-GIT | 35 |
| CHAPTER V: DISCUSSION | 36 |
| INTRODUCTION | 36 |
| SUMMARY AND FINDINGS | 37 |
| LIMITATIONS | 39 |
| IMPLICATIONS | 40 |
| RECOMMENDATIONS FOR FUTURE STUDIES | 42 |
| CONCLUSIONS | 42 |
| FIGURES | 43 |
| TABLES | 47 |
| REFERENCES | 52 |
Chapter I: Introduction
Infection and Disease Due to *Mycobacterium Tuberculosis*
Historical Perspective
Tuberculosis (TB) is an infectious disease that has ravaged humanity for ages and continues to kill millions of people each year. TB usually affects the lungs and is transmitted from human-to-human through inhalation. The bacterium that is primarily responsible for causing TB, *Mycobacterium tuberculosis* (MTB), was first identified and described in 1882 by Robert Koch. Infections with MTB (MTBI) can be classified as either an active disease (referred to as TB) with clinical symptoms and pathological signs, or as an asymptomatic non-contagious state, often called “latent” TB infection (LTBI). People with TB may present with constitutional symptoms, such as weight loss, fever, chills, night sweats, and weakness, but may also present with symptoms associated with disease in specific organs. The lung is most often affected as evidence by symptoms of cough, sputum production, hemoptysis, and chest pain, that are typically accompanied by an abnormal chest x-ray. Pulmonary TB accounts for approximately 80% of newly diagnosed TB in the U.S. while 20% to 30% involves extra-pulmonary sites. Traditional methods used to diagnose TB rely primarily on sputum smear microscopy, bacteriological culture, and clinical examination, although newer and rapid molecular tests are being used with increasing frequency. A combination of sputum culture and clinical exam are considered the gold standard for definitive TB diagnosis. TB is curable with a standard six month course of four antimicrobial agents (isoniazid, rifampicin,
pyrazinamide, and ethambutol), but, if left untreated, 70% of cases worldwide will not survive 10 years (World Health Organization, 2016).
**Epidemiology**
According to the latest estimates by the World Health Organization (WHO), 10.4 million people became ill with TB in 2015 (World Health Organization, 2016). Six countries account for 60% of the total global burden: India, Indonesia, China, Nigeria, Pakistan, and South Africa (World Health Organization, 2016). Of those with TB in 2015, 1.2 million (11%) were persons living with HIV (World Health Organization, 2016). Although not a direct cause and effect relationship, HIV is the strongest risk factor for TB, and TB-HIV coinfection is greatest in countries which have a high HIV burden. In 2015, the proportion of TB – HIV cases was highest in the WHO African Region (31%), and exceeded 50% in parts of southern Africa. Other significant TB risk factors are diabetes, alcohol abuse, poverty, crowded living conditions, inadequate nutrition, and poor indoor air quality. An estimated 27% of TB cases worldwide are attributable to inadequate nutrition and 22% are attributable to indoor air pollution (Lonnroth et al., 2010; Pai et al., 2016).
TB prevalence estimates from national surveys performed in high-burden countries (such as in Africa) are as high as 500 per 100,000 (World Health Organization, 2016). In contrast, TB prevalence in the U. S. is currently 3 cases per 100,000 (Centers for Disease Control and Prevention, 2017). TB incidence in high-burden countries is approximately 200 per 100,000 (World Health Organization, 2016). High-income countries, including most in western Europe,
Canada, the U.S., Australia, and New Zealand, have the lowest incidence of TB disease, typically less than 10 cases per 100,000 per year (Pai et al., 2016). TB incidence and prevalence also vary widely among different portions of the population within countries. For example, in contrast to the overall TB prevalence in the United States (3 cases per 100,000) the rate among Asians in the U.S. is 18 cases per 100,000 persons, approximately 30 times that of U.S. whites (0.6 cases per 100,000) (Centers for Disease Control and Prevention, 2017).
Accurate estimation of LTBI prevalence using currently available methods is difficult. It is estimated that 2 to 3 billion persons (approximately 33% worldwide) are latently infected with MTB (World Health Organization, 2016). The LTBI rate in the U.S. is much lower than the global rate, estimated to be about 4.5% in 2015, with most being attributable to foreign birth (Mancuso, Diffenderfer, Ghassemieh, Horne, & Kao, 2016).
Although TB is curable with antibiotics, it remains one of the world’s most deadly diseases. Prior to 2014, deaths resulting from AIDS were greater than deaths resulting from TB. However, as of 2014, TB surpassed AIDS as a leading cause of cause of death worldwide (World Health Organization, 2016). The death toll from TB in 2015 was estimated at 1.4 million, whereas the death toll from HIV during the same period was estimated at 1.1 million (World Health Organization, 2016). Over 95% of deaths are in developing countries, and TB is a leading cause of death in HIV-positive persons (35% of HIV deaths in 2015) (World Health Organization, 2016). Perhaps the main modifiable behavioral risk factor
for TB mortality is smoking, to which more than 20% of deaths in TB cases worldwide is attributable (World Health Organization, 2016).
The financial burden of TB is also high. The estimated global resource requirement for a full response to the TB epidemic in low- and middle-income countries (LMIC, where TB is most prevalent) in 2016 was approximately $8.3 billion (U.S.), and the cost per patient treated is usually in the range of $100–$1000 (U.S.) for drug-susceptible TB and $2,000–$20,000 (U.S.) for multidrug-resistant (MDR) TB (World Health Organization, 2016).
**Transmission**
Transmission of TB from human-to-human (and subsequent infection in the new host) begins when “droplet nuclei” (about 1 – 5 µm in diameter) that are carrying MTB are aerosolized (usually by coughing) by a person with active pulmonary disease. Because of their small size, the droplets can penetrate deeply into the alveoli of uninfected individuals. It is estimated that fewer than 10 bacteria can cause infection (Nicas, Nazaroff, & Hubbard, 2005). In the alveoli, the bacteria are consumed by phagocytic immune cells, called alveolar macrophages (Ahmad, 2011). There are several factors that determine the likelihood of successful transmission. These include 1) immune status of the exposed individual, 2) infectiousness of the transmitting individual, 3) environmental factors such ventilation and humidity, and 4) exposure, such as proximity to the transmitting individual and frequency/duration of exposure (Centers for Disease Control and Prevention, 2013).
Mycobacterium Tuberculosis Infection
Exposure to *M. tuberculosis* leads to two general outcomes regarding the pathogen within the body: 1) elimination or 2) persistence (Pai et al., 2016). In many people, the bacteria are eliminated through non-specific innate mechanisms that are present before exposure. In others, adaptive immune responses (immune mechanisms that develop in response to a specific foreign substance) may eliminate or control the infection (Pai et al., 2016). For MTBI, the adaptive immune response begins when macrophages ingest the bacteria and present MTB components to naive lymphocytes. This results in a clonal proliferation of lymphocytes with affinity to specific MTB components.
Development of this adaptive immune response typically controls the MTB infection and is evidenced by a positive tuberculin skin test (TST) or interferon-gamma (IFN-γ) release assay (IGRA). While the immune system controls MTB infection for most people, it does not eliminate the pathogen, resulting in the LTBI state. Even with initial control of the infection, conditions that disrupt the immune system (and for reasons not yet understood), latent infections may progress to active TB disease, a process referred to as reactivation. The lifetime risk of reactivation is estimated to be 5% to 10% (Horseburg 2004). The risk of reactivation is estimated to be 2.4% to 5% in the first 5 years after infection (Sloot, Schim van der Loeff MF, Kouw, & Borgdorff, 2014; Horseburg 2004), but the risk is higher among children, those co-infected with HIV, and some other groups, such as smokers and diabetics (American Thoracic Society & Centers for Disease Control and Prevention, 2000; Horsburgh, Jr., 2004; Centers for Disease
Control and Prevention, 2011a; World Health Organization, 2016; Shea, Kammerer, Winston, Navin, & Horsburgh, Jr., 2014). Estimates that 80% of TB cases arise from reactivation of LTBI have been confirmed by the use of genotyping (Pai & Behr, 2016).
**Treatment and Control**
TB is curable. A standard six-month course of four antimicrobial agents (isoniazid, rifampicin, pyrazinamide, and ethambutol) cures up to 95% of disease caused by susceptible MTB, with greater success among those receiving directly observed therapy (DOT) (Pai et al., 2016). However, if left untreated, 70% of cases will not survive 10 years (World Health Organization, 2016). Lower treatment success rates are observed among patients with MDR TB, which is defined as resistance to both isoniazid and rifampicin.
LTBI can also be effectively treated. Effective treatment lowers the risk that people with LTBI will progress to TB. The following regimens are recommended by WHO for the treatment of LTBI (World Health Organization, 2017):
- 6-month or 9-month isoniazid, daily
- 3-month rifapentine plus isoniazid, once weekly
- 3-month or 4-month isoniazid plus rifampicin, daily
- 3-month or 4-month rifampicin alone, daily
Of these regimens, the recently-approved 3-month rifapentine plus isoniazid given once weekly (“3-HP”) is especially attractive, as it reduces daily dosage to once per week, requires treatment for only three months (12 total doses), has a lower risk of hepatotoxicity, and higher treatment completion rates (Sterling et al., 2011; Sandul et al., 2017). This regimen has recently been recommended by the
Centers for Disease Control and Prevention (CDC) as an alternative to the standard nine months of daily isoniazid (Centers for Disease Control and Prevention, 2011b). The 3-HP regimen has also shown to be cost-effective vs. the standard regimen (Shepardson & MacKenzie, 2014; Shepardson et al., 2013).
The diagnosis of LTBI is important because of the large percentage of TB cases attributable to LTBI reactivation. Preventive treatment of persons diagnosed with LTBI can reduce the risk of subsequent tuberculosis by as much as 93% (Pape, Jean, Ho, Hafner, & Johnson, 1993; Huebner, Schein, Hall, & Barnes, 1994; Centers for Disease Control and Prevention, 2000; Comstock, Livesay, & Woolpert, 1974; Stead, 1995; Nardell, McInnis, Thomas, & Weidhaas, 1986; Centers for Disease Control and Prevention, 2011a). Diagnosis and treatment of LTBI is one of the interventions recommended by the WHO to end the worldwide TB epidemic, and is one of the elements of the post-2015 End TB Strategy (Pai & Behr, 2016). The primary goal of TB control in the U.S. has been to reduce the pool of infection through LTBI diagnosis and subsequent treatment (Pai & Behr, 2016).
**Targeted Testing**
Although diagnosis of LTBI can be an important TB control strategy, because only a small fraction of those with LTBI will ever develop active disease, and also because the positive-predictive value (PPV) of tests for LTBI decreases with decreasing prevalence, it is neither practical nor cost-effective to screen
everybody for LTBI. For this reason, it is recommended by the CDC and American Thoracic Society that only persons that are at high risk of developing TB disease should be tested, a process referred to as “targeted testing” (American Thoracic Society & Centers for Disease Control and Prevention, 2000; Centers for Disease Control and Prevention, 2011a). Testing and treating those at highest risk for TB will have the greatest impact on TB elimination.
The CDC has issued guidelines that identify high risk groups recommended for targeted LTBI testing (American Thoracic Society & Centers for Disease Control and Prevention, 2000; Centers for Disease Control and Prevention, 2011a). Persons at high risk for developing TB disease fall into two broad categories: 1) those who have an increased likelihood of exposure to persons with TB disease and 2) those with clinical conditions or other factors associated with an increased risk of progression from LTBI to TB disease (American Thoracic Society & Centers for Disease Control and Prevention, 2000; Centers for Disease Control and Prevention, 2011a). Those who have an increased likelihood of exposure to persons with TB disease include:
- Known close contacts of a person with infectious TB disease
- Persons who have immigrated from TB-endemic regions of the world
- Persons who work or reside in facilities or institutions with people who are at high risk for TB, such as hospitals that care for TB patients, homeless shelters, correctional facilities, nursing homes, or residential facilities for patients with HIV infection/AIDS
Those with clinical conditions or other factors associated with an increased risk of progression from LTBI to TB disease include those with:
• HIV infection
• Injection drug use
• Radiographic evidence of prior healed TB
• Low body weight (10% below ideal)
• Other medical conditions such as silicosis, diabetes mellitus, chronic renal failure, receiving hemodialysis, and other conditions
**Immunologic Tests for *Mycobacterium Tuberculosis* Infection**
LTBI is diagnosed by responses to *in vivo* or *in vitro* MTB antigen stimulation using either the TST or IGRA (Getahun, Matteelli, Chaisson, & Raviglione, 2015). Both are based on the quantification of the immune system’s memory T-cell response reaction to TB antigens (small pieces of protein from the MTB bacillus). If an immune reaction is present, this then indicates infection.
**Tuberculin Skin Test (TST)**
The TST has been used since the early 1900s and, until recently, was the only practical immunological test for infection by MTB (American Thoracic Society & Centers for Disease Control, 2000; Lee & Holzman, 2002). The most common version of the test (Mantoux) is performed by injecting 0.1 ml of tuberculin purified protein derivative (PPD) intradermally (between the layers of the dermis), usually on the forearm. PPD is an extract of the media used to grow MTB and contains a mixture of MTB protein antigens. In infected individuals, PPD elicits a delayed-type hypersensitivity reaction that is evidenced by induration at the injection site. Measurement of induration diameter 48 to 72 hours after injection is used to interpret the TST. A test is considered positive if the induration diameter is greater than or equal to a predetermined cutoff point. A
positive TST implies MTB infection and an increased risk of currently having, or subsequently developing TB (Edwards & Edwards, 1960; Antonucci, Girardi, Raviglione, & Ippolito, 1995; Selwyn et al., 1992). However, false-positive TSTs may occur, and causes may include exposure or infection with non-tuberculous mycobacteria (NTM), vaccination with Bacillus Calmette–Guérin (BCG), or errors in placing or interpreting the TST (Edwards & Edwards, 1960; Judson & Feldman, 1974; Snider, Jr., 1985). Such reactions result in lower TST specificity and lower PPV. TST screening of low-risk persons is discouraged because the PPV decreases as the prevalence of infection decreases (Centers for Disease Control and Prevention, 2000; Jensen, Lambert, Iademarco, Ridzon, & Centers for Disease Control and Prevention, 2005). Although TST testing programs should be conducted only among high-risk groups, certain persons may require a TST for situations such as employment or school attendance. Diagnosis and treatment of LTBI should always be tied to risk assessment (American Thoracic Society & Centers for Disease Control and Prevention, 2000).
A risk-stratified interpretation of TST is used to increase the predictive value of the test. A person's medical risk factors determine at which increment (5 mm, 10 mm, or 15 mm) of induration diameter above which the result is considered positive. This is referred to as risk-stratified interpretation (Huebner, Schein, & Bass, 1993; American Thoracic Society & Centers for Disease Control and Prevention, 2000; Snider, Jr., 1982). Using a high TST cutoff such as 15 for those at low risk of infection and progression, increases specificity and the likelihood that a positive result is a true positive. Using a low TST cutoff such as
5 mm for those at greatest risk of infection or progression to TB if infected, increases test sensitivity. Risk-stratified interpretation of TST as applied in the U.S. is summarized as follows:
**High Risk:** $\geq 5$ mm induration is interpreted as positive in:
- HIV-infected persons
- Close contacts to an infectious TB case
- Persons with chest radiographs consistent with prior untreated TB
- Organ transplant recipients
- Other immunosuppressed patients (e.g., those taking the equivalent of $>15$ mg/day of prednisone for 1 month or those taking TNF-$\alpha$ antagonists)
**Moderate Risk:** $\geq 10$ mm induration is interpreted as positive in:
- Recent immigrants
- Injection drug users
- Residents or employees of congregate settings
- Mycobacteriology laboratory personnel
- Persons with clinical conditions that place them at high risk
- Children < 4 years; infants, children, and adolescents exposed to adults at high-risk
**Low Risk:** $\geq 15$ mm induration is interpreted as positive in:
- Persons with no known risk factors for TB
**Interferon-Gamma Release Assay (IGRA)**
IGRAs have become clinically-acceptable alternatives to the TST over the past two decades. IGRAs quantify IFN-$\gamma$ response when blood or peripheral blood mononuclear cells (PBMCs) from blood are stimulated *in vitro* with MTB antigens (Belknap & Daley, 2014). In these assays, IFN-$\gamma$ responses are expressed as either 1) plasma concentration in International Units (IU) per milliliter (mL) of plasma, or 2) counts of cells producing IFN-$\gamma$ per million PBMCs. Responses above a certain cutoff value are considered to be indicating infection.
Two IGRAAs are currently approved by the U.S. Food and Drug Administration (FDA) as aids for diagnosing LTBI. The T-SPOT® TB Test (T-Spot; Oxford Immunotec) and the QuantiFERON®-TB Gold In-Tube Test (QFT-GIT, Quiagen). Both tests assess response to manufactured peptides with overlapping sequences representing the specific MTB antigens early secreted antigenic target 6 (ESAT-6) and culture-filtrate protein 10 (CFP-10), but QFT-GIT also assesses response to the TB7.7 antigen. A newer version of the whole blood IGRA called QuantiFERON-TB Gold Plus has recently been approved by the FDA. It assesses response to the same manufactured peptides with overlapping sequences representing ESAT-6 and CFP-10 used in QFT-GIT, but does not assess response to TB7.7. It includes a tube with shorted peptides representing ESAT-6 and CFP-10, which are included to detect IFN-γ from CD8 T-cell lymphocytes (QUIAGEN, 2016a). The main difference in T-Spot and QFT-GIT is in how the IFN-γ response is measured. QFT-GIT uses an enzyme-linked immunosorbent assay (ELISA) to measure differences in plasma IFN-γ concentrations whereas the T-Spot measures differences in the number of PBMCs expressing IFN-γ using an enzyme-linked spot assay. QFT-GIT is preferred by many health departments over T-Spot, as it uses a spectrophotometer to record ELISA (using optical density) rather than a subjective visual counting method. It is also regarded to be easier to perform (there is no white blood cell separation step), and does not require shipment to a central facility, which can affect the viability of the white blood cells (QUIAGEN, 2016b).
IGRAs have several advantages over the TST. IGRAs require a single patient visit, while the TST requires two visits. IGRA results can be available in 24 hours, quicker than for the TST, which requires 48 to 72 hours for a result. IGRAs may be more specific than the TST because they assess response to antigens that are not in BCG or most non-tuberculosis mycobacteria (NTM) (DeKeyser, DeKeyser, & DeBaets, 2014). IGRAs also do not require a subjective visual measurement, which may be biased due to digit preference. However, IGRAs are more expensive than the TST (Nienhaus, Schablon, Costa, & Diel, 2011; Dewan et al., 2006), require sophisticated equipment and software, and are not recommended for children < 5 years of age.
A number of studies have compared the sensitivity and specificity of the TST and IGRAs. These studies have assessed specificity among subjects at low-risk for LTBI, and assessed sensitivity among those with culture-confirmed TB. Pooled sensitivity estimates from these studies are 89% for TST, 83% for QFT-GIT, and 90% for T-Spot; while pooled specificity estimates are 85% for TST, 99% for QFT-GIT, and 88% for T-Spot (Mazurek et al., 2010).
IGRAs are being used with greater frequency and are replacing the TST in many health departments in the U.S. Guidelines and recommendations for the use of IGRAs in the U.S. have been published by the CDC (Mazurek et al., 2010). Other high-income countries have also incorporated these tests in their national guidelines (Denkinger, Dheda, & Pai, 2011). The WHO has recently published recommendations against their use in LMIC (World Health Organization, 2011). This is because most IGRA studies have been done in highincome countries and the application of their results to LMIC settings with high background TB infection rates may not be appropriate (World Health Organization, 2011). Systematic reviews have also suggested that IGRA performance differs in high- versus low-TB, and high- versus low-HIV incidence settings, with generally lower sensitivity in high-burden settings (World Health Organization, 2011). Another important aspect against their use in LMIC is cost. Given similar performance but higher costs, the use of IGRAs as a replacement for the TST in areas with a limited budget is not recommended (Trajman, Steffen, & Menzies, 2013).
**Problems Addressed by this Research**
*Within-Subject TST Variability*
As with any diagnostic test, the within-subject variability of TST, especially around the cutoff, is an area of concern. Erroneous reclassification of a negative test as positive (or vice versa) can be due to test variability, and not due a change infection status. Sources of variation can be due to differences in test reagents (such as the brand and lot of PPD used) and random biologic variation. However, the most common sources of this variation are in the administration (placing) and reading of the test (Menzies, 1999). Standard deviations in TST induration of 1.3 mm to 1.9 mm have been reported when read twice by the same reader (Bearman, 1964; Menzies, 1999), and discordance in test result interpretation as low as 1% to 2% have been reported (Furcolow, Watson, Charron, & Lowe, 1967). According to Menzies, et.al, biologic variation is small
compared to the variability resulting from placing and reading (Menzies, 1999). Variation due to all sources should result in standard deviations of less than 3 mm induration diameter (Menzies, 1999). In other words, when TSTs are repeated, chance variation should result in differences of less than 6 mm (which represents 2 standard deviations) in 95% of subjects (Menzies, 1999).
Assessments of within-subject TST variability using results from two tests given in the same person, however, have rarely been performed (only two previous studies).
**TST – QFT Agreement**
Because IGRAs are being used instead of TST, there is a need to assess the head-to-head agreement. To date, the assessment of TST and QFT-GIT agreement has been performed in a limited number of populations, including healthcare workers (HCW), TB contacts, and persons with HIV or other diseases. It is currently not known how these tests would agree in persons who have had a prior positive TST.
**Boosting of Immunologic Responses as Measured by TST**
With time following MTB infection, the immune response to MTB can weaken, as evidence by an increase in the frequency of negative TST results with time (Menzies, 1999). However, the injection of MTB antigens (such as when PPD is injected for a TST) may stimulate, boost, or reawaken the immune response. Consequently, a TST given shortly after the initial TST may be larger, and in some situations, convert from negative to positive MTB (Figure 1).
Boosting is an increase in induration due to stimulation of an amnestic immunologic response. Detection of boosting requires measurement of an increase in induration size that significantly exceeds nonspecific variability, and requires an assumption of the absence of new infection occurring in the test interval between the initial and subsequent test. TST boosting is maximal if test interval is between one and five weeks (Menzies, 1999), although TST boosting has been detected as long as one year after the initial TST (Bass & Serio, 1981; Thompson, Glassroth, Snider, Jr., & Farer, 1979). Additional assessments of boosting include 1) determining the frequency that TST converts from negative to positive, and 2) determining the frequency that TST induration diameter increases $\geq 6$ mm (Menzies, 1999). This “recall of waned cell-mediated immunity” is analogous to the secondary anamnestic serologic antibody response (Menzies, 1999). TST boosting has been described in persons with previous MTB infection, BCG vaccination, or NTM exposure (Menzies, Vissandjee, Rocher, & St Germain, 1994).
Because of the possibility of boosting, the CDC recommends a “two-step” TST procedure the with initial testing for individuals who may be tested serially (e.g., healthcare workers), as shown in Figure 2 (Centers for Disease Control and Prevention, 2014). If the initial TST is positive, the individual is considered positive for MTB infection. If the initial TST is negative, then the test is repeated in one to three weeks. If the second test is negative, then the individual is considered uninfected with MTB. If the second test is positive, then the individual is considered previously infected (i.e., a “boosted” reaction from a past infection).
Initial two-step testing is required to detect boosting, decrease false-negative TSTs, and avoid misinterpretation of subsequent positive TST reactions as new infections (Centers for Disease Control and Prevention, 2000).
**Boosting of Immunologic Responses as Measured by QFT-GIT**
Boosting of the second test is not limited to the second test being a TST, but can also occur when the second test is an IGRA (van Zyl-Smit, Zwerling, Dheda, & Pai, 2009). Injection of PPD is expected to boost IGRA responses to ESAT-6 and CFP-10 for some people who were previously infected with MTB. Such boosting would not be expected following BCG vaccination or infection with an NTM because these organisms do not stimulate a primary immune response to ESAT-6 or CFP-10. QFT-GIT boosting may have clinical significance in that boosting of negative QFT-GIT results to positive may prompt unnecessary treatment. The conclusions from prior studies assessing TST boosting of IGRA responses have been conflicting. Brock and colleagues did not observe boosting when people were retested with an IGRA three days after TST (Brock, et. al., 2001). However, Zyl-Smit and colleagues observed boosting of IGRA responses when people were tested 7 days after TST. It would therefore, be beneficial to assess the frequency of boosting, not only when TSTs are performed a week apart, but also when QFT-GITs are performed a week apart and the second QFT-GIT is a week after the initial TST.
Analysis Goals
This analysis is performed on data from a 2010 study jointly conducted by the CDC’s Division of Tuberculosis Elimination and the United States Air Force (USAF). In this study, a series of TSTs and QFT-GITs were administered to healthy subjects (CDC or USAF employees) recruited at the CDC in Atlanta, GA or at Lackland Air Force Base in San Antonio, TX. The main goal of the study was to assess factors affecting QFT-GIT and TST variability. Manuscripts from the initial analysis of QFT-GIT variability from this study have been published (Whitworth et al., 2012; Whitworth et al., 2014). However, analyses of the TST component of the study has not yet been performed.
The four objectives of this study were to assess:
I. **Within-subject TST variability**, by comparing results of TSTs performed at the same time but in different arms.
II. **TST - QFT-GIT agreement**, by comparing results of TST and QFT-GIT that were initiated on the same day.
III. **TST boosting of a subsequent TST**, by comparing results of two TSTs performed one week apart.
IV. **TST boosting of a subsequent QFT-GIT**, by comparing results of two QFT-GITs performed one week apart, with the second QFT-GIT being one week after the initial TST.
Measures of Variability and Boosting Reported in Prior Studies
Studies assessing within-subject TST variability and TST - QFT-GIT interpretation (positive or negative) agreement have commonly reported, as indices, percent agreement (concordance), Cohen’s kappa coefficient ($k$, or kappa), and percent discordance (100 minus percent agreement). $K$, also referred to as agreement beyond chance, is a statistic with values between 0 and 1.0 that adjusts for the possibility of agreement by chance (McHugh, 2012; Viera & Garrett, 2005). Several subjective scales have been developed to serve as guides for interpreting $k$. One such scale for interpreting $k$ is as follows: 0 – 0.20 = no agreement, 0.21 - 0.39 = minimal, 0.40 – 0.59 = weak, 0.60 – 0.79 = moderate, 0.80 – 0.90 = strong, and > 0.90 = almost perfect (McHugh, 2012).
Most studies examining TST boosting have focused on changes in positive or negative interpretations (qualitative changes) rather than changes in numeric values of induration or IFN-g concentration (quantitative changes). These studies typically assessed the percentage of subjects with a negative initial test result that was followed by a positive result (i.e., “percent of initial negatives that boosted to positive”) which is the number of subjects who converted from negative to positive divided by the total number of subjects who were negative at initial testing. Studies assessing boosting using quantitative changes have usually defined a boosted reaction as being an increase in numeric values of induration or IFN-g concentration beyond some pre-determined numeric threshold.
Within-Subject TST Variability (Within-Subject Comparison of TST Results)
There have been three main categories of studies assessing TST variability. Firstly, there are a few studies that assess the difference between different test parameters in the same subject, such as reading methodologies (Geldenhuys et al., 2010; Bouros, Maltezakis, Tzanakis, Tzortzaki, & Siafakas, 1992; Longfield et al., 1984) and types of reagents used (Erdtmann, Dixon, & Llewellyn, 1974). These studies thus determine the variability that is caused by a change in a test parameter. Although informative, these studies do not provide comparative findings by which to assess the findings from the present study (i.e., the variability of two identical tests performed in the same individual at the same time using identical reading methodologies and test reagents).
Secondly, there are a number of TST inter-reader/rater (or inter-observer or interrater reliability) studies (Villarino et al., 1999; Villarino et al., 2000; Bearman, 1964; Mancuso et al., 2012; Perez-Stable & Slutkin, 1985; Pouchot et al., 1997; Kahwati et al., 2016; Longfield et al., 1984). These studies assess the agreement of a single TST given in a subject among two or more readers, which is fairly common in the literature. Of these TST interrater reliability studies, kappa statistics indicate moderate to substantial agreement between two observers (0.52 to 0.95). These studies assess TST within-subject variability to a degree, as it is only the variability attributed to different readers reading the same test. However, these studies do not take into account the possible biologic variability
that may occur when two tests are administered in the same person, which is what was done in the present study.
Thirdly are the studies in which two or more TSTs are administered at the same time on a subject, and the agreement among/between these tests determined. There have been only two of these studies to date (Furcolow et al., 1967; Chaparas et al., 1985). These studies assess the random variability of identically-performed tests administered in the same subject. This type of study assesses test precision (i.e., how close the measurements from the identically performed test are to each other). The findings from these two studies are most applicable and comparable to those in this present study.
In the 1967 study by Furcolow, et al. (Furcolow et al., 1967), each subject received four TSTs by three different methods (tine test, Mono-Vacc, and standard Mantoux method). The fourth test was a duplicate of one of the three. Two readers interpreted each test. The comparison of duplicate TSTs by the Mantoux method is of particular interest because this is the standard TST method and the method used in the present study. Among 212 hospital patients and employees who had duplicate TSTs by the Mantoux method, results indicated discordance/kappa of 1.9%/0.96 for the 1st reading and 1.0%/0.98 for the 2nd reading. One reason for this high amount of agreement (low discordance) may be that both tests in each subject were read by the same person.
In the 1985 study by Chaparas, et al. (Chaparas et al., 1985), two TSTs using the Mantoux method were administered in healthy subjects, read 48 hours (n = 1,036) and 72 hours (n = 892) later by four readers who interpreted the tests
using cutoffs of both 5 mm and 10 mm. For each subject, two readers read one reaction and two readers read the other reaction, and the average of the two readings per reaction was used for the analysis. Results from this study are shown in the following table:
| Delay to Reading | Interpretation Cutoff | Agreement | Kappa | Discordance |
|------------------|-----------------------|-------------|-------|-------------|
| 48 hour | 5 mm | 79.2% | 0.78 | 22.1% |
| 48 hour | 10 mm | 83.0% | 0.84 | 17.0% |
| 72 hour | 5 mm | 78.9% | 0.81 | 21.1% |
| 72 hour | 10 mm | 85.5% | 0.87 | 14.5% |
**Within-Subject Comparison of TST and QFT-GIT Results**
Assessment of TST and QFT-GIT agreement has been included in a number of studies involving a variety of populations. Some studies included only patients with culture-confirmed TB, which facilitated comparison of test sensitivity without focusing on test agreement. Other studies involved cohorts of patients at minimal risk of infection, which facilitated comparison of test specificity. Some studies have compared these tests among people with varying levels of exposure to TB, and compared association of test results with level of exposure. However, for most studies comparing TST and QFT-GIT, evidence supporting the accuracy of one test over the other is lacking, leaving investigators to report indices of agreement.
Several TST – QFT-GIT agreement studies have been conducted in TB contacts (Song et al., 2014; Verhagen et al., 2014; Ayubi, Doosti-Irani, & Mostafavi, 2015). A 2015 systematic review and meta-analysis by Ayubi, et.al, examined 24 such studies (Ayubi et al., 2015). Results from this meta-analysis,
which included several studies conducted in children, indicated an overall kappa of 0.40 but did not indicate overall discordance. This analysis also showed that increasing values of the cutoff for the TST induration diameter (5 mm > 10 mm > 15 mm) resulted in improved agreement between the two tests. Of two studies of 2,982 adolescent TB contacts not included in this analysis Song, et al. found kappa of 0.38 using a 10mm TST cutoff and 0.56 using a 15 mm cutoff, confirming the observation made in the Ayubi study of greater kappa with increasing induration diameter cutoff (Song et al., 2014). The other, performed in 163 Venezuelan Amerindian pediatric contacts, found much higher agreement than in the other assessments of agreement in contacts (kappa = 0.76) (Verhagen et al., 2014).
Because of expected similarities with our study cohort, studies involving healthy HCWs are of particular interest (Hefzy, Wegdan, Elhefny, & Nasser, 2016; Mostafavi et al., 2016; Doosti-Irani, Ayubi, & Mostafavi, 2016; Bozkanat et al., 2016; Lamberti et al., 2015). In a 2015 systematic review and meta-analysis of TST- QFT-GIT agreement in HCW, Lamberti et al., examined 29 studies (Lamberti et al., 2015). Out of the 10,314 subjects in these studies, TST and QFT-GIT agreed for 6,893 and did not agree for 3,421 (33% discordance). TST+/QFT-GIT- discordance occurred approximately four times more often than TST-/QFT-GIT+ discordance [2,711 (26.3%) vs. 710 (6.9%)]. Kappas for the different studies ranged from 0.10 to 0.61, with an overall value of 0.28. In a 2016 meta-analysis of 30 TST - QFT-GIT agreement studies, kappa ranged from 0 to 0.93 with an overall discordance/kappa of 29%/0.27 (Doosti-Irani et al., 2016).
Studies conducted since (and not included in these HCW meta-analyses) have found varying discordance/kappa results for TST - QFT-GIT agreement: [6.5%/0.71, n=31 (Hefzy et al., 2016)], [22.5%/0.19, n=244 (Mostafavi et al., 2016)], and [55.9%/0.0, n=34 (Bozkanat et al., 2016)].
TST – QFT-GIT agreement has been assessed in a number of different diseased populations, including rheumatoid arthritis patients (Mehta, Zapantis, Petryna, & Efthimiou, 2015; Lee et al., 2014), kidney transplant recipients (Jambaldorj et al., 2017; Ayubi et al., 2017; Edathodu et al., 2017), and people living with HIV infection (Leung et al., 2016; Mathad et al., 2016; Kussen, Dalla-Costa, Rossoni, & Raboni, 2016; Khazraiyan et al., 2016; Mamishi, Pourakbari, Marjani, & Mahmoudi, 2014; Chkhartishvili et al., 2013). A 2015 review by Mamishi, et.al, identified 13 studies performed among HIV-infected patients, both adults and children (Mamishi et al., 2014). Discordance ranged from 11.0% to 79.0% and kappa ranged from 0.30 to 0.60. Other studies performed in people living with HIV infection since the above review have shown varying rates of discordance/kappa: [?%/0.29, n=240 (Chkhartishvili et al., 2013)], [26.1%/0.08, n=130 (Khazraiyan et al., 2016)], [14.2%/0.20, n=110 (Leung et al., 2016)], [25%/0.25, n=252 (Mathad et al., 2016)], and [11.6%/0.20, n=140 (Kussen et al., 2016)].
TST – QFT-GIT agreement in children has also been assessed (Howley et al., 2015; Rose et al., 2015; Masoumi Asl, Alborzi, Pourabbas, & Kalani, 2015). Discordance/kappa from these studies was determined as follows: [23.1%/0.20, n=2,520 immigrant children from Mexico, the Philippines, and Vietnam (Howley
Studies that are the most comparable to this present study are those performed in healthy (non-HCW or non-contact) subjects. Ayubi’s 2015 systematic review and meta-analysis included data from 22 studies comparing TST and QFT-GIT in healthy populations (Ayubi et al., 2015). The reported overall kappa of 0.35 was slightly lower than the overall kappa of 0.40 found in their assessment of agreement in TB contacts. In an assessment of 60 healthy subjects in Thailand, a discordance/kappa of 25.0%/0.16 was found (Reechaipichitkul, Pimrin, Bourpoern, Prompinij, & Faksri, 2015). In 107 healthy, male, Ethiopian medical and paramedical students, discordance/kappa was 8.4%/0.83 (Dagnew et al., 2012). In one small (n=207) population-based study conducted along the U.S. Mexico border, Oren, et.al, found a discordance/kappa of 26.1%/0.39, (Oren et al., 2015). In another (larger) population-based study which examined TST – QFT-GIT agreement in the National Health and Nutrition Examination (NHANES) Survey, Ghassemieh, et.al, determined a discordance/kappa of 3.0%/0.27 among U.S.-born and 18.4%/0.38 among foreign-born in this large, population-based sample of 6,064 subjects (Ghassemieh et al., 2016). In this NHANES study, QFT-GIT and TST were performed on the same day, as was the case in this present study.
TST Boosting
The potential for an initial TST to boost the response measured with a subsequent TST has been documented in many studies (Menzies et al., 1994; Menzies, 1999; Hobby, Holman, Iseman, & Jones, 1973; Murthy et al., 2013; Isler, Rivest, Mason, & Brassard, 2013; Teixeira et al., 2008; Salles et al., 2007; Al Mazrou, 2004; Kraut, Coodin, Plessis, & McLean, 2004; Besser et al., 2001; Habiban, Momeni, & Amiri, 2013). In each of these studies, the percentage of persons converting from an initial negative TST to a subsequent positive TST (i.e., % boosting to positive) was determined. Proportions with boosting ranged from 5.1% to 13.2%: [5.6%, n=1,961 students (Menzies et al., 1994)]; [8.3%, n=322 hospital workers (Hobby et al., 1973)]; [8.4%, n=764 medical students (Teixeira et al., 2008)]; [6.0%, n=455 TB contacts (Salles et al., 2007)]; [5.4%, n=65 dialysis patients (Habiban et al., 2013)] [13.2%, n=1,098 Indian adolescents (Murthy et al., 2013)]; [5.1%, n=256 employees of services for homeless (Isler et al., 2013)]; [12.0%, n= 236 nurses (Al Mazrou, 2004)]; [6.6%, n=698 HCW (Kraut et al., 2004)]. Factors found to be associated with boosting in these studies included prior BCG vaccination and older age. Although most studies were performed on populations of healthy people, none were restricted to individuals having a prior positive TST, as is done this present study.
The potential for TST to boost the response in a subsequent QFT-GIT has been assessed in several studies. In a 2009 review, van Zyl-Smit, et al. (van Zyl-Smit et al., 2009) identified five studies (Perry et al., 2008; Leyten et al., 2007; Richeldi, Bergamini, & Vaienti, 2008; van Zyl-Smit et al., 2009; Baker, Thomas, Stauffer, Peterson, & Tsukayama, 2009) in which the boosting effect of TST on QFT-GIT was
assessed. In these studies, the proportion of subjects with initial QFT-GIT negative to subsequent QFT-GIT positive boosting varied widely. Proportions with boosting ranged from 1.5% to 68.0%: [8.0%, n=26 HCW (van Zyl-Smit et al., 2009)], [68.0%, n=114 immigrants/refugees (Baker et al., 2009)], [6.0%, n=63 infectious disease cohort (Perry et al., 2008)], [1.5%, n=81 pediatric TB contacts (Richeldi et al., 2008)], and [5.0%, n=66 mixed TST- and TST+ (Leyten et al., 2007)]. In two of these studies, boosting was assessed at 3 days following TST administration, but was not observed at this short interval (Leyten et al., 2007; van Zyl-Smit et al., 2009). Several studies since this review have also been conducted (O'Shea et al., 2014; Esmail et al., 2016; Sauzullo et al., 2011; Ritz et al., 2011). Sauzullo, et al. found no evidence of boosting when QFT-GIT was administered at 1, 2, 4, and 6 weeks after the TST, and it should be noted that their population of TST negatives were also BCG negative (Sauzullo et al., 2011). Similarly, in a population of 16 BCG negative subjects with no history of TB exposure, Ritz, et al. found no boosting of QFT-GIT when administered 6 and 10 weeks after the initial TST and QFT-GIT (Ritz et al., 2011). In a study of 166 Nepalese military recruits recently arrived in the UK, O'Shea, et al. found that 9.5% boosted from QFT-GIT negative to positive 7 days after TST (O'Shea et al., 2014). A recent study by Esmail, et al. performed in 22 HIV-1-infected adults from South Africa, found that 40.9% boosted from QFT-GIT negative to QFT-GIT positive, with a median of 62 days after the TST (Esmail et al., 2016).
Chapter III: Methods
Study Population
The subjects in this analysis were healthy employees recruited in 2010 at the CDC (Atlanta, GA) and Lackland Air Force Base (USAF, San Antonio, TX) as part of a larger experimental study investigating QFT-GIT reproducibility (Whitworth et al., 2012; Whitworth et al., 2014). Inclusion criteria were age $\geq 18$ years and a self-reported history of a prior-positive TST (documentation was not required as it was reasoned that those recruited would rarely have this). Exclusion criteria included a TST in the past 3 years or a history of an adverse reaction to TST (e.g., blistering, scarring, or anaphylaxis). Requiring a self-reported prior-positive TST avoided ethical concerns regarding treatment of LTBI when conflicting test results were encountered. This was expected also to increase the proportion of subjects with positive test results, LTBI, and previously treated MTB infection. Prior unpublished assessments in similar cohorts found that 40% to 50% of persons with self-reported prior-positive TST results were positive by QFT-GIT as compared to 3% for the general U.S. population (G. Mazurek, personal communication, and Ghassemieh et al., 2016). All subjects provided written informed consent and completed a detailed study questionnaire. The CDC and Wilford Hall Medical Center (USAF) human subjects institutional review boards approved the study.
Analysis and Study Design
For the parent study, subjects had multiple QFT-GITs and three TST performed over a period of two weeks. Figure 3 illustrates the ten-day portion of the parent study that involved TSTs and which pertains to this sub-study. For this sub-study, five tests were performed: three TSTs and two QFT-GITs. On day 1, blood was collected for the first QFT-GIT. Immediately following this, PPD was injected for two TSTs, one on the left arm and one on the right arm. On day 3, transverse induration was measured at the PPD injection sites on the left and right arm. On day 8, subjects returned and had blood collected for a second QFT-GIT, again followed by injection of PPD for a third TST in either the left or the right arm. A third TST was not performed if either of the first two TSTs produced induration $\geq 20$ mm. On day 10, transverse induration was measured at the third PPD injection site. For the assessment of within-subject TST variability, results of TSTs applied on day 1 on the right and left arm were compared (#1).
Assessment of TST - QFT-GIT agreement consisted of two comparisons of day 1 tests: left-arm TST vs. QFT-GIT and right-arm TST vs. QFT-GIT (#2).
Assessment of TST boosting of a subsequent TST also required two comparisons: TST applied on day 1 on the right arm vs. TST applied on day 8 on either arm, and TST applied on day 1 on the left arm vs. TST applied on day 8 on either arm. To examine TST boosting of a subsequent QFT-GIT, results of the day 1 QFT-GIT (with blood collected prior to PPD injection for TST) were compared with results from the day 8 QFT-GIT (with blood collected seven days after TSTs were applied to the left and right arms).
Test Methods
TST was performed using the Mantoux method (Lee & Holzman, 2002) to inject intradermally 0.1 ml (5 TU) of Tubersol (PPD, Connaught Laboratories, Inc, Toronto, Ontario, Canada) following American Thoracic Society (ATS)/CDC guidelines (American Thoracic Society & Centers for Disease Control, 2000). Transverse induration at the TST placement site was measured 48 to 72 hours after PPD injection by trained healthcare workers according to ATS/CDC guidelines (American Thoracic Society & Centers for Disease Control, 2000). An induration diameter $\geq 10$ mm was interpreted as a positive test result. Results of the first two TSTs (right and left arm) were read by different readers.
QFT-GIT was performed according to manufacturer’s package insert (Celestis Limited, 2010) and as previously described (Powell, III, Whitworth, Bernardo, Moonan, & Mazurek, 2011). Blood was collected into three specially designed tubes that contained: a) heparin alone (Nil tube); b) heparin, dextrose, and phytohemagglutinin A (PHA, Mitogen tube); or c) heparin, dextrose, and a cocktail of peptides representing ESAT-6, CFP-10, and TB7.7 (TB Antigen tube). Tubes were first mixed so the entire inner surface of the tubes was coated with blood and then incubated within 12 hours of collection for 16 to 24 hours at 37°C prior to harvesting plasma. The tubes were centrifuged, and the IFN-$\gamma$ concentration in the plasma was measured by ELISA. ELISAs were performed on a Triturus automated ELISA workstation (Grifols USA, Miami, FL), using eight IFN-$\gamma$ calibrators (8, 4, 2, 1, 0.5, 0.25, 0.125, and 0 IU/mL) in duplicate to create standard curves. IFN-$\gamma$ concentration was calculated from a standard curve using software developed at the
CDC, and test results interpreted as indicated in the Cellestis package insert and CDC guidelines (Mazurek et al., 2010; Cellestis Limited, 2010). TB Response was defined as the IFN-γ concentration in plasma from TB antigen-stimulated blood minus the IFN-γ concentration in unstimulated (Nil) blood. Mitogen Response was defined as the IFN-γ concentration in plasma from mitogen-stimulated blood minus Nil. A TB Response value ≥ 0.35 IU/mL was considered as a positive test result. TB Responses were considered “indeterminate” if: 1) Nil ≤ 0.7 IU/mL and TB Response < 0.35 IU/mL and Mitogen Response < 0.5 IU/mL or 2) Nil > 0.7 IU/mL and TB Response < 50% of Nil (Powell, III et al., 2011; Cellestis Limited, 2010).
**Statistical Analysis Methods**
Comparisons of both qualitative (positive/negative test interpretation) and quantitative (numeric test values) test results were performed using paired-sample methods. For assessment 3 (TST – QFT-GIT agreement) a quantitative comparison was not performed as the test measurement units were not the same (mm induration diameter vs. IU/mL of IFN-γ). For qualitative comparisons, $2 \times 2$ tables were created, and percent agreement, percent discordant, and kappa were calculated. For comparisons of day 1 and day 8 (boosting, assessments 3 and 4) test results, the percent of initial negatives that boosted to positive was calculated, and differences in proportions were assessed with McNemar’s test. For quantitative comparisons, means and medians of test results were determined, and distributions of numeric test results were compared using the Wilcoxon signed-rank test.
Multivariate logistic regression was used to determine factors that were associated with the outcome of boosting to positive (assessments 3 and 4) among those that initially tested negative. Models were refined using stepwise backward elimination and alpha of 0.05 for covariate retention. Covariates in the full model included age (as categories), sex, race/ethnicity, birth region, prior TB exposure, prior TB treatment, prior LTBI therapy, BCG history, lived outside US for > 1 year, year of previous positive TST (as categories), study site (CDC or USAF), TST placer, TST reader.
Epi Info for Windows, v 7.0 (CDC) (Centers for Disease Control and Prevention, 2016) and MS Excel (Microsoft) were used to calculate frequencies and perform $2 \times 2$ table analyses. Kappa was calculated using the online calculator “QuickCalcs: Quantify Agreement with Kappa” (GraphPad Software, 2017). Significance testing for the differences in numeric test result distribution was performed using the online calculator “Wilcoxon Signed-Rank Test Calculator” (Social Science Statistics, 2017). Tests for differences in proportions were calculated using McNemar’s test in Open Epi (Dean, Sullivan, & Soe, 2013). SAS, v9.4 (SAS, Cary, NC) was used to create various analysis variables and to perform multivariate logistic regression.
Chapter IV: Results
Subject Characteristics
One hundred fifty-eight people consented to participate in the study and all provided evaluable data (97 were enrolled at CDC and 61 were enrolled at USAF). Subject characteristics are shown in Table 1. One subject had a TST as
far back as the 1950s, but the majority (75%) had a TST since 1990. Most (72%) had received therapy for LTBI, and a smaller number (2.5%) had received treatment for active TB. Twenty percent reported a previous vaccination with BCG, and 38% reported an exposure to someone with TB.
**Test Results**
A summary of test results for the five tests is shown in Table 2. Of note is the lower number of analyzable results for the day 8 TST, a consequence of not repeating the TST when a day 1 TST reaction was $\geq 20$ mm. For the TSTs, 51.6% and 48.7% were positive with the (first) right and left arm TSTs, respectively, and 58.1% were positive with the second TST given a week later. For the two QFT-GITs, 20.8% positive with the first test increased to 46.4% positive with the second test. Frequencies of the test result values for the five tests are shown in Figure 4 for the 3 TSTs and Figure 5 for the 2 QFT-GITs. For the two QFT-GITs (Figure 4) there was a larger proportion of subjects with TB response values $< 0.1$ IU/mL for the day 1 QFT-GIT (95/149, 63.8%) as compared to the day 2 QFT-GIT (70/153, 45.8%).
**Objective I: Assessment of Within-Subject TST Variability**
Results of the qualitative assessment of within-subject TST variability are shown in Table 3 (Assessment I). Day 1 (left arm vs. right arm) TST test agreement was 84.4%, discordance was 13.6%, and kappa was 0.73. Of the 154 subjects available for this comparison, 51.9 % were positive with the left-arm TST vs. 48.7% positive with the right-arm TST, $p = 0.28$. The percentage of left-arm
positive/right-arm negative discordants was higher than the percentage of left-arm negative/right-arm positive discordants, but not significantly (8.4% vs. 5.2%, \( p = 0.28 \)). Results of the quantitative assessment of within-subject TST variability are shown in Table 4 (Assessment I). Although the mean/median for the left arm TST (9.55/10.50) were slightly higher than for the right arm TST (9.07/9.00), the distributions of induration size were not significantly different (\( p = 0.10 \)).
**Objective II: Assessment of TST - QFT-GIT Agreement**
Results of the qualitative assessment of day 1 TST vs. day 1 QFT-GIT agreement are shown in Table 3 (Assessment II). For comparison of the left-arm TST vs. QFT-GIT, agreement, discordance, and kappa were 55.4%, 44.6%, and 0.11, respectively. While 20.9% were positive with QFT-GIT, 50.7% were positive with TST, \( p < 0.0001 \). For the comparison of the right-arm TST vs. QFT-GIT, agreement, discordance, and kappa were 61.2%, 38.8%, 0.20, respectively. While 21.1% were positive with QFT-GIT, 47.6% were positive with TST, \( p < 0.0001 \). The percentage of QFT-GIT negative/TST positive discordants (37.2% and 32.7%) was significantly greater than the percentage of QFT-GIT positive/TST negative discordants (7.4% and 6.1%, both \( p \)-values < 0.0001).
**Objective III: Assessment of TST Boosting of a Subsequent TST**
Results of the qualitative assessment of TST boosting of a subsequent TST are shown in Table 3 (Assessment III) and yielded similar results for both left and right arm day 1 (\( 1^{st} \)) TSTs. Both indicate boosting. For the \( 1^{st} \) (left arm) TST compared to the \( 2^{nd} \) (any arm) TST one week later, 27.6% were discordant and
kappa = 0.46. There were 42.3% positive with 1st TST vs. 58.5% positive with 2nd TST, p < 0.0001. Of the 71 negative with the 1st TST, 38.0% were positive with the 2nd TST one week later (i.e., 38% boosted to positive). There was a higher percentage of 1st test negative/2nd test positive discordants than 1st test positive/2nd test negative discordants (22.0% vs. 5.7%, p < 0.0001). For the 1st (right arm) TST compared to the 2nd (any arm) TST one week later, 29.3% were discordant and kappa = 0.44. There were 37.4% positive with 1st TST vs. 58.5% positive with 2nd TST, p < 0.0001. Of the 77 negative with the 1st TST, 40.3% were positive with 2nd TST one week later (i.e., 40.3% boosted to positive) There was a higher percentage of 1st test negative/2nd test positive discordants than 1st test positive/2nd test negative discordants (25.2% vs. 4.1%, p < 0.0001).
Quantitative results for TST boosting of a 2nd TST are shown in Table 4 (Assessment III). Significant distribution differences for 1st and 2nd TSTs were seen for both right and left arms, with 2nd TST distribution locations much greater than 1st TST locations, thus indicating boosting of the 2nd TST. In multivariate analyses, a history of BCG was significantly associated with boosting to positive: OR 95% CI = 13.29 (1.77-99.58) for left arm and 7.00 (1.32-37.01) for right arm, (reference = no BCG history).
Objective IV: Assessment of TST Boosting of a Subsequent QFT-GIT
Qualitative results for TST boosting of a subsequent QFT-GIT are shown in Table 3 (Assessment IV). For the 1st QFT-GIT compared to the 2nd QFT-GIT one week later, 27.4% were discordant and kappa = 0.43. There were 21.2 % positive with 1st QFT-GIT vs. 47.3% positive with 2nd QFT-GIT, p < 0.0001. Of the 115
negative with the 1\textsuperscript{st} QFT-GIT, 33.5% were positive with 2\textsuperscript{nd} QFT-GIT one week later (i.e., 33.5% boosted) There was a higher percentage of 1\textsuperscript{st} test negative/2\textsuperscript{nd} test positive discordants than 1\textsuperscript{st} test positive/2\textsuperscript{nd} test negative discordants (26.7% vs. 0.7%, p < 0.0001). Quantitative results for TST boosting of a 2\textsuperscript{nd} QFT-GIT are shown in Table 4 (Assessment IV). These results also show a large and highly significant increase if distribution location with the 2\textsuperscript{nd} QFT-GIT compared to the 1\textsuperscript{st} QFT-GIT, thus indicating boosting of the 2\textsuperscript{nd} QFT-GIT. In multivariate analyses, a recent past positive TST (2000-2006, most recent) was significantly associated with boosting of the 2\textsuperscript{nd} QFT-GIT: OR 95% CI = 9.29 (1.67-51.35), (reference = earliest, 1950-1989).
Chapter V: Discussion
Introduction
The main goal of the parent study was to assess factors affecting QFT-GIT variability, the results of which have been published. The study had a TST component as well, and the data regarding the TST had yet to be analyzed. An analysis of the TST component of the parent study, described in this thesis, was therefore performed using existing data from the parent study. The goals of this analysis have been successfully realized, and the methods described in this analysis, a mixture of qualitative and quantitative comparisons of paired test result data, were sufficient to answer these questions.
Summary and Findings
While making a correct diagnosis of LTBI is critical importance, available tests are limited in their accuracy, as evidenced by higher than expected variability. This is a continuation of analyses examining variability of tests for LTBI. Variability is of concern for both TST and IGRAs such as QFT-GIT. Variability in quantitative test result may cause qualitative variability in test interpretation without a change in infection status. Test variability can affect test accuracy. Incorrectly diagnosing a true negative as positive could result in unnecessary treatment, while incorrectly diagnosing a true positive as negative could result in a missed opportunity to prevent TB.
Another concern with these two tests is how well their results agree. Many health departments and healthcare facilities are transitioning from the older TST to the newer IGRAs, using them in tandem, or using them interchangeably (since in certain cases, the use of either one is recommended). For this reason, a precise assessment of the amount of agreement between these two tests is important.
TST boosting is an immunologic phenomenon that can occur when a previously MTB-infected person’s capability to mount an immune response to MTB antigens, weakened over time, reawakens following the injection of MTB antigens with a TST. This reaction (called “boosting”) can be quantitated by either a subsequent TST or an IGRA, such as the QFT-GIT. Although this has been assessed on other studies, there is some uncertainty as to how soon this reaction occurs in QFT-GIT following TST placement. In addition, the
determination of this phenomenon and its extent, using both TST and QFT-GIT as the subsequent tests in the same population and at the same time, had yet to be performed. For each of these three concerns (within-subject variability, agreement, and TST boosting) their assessment in a population of non-diseased individuals with a past-positive TST (and hence, a history of LTBI infection) had also not yet been determined.
The assessment of within-subject TST variability (Assessment I), comparing left and right arm TSTs, yielded discordance and kappa of 13.6% and 0.73, respectively, indicating good agreement. The discordance and kappa measures are slightly lower than those found in the previous study by Chaparas, et al., which used a similar methodology (17.0% and 0.84) (Chaparas et al., 1985).
The assessment of TST- QFT-GIT agreement yielded discordance/kappa of 44.6%/0.11 for left arm TST and 38.8%/0.20 for right arm TST, thus indicating poor agreement between the two types of tests. These measures were generally similar to those found in other TST vs. QFT-GIT agreement studies using other healthy populations. The kappa estimates were slightly higher than the pooled estimate of 0.35 found by the Ayubi meta-analysis (Ayubi et al., 2015).
TST boosting, of both a subsequent TST and a subsequent QFT-GIT, was demonstrated. For the assessment of TST boosting on a subsequent TST (Assessment III), of those with a negative initial TST, 38% (left arm TST) and 40% (right arm TST) converted to a positive TST when the TST was administered a week later. These boosting rates are higher than the range of rates seen in the literature (5.1% to 13.2%). One likely reason for this is that all of
the subjects in this study had a prior positive TST, which was not the case in any of the populations used in the previous studies. For the assessment of TST boosting on a subsequent QFT-GIT (Assessment IV), of those with a negative initial QFT-GIT, 34% converted to a positive QFT-GIT when the QFT-GIT was administered a week after the initial QFT-GIT and TST. This boosting rate is within the wide range seen in the previous studies assessing boosting of QFT-GIT. These rates of boosting were greater than within-subject TST variability of 13.6% found in this study and greater than QFT-GIT within subject variability of 5.0% found in a previous analysis (Whitworth et al., 2014), $p < 0.0001$.
In the multivariate analysis, BCG was found to be significantly associated with boosting of TST, but not QFT-GIT. This may be due to PPD boosting of cross-reactive immune response initiated by BCG. However, since BCG lacks ESAT-6 and CFP-10, vaccination does not elicit a primary immune response to these antigens and a subsequent TST would not boost the response to these antigens. Thus, a PPD injection might boost a TST response initiated by BCG, but not boost the ESAT-6 and CFP-10 response measured by QFT-GIT. In contrast, injection of PPD for TST following treatment and resolution of TB or LTBI, could boost subsequent TST and QFT-GIT responses.
**Limitations**
A limitation of this study is its non-generalizability. The study population was selected based on a prior positive TST rather than a selected sample that is representative of the U.S. population. Therefore, all participants had a history of LTBI. As stated, this selection was done to enrich the population of subjects with
those that had a high probability of a positive QFT-GIT result, and additionally, to ensure that there was sufficient number of subjects that could be assessed for boosting, since the boosting phenomenon requires a prior infection. This requirement of the participants to have a prior positive TST was necessary to do since the LTBI rate among the U.S. population is relatively low, and therefore, a random sample from the general population would not have adequately provided the necessary amount of those with a history of infection. Another possible limitation of this analysis was the use of a single TST cutoff point of 10 mm. It was beyond the scope of the present analysis to have performed a parallel assessment using a 15 mm cutoff point, which is normally used for low-risk populations. It would have been interesting to see what difference the use of this lower cutoff point would have made in the findings.
**Implications**
PPD injection for a TST may boost subsequent TST and QFT-GIT responses and increase the number of people testing positive by either test. Positive TST and QFT-GIT results following a TST may be due to boosting, and may not indicate new or existing MTB infection. This may inflate estimates of infection prevalence. For example, in an attempt to identify converters who are thought to be newly infected, repeat TST is advised for contacts who initially test negative. However, some of those testing positive with repeat testing may have converted due to boosting and not due to a new MTB infection. Some guidelines and many programs recommend initial screening with TST and confirmation of positive
results with an IGRA. However, for some people, a follow-up positive IGRA may be due to boosting.
The results of this study could be most applicable to populations in high-burden settings, such as high-burden countries like South Africa, where the LTBI prevalence can be as high as 89% (Ncayiyana et al., 2016; Stop TB Partnership, 2017; Wood et al., 2010). Information of this kind can be used to inform public health officials who regularly use the TST in health departments and screening programs, and especially in LMIC settings with high background TB infection rates, where the TST is still recommended (World Health Organization, 2011). The results from this analysis provide a valuable addition to the existing sparse literature on within-subject TST variability, of which only two studies using multiple TSTs performed in the same person exist (Chaparas et al., 1985; Furcolow et al., 1967). These results also add to the existing literature on TST - QFT-GIT agreement in non-diseased populations with high background TB infection rates. The agreement findings from this analysis are, as well, beneficial in these settings, especially where the TST and QFT-GIT are used interchangeably, in order to provide caregivers a reliable estimate of how often these tests can disagree. The demonstration of TST boosting of a subsequent QFT-GIT also provides a beneficial and informative addition to the existing literature on TST boosting of both TST and QFT-GIT responses, and especially provides a much-needed confirmation of this effect in QFT-GIT, which was demonstrated seven days after TST administration.
Recommendations for Future Studies
Recently, a new type of TST has been developed (Aggerbeck et al., 2013; Bergstedt et al., 2010). The C-Tb is identical to the TST, except that instead of using PPD, C-Tb uses the same antigens used in IGRAs (ESAT-6 and CFP-10), resulting in improved specificity. It thus combines simplicity of skin test with high specificity of the IGRA. C-Tb has been shown to have a high concordance with QFT-GIT (approximately 95%) and, although not currently being used yet, has the potential to eventually replace the TST (Abubakar, Jackson, & Rangaka, 2017; Hoff et al., 2016; Ruhwald et al., 2017). Future studies, examining the same assessments that are described in this analysis and using the same study design will, therefore, be necessary using not only this new TST, but also the new QuantiFERON-TB Gold Plus. Of particular interest will be to see how, if any, boosting is caused by the new C-Tb test.
Conclusions
Results from this analysis of within-subject TST variability, TST – QFT-GIT agreement, and TST boosting show good agreement between two TSTs placed simultaneously in the same individual, but poor agreement when the TST is compared to the QFT-GIT. Boosting, caused by a TST on a subsequent TST and QFT-GIT, was also demonstrated. The presence of a history of a BCG vaccine was significantly associated with the likelihood of TST boosting to positive. The findings from this analysis, performed on subjects with a prior positive TST, are in keeping with findings from the same assessments in previous studies.
Figures
Figure 1. TST Boosting.
Infection (TST+ or IGRA+) → months to years immune reaction weakens → TST - (antigens injected into "primed" immune system) → ~ 1 week → TST + or IGRA +
Figure 2. Two-Step TST Procedure.
Baseline skin test
Negative
What is the Reaction?
Retest 1-3 weeks later
Person probably has TB infection
Positive
Follow-up for positive TST and evaluate for LTBI treatment
Negative
What is the Reaction?
Person probably does NOT have TB infection
Repeat TST at regular intervals; a positive reaction could be due to a recent TB infection.
The reaction is considered a boosted reaction (due to TB infection that occurred a long time ago). Note: The person does have LTBI; a decision must be made whether to treat or not.
Follow-up for positive TST and evaluate for LTBI treatment
Figure courtesy of the Centers for Disease Control and Prevention, 2016. https://www.cdc.gov/tb/topic/testing/healthcareworkers.htm
Figure 3. Sub-study design.
| Day 1 | Day 3 | Day 8 | Day 10 |
|-------|-------|-------|--------|
| **1st QFT-GIT Collected**
(results next day) | **2nd QFT-GIT Collected**
(results next day) | **3rd TST Read**
(LEFT arm or RIGHT arm) |
| Two TSTs Placed
(LEFT arm and RIGHT arm) | Two TSTs Read
(LEFT arm and RIGHT arm) | 3rd TST Placed
(LEFT arm or RIGHT arm) |
Assessments:
1. TST Variability
2. QFT – TST Agreement
3. TST Boosting
4. QFT Boosting
Figure 4. Frequencies of measured TST induration size.
- Day 1 TST on left arm, n=155
- Day 1 TST on right arm, n=154
- Day 8 TST on either arm, n=124
Induration Diameter, mm
# Subjects
0 1-4 5-9 10-14 15-19 20-24 25-29 30-34 35-39 40-44 45-49 ≥ 50
(-) (+)
Figure 5. Frequencies of measured TB Responses from QFT-GIT.
TB Response, [IFN-γ], IU/mL
# Subjects
Day 1 QFT-GIT, n=149
Day 8 QFT-GIT, n=153
(-) (+)
< 0.1 0.1 - 0.34 0.35-0.60 0.61-0.99 1.00-4.99 5.00-9.99 10.00-14.99 15.00-19.99 ≥ 20
Table 1. Subject characteristics, N = 158 (97 CDC, 61 USAF).
Age, years (mean, median, range)
45.2, 46, 24 to 74
Time since last positive TST, years (mean, median, range)
16.7, 13.5, 4 to 52
| Category | n (%) |
|---------------------------------|-------------|
| **Age Categories, years** | |
| 20 - 29 | 16 (10.1%) |
| 30 - 39 | 35 (22.2%) |
| 40 - 49 | 45 (28.5%) |
| 50 - 59 | 42 (26.6%) |
| ≥ 60 | 20 (12.7%) |
| **Gender** | |
| M | 70 (44.3%) |
| F | 88 (55.7%) |
| **Race/Ethnicity** | |
| White, non-Hispanic | 79 (50.0%) |
| Black, non-Hispanic | 37 (23.4%) |
| Hispanic | 15 (9.5%) |
| Asian/Pacific | 18 (11.4%) |
| Native American | 1 (0.6%) |
| Other | 8 (5.1%) |
| **Year of Last Positive TST** | |
| 1950 - 1959 | 1 (0.6%) |
| 1960 - 1969 | 8 (5.1%) |
| 1970 - 1979 | 12 (7.6%) |
| 1980 - 1989 | 18 (11.4%) |
| 1990 - 1999 | 65 (41.1%) |
| 2000 - 2006 | 54 (34.2%) |
| **Received Therapy for TB** | |
| Yes | 4 (2.5%) |
| No | 154 (97.5%) |
| Category | n (%) |
|-----------------------------------------------|----------------|
| Received Therapy for LTBI | |
| Yes | 114 (72.2%) |
| No | 43 (27.2%) |
| Unknown | 1 (0.6%) |
| Exposure to Active TB | |
| Yes | 60 (38.0%) |
| No | 74 (47.1%) |
| Unknown | 24 (15.2%) |
| BCG Vaccine | |
| Yes | 32 (20.3%) |
| No | 112 (70.9%) |
| Unknown | 14 (8.9%) |
| Region of Birth | |
| United States and Canada | 113 (71.5%) |
| Asia | 14 (8.9%) |
| Central America/Caribbean | 12 (7.6%) |
| Africa | 7 (4.4%) |
| Europe/Russia | 4 (2.5%) |
| Pacific | 3 (1.9%) |
| Southeast Asia | 2 (1.3%) |
| Middle East | 2 (1.3%) |
| South America | 1 (0.6%) |
| Years Lived Outside USA | |
| 1 - 10 | 63 (39.9%) |
| 11 - 20 | 14 (8.9%) |
| 21 - 30 | 12 (7.6%) |
| 31 - 35 | 3 (1.9%) |
| None | 66 (41.8%) |
| Lived/worked/volunteered in homeless shelter, jail, or drug rehab unit | |
| Yes | 46 (29.1%) |
| No | 112 (70.9%) |
| Lived/worked/volunteered > 1 month in a hospital or nursing home | |
| Yes | 109 (69.0%) |
| No | 49 (31.0%) |
Table 2. Characteristics of the five tests.
| Test | N | Minimum | Maximum | Mean | Median | N (%) Positive |
|-------------------------------|-----|---------|---------|-------|--------|----------------|
| First (day 1) TST (Left Arm) | 155 | 0 | 49 | 9.50 | 10.00 | 80 (51.6%) |
| First (day 1) TST (Right Arm) | 154 | 0 | 45 | 9.10 | 9.00 | 75 (48.7%) |
| Second (day 8) TST (Either Arm)| 124 | 0 | 50 | 11.60 | 11.50 | 72 (58.1%) |
| First (day 1) QFT-GIT | 149 | -0.59 | 26.63 | 0.96 | 0.30 | 31 (20.8%) |
| Second (day 8) QFT-GIT | 153 | -0.14 | 37.74 | 4.39 | 0.19 | 71 (46.4%) |
Table 3. Qualitative results (summary of $2 \times 2$ table analyses).
| Assessment | Comparisons | Test 1 | Test 2 | n | Concordant | Discordant | % Discordant | Kappa |
|------------|------------------------------|--------|--------|-----|------------|------------|--------------|-------|
| | | | | | Cell A | Cell D | Cell B | Cell C | Test 1 + | Test 1 - | Test 2 + | Test 2 - | |
| I. Within-Subject TST Variability | TST, left arm | 154 | 67 | 66 | 13 | 8 | | | 13.6 | 8.4 | 5.2 | 0.73 | 51.9% (80/154) positive with left arm vs. 48.7% (75/154) positive with right arm, p = 0.28 |
| II. TST – QFT-GIT Agreement | QFT-GIT | TST, left arm | 148 | 20 | 62 | 11 | 55 | | 44.6 | 7.4 | 37.2 | 0.11 | 20.9% (31/148) positive with QFT-GIT vs. 50.7% (75/148) positive with TST (left arm), p < 0.0001 |
| | QFT-GIT | TST, right arm | 147 | 22 | 68 | 9 | 48 | | 38.8 | 6.1 | 32.7 | 0.20 | 21.1% (31/147) positive with QFT-GIT vs. 47.6% (70/147) positive with TST (right arm), p < 0.0001 |
| III. TST Boosting of a Subsequent TST | TST, left arm | TST, either arm (1 week later) | 123 | 45 | 44 | 7 | 27 | | 27.6 | 5.7 | 22.0 | 0.46 | 42.3% (52/123) positive with 1st TST (left arm) vs. 58.5% (72/123) positive with 2nd TST, one week later (either arm), p < 0.0001 |
| | TST, right arm | TST, either arm (1 week later) | 123 | 41 | 46 | 5 | 31 | | 29.3 | 4.1 | 25.2 | 0.44 | 37.4% (46/123) positive with 1st TST (right arm) vs. 58.5% (72/123) positive with 2nd TST, one week later (either arm), p < 0.0001 |
| IV. TST Boosting of a Subsequent QFT-GIT | QFT-GIT | QFT-GIT (1 week later and 1 week after TST) | 146 | 30 | 76 | 1 | 39 | | 27.4 | 0.7 | 26.7 | 0.43 | 21.2% (31/146) positive with 1st QFT-GIT vs. 47.3% (69/146) positive with 2nd QFT-GIT, one week later, p < 0.0001 |
| | QFT-GIT | QFT-GIT (1 week later and 1 week after TST) | 146 | 30 | 76 | 1 | 39 | | 27.4 | 0.7 | 26.7 | 0.43 | 21.2% (31/146) positive with 1st QFT-GIT vs. 47.3% (69/146) positive with 2nd QFT-GIT, one week later, p < 0.0001 |
Boosting: Of 71 negative with 1st TST (left arm), 38.0% (27/71) became positive with 2nd TST, one week later (either arm).
Boosting: Of 77 negative with 1st TST (right arm), 40.3% (31/77) became positive with 2nd TST, one week later (either arm).
Boosting: Of 115 negative with 1st QFT-GIT, 33.5% (39/115) became positive with 2nd QFT-GIT, one week later.
Table 4. Quantitative results.
| Assessment** | n Compared | Test Results Compared | Mean | Median | P*** |
|--------------|------------|-----------------------|--------|--------|------|
| I. Within-Subject TST Variability | 154 | Day 1 TST on left arm | 9.55* | 10.50 | 0.10 |
| | | Day 1 TST on right arm| 9.07 | 9.00 | |
| III. TST Boosting of a Subsequent TST | 123 | Day 1 TST on left arm | 7.33 | 7.00 | <10^{-5} |
| | | Day 8 TST on either arm| 11.70 | 12.00 | |
| | 123 | Day 1 TST on right arm| 6.44 | 5.00 | <10^{-10} |
| | | Day 8 TST on either arm| 11.70 | 12.00 | |
| IV. TST Boosting of a Subsequent QFT-GIT | 147 | Day 1 QFT-GIT | 0.97 | 0.03 | <10^{-10} |
| | | Day 8 QFT-GIT | 4.34 | 0.22 | |
* Values are induration diameter (mm) for TST and IFN-γ concentration (IU/mL) for QFT-GIT.
** Quantitative Assessment II not performed because of different type/scale of test values (i.e., mm vs. IU/mL).
*** Wilcoxon signed-rank test.
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Advance the Kingdom – S.H.I.F.T.
This is the clarion call for members of the Moravian Church Eastern West Indies Province. This is not a theme for a year but for the season or period of our current location. The goal is to get the theme on members’ lips and in their hearts so that when the various strands of the theme are unpacked and received, we would all be positioned for a move of the Spirit of God in repositioning the church.
As shared in our previous issue, S.H.I.F.T. stands for "seek and submit"; "hear and heed"; "imagine and insight"; "focus and function"; and "totally transformed." As each of these sub-themes is unpacked there is much biblical truth to captivate the hearts and minds to create the transformation that must come to each of us if this church is to be better aligned with the plans and purposes of God.
In January’s issue, the focus was on “seek.” We saw Moses being sought by God and eventually seeking God on the way to being used by God as a mighty deliverer. After seeking God or even while seeking God, we are called to submit.
What does it mean to submit? The word “submit” is not a pleasant word for many. A preacher declared that “submit” is not a bad word. However, he conceded, that it was usually found in “bad company” such as physical, psychological, and spiritual abuse. To submit is the act of yielding to another, or give way to another. Relative to God, being submitted is an acknowledgement of the sovereignty of God and that God’s authority is greater. Jesus’ declaration, “Nevertheless, not my will, but yours, be done” (Luke 22:42) shows this clearly. Jesus had other plans, “remove this cup from me,” but he submitted to the authority of his father. How does this work for the church in 2020? There are no formulas or detailed blueprints to follow. Matters of faith are uniquely adaptive in that we respond to them as they arise.
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Vision Statement
A Church - Transformed, United, Victorious in Christ
Mission Statement
By the grace of God, we seek to be faithful to our Lord Jesus Christ; without distinction, we use all that we possess to call all peoples to the truth of the Gospel through worship, evangelism, discipleship and service.
Mailing Address
Moravian Church - EWIProvince
Cashew Hill, P.O. Box 504
St. John’s, Antigua
Tel: (268)560-0185 , Fax(268)462-0643
EMAIL ADDRESS
Office: email@example.com
Chairman: firstname.lastname@example.org
WEB ADDRESS : //www.moravians.net
Let us continue to look at Moses. When Moses turned aside to see the burning bush that was not consumed, God instructed him to take off his shoes because he was standing on holy ground. Moses submitted and obeyed. The directive was simple. When he was told about deliverance for the Israelites, submitting was not as easy. He resisted, preferring his own assessment of himself, rather than God’s knowledge of his abilities. Sadly, this continued with Moses as he persisted to question God, believing that God had made a mistake.
As we contemplate what submission looks like for us as individuals, I suggest that we should not walk away from those conversations with God. God has already chosen persons for tasks and the gifts and call of God are irrevocable (Romans 11:29). Resist the temptation to look at your abilities or lack thereof and think of all the ways that this could not possibly be from God. Invest time to wrestle with God to ensure that you hear God clearly. If there is a secret to submitting to God, it might have something to do with an individual’s ability to hear God well. Like Moses, many people hear God through the filter of their sense of self, other people’s sense of who they are, or even through current trends. Whereas all these assessments may be right, God’s choice is perfect. So, we need to learn how to silence the noise.
Noise is a reference to the mental chatter that often derails or delays the plan of God. To silence the noise, there must be a recognition that God is the ultimate power and the source of all things. Persons committed to silencing the noise recognize that productivity in the economy of God is God’s prerogative and not dependent on human effort. This is what Moses was learning in the exchange – it is not about you Moses; your part is to yield, to give way to the greater authority that stands above you. In this conversation, the noise of personal competency and ability, of external pressure to perform (expectations of those to be delivered), of personal preferences, and even for external validation, had to be quieted so that the controls could be handed over to God.
This was new for Moses. He needed help. God instructed Moses to “cast it on the ground” (4:3) - the rod that was in his hand. That which was in Moses’ hand became a serpent from which Moses ran. God called him back to take hold of the serpent of which he was afraid. As he submitted to the directive, the serpent became a rod again. God continued to coach Moses about what it meant to submit to God by instructing him to place his hand in his bosom (4:6). When he removed his hand, it was leprous. He was again instructed to place it in his bosom and remove it and that leprosy was removed.
By these demonstrations, God was saying to Moses, as you submit to my plan for your life, these abilities flow into you from me. The abilities are not resident in Moses but in God who releases them as Moses submits to God. Moses was not convinced as the noise was still in his head reminding him of his perceived lack of eloquent. One would think that if God could turn a dead rod into a living serpent and cure leprosy, that God could put words in Moses’ mouth. But Moses thought otherwise and that affected the degree of his submission to God. The noise in Moses' head was never completely silenced so that even when he got victories following the directives of God, he kept listening to other sounds that contracted with the voice of God.
This is a powerful truth for all who wish to submit to God. We must deal with the noise or we will forever doubt what God is doing in our lives, through our lives, and because of our lives. Noise is part of the human condition. Yet still, God calls us to defy the noise the same way Jesus challenged Peter to defy the noise when he called him to come out of the boat and come to him. In other words, when Jesus called Peter, Peter had to defy his logical thoughts about the nature of water and the rolling waves, and submit only to the directive of Jesus – Come (Matt 14:29). When Peter refocused on the noise (the waves and winds), he started to sink but was quickly saved by Jesus in response to his call.
Anyone who desires to submit to God must contend with the noise but affirm that God is greater. How might we submit to God? Submission comes with knowledge and experience. Put another way, get to know God. There is no substitute for having a deep, personal knowledge of God. To be clear, all human knowing of God is profoundly limited – God is infinite and we are finite (Isaiah 55:9 & Romans 11:33-34). Yet God reveals the divine self so that we may know God and submit to God. Each experience of God is to teach us about God. Reading Scripture reveals the nature of God. Hearing other people talk about their experiences of God is also a teaching moment about the nature of God. While each experience may not reveal something new about God, God may have orchestrated the event to reinforce what was already learnt about the divine nature.
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The Significance of Christmas
By Rev. Kevin St. Hill
Grace and peace my family in Christ, the honour is mine to aid us in reflection on a compelling, yet increasingly contentious topic in Christendom, that we would do well to confront and reconcile within our section of God’s vineyard.
The topic that I am referring to is Christmas. I acknowledge that this is an out of season topic, but it would do us well to fortify ourselves with the following knowledge, so that as we eventually enter into Advent, should the Lord tarry, we would be able to celebrate with even greater conviction, in circumstances where it may have been lacking. Ever so often, in my brief time on earth, I either find myself engaged in, or in the periphery of a discussion, where the rhetoric begins to take the form that sounds something like this: “Christians should not be in the practice of celebrating Christmas, because it is a pagan holiday! We need to check our history! We’re doing the wrong thing!”
The previously mentioned, have been charges made out to me, and charges I have overheard. Charges that dare not go unaddressed, for it is a question of our very spiritual culture and identity, which calls us into reflection for the purpose of affirming our faith and our faith practices.
It is my humble belief, that these concerns can all be addressed, under to overarching theme of: “The significance of Christmas.” This small piece will take a dual pronged approach, firstly considering the historical significance of Christmas, and then the thematic/theological significance of Christmas as gleaned from scripture.
Christmas, at its root meaning is: “Christ’s mass” (Kelly, 2004) or the Mass of Christ. Which means it is a religious festival in celebration of Christ. This is important because even at its most fundamental level, the focus is on Christ, not on the commercial, mythical elements that the world has diluted the holiday with.
As we consider Christmas, it is useful to note, that this somewhat contentious matter, was a non-issue for the early Church. In fact, if we consider the construction of the cannon, we would see a potent illustration of this truth!
For the honoured 27 Books that comprise the New Testament Cannon, there are only 2 that narrate the birth of Jesus. What can we draw from this? Does this mean that the birth of Christ was unimportant to the early Church? The Birth of Christ was of paramount importance then as it is of paramount importance now. So then why is so little written about it?
The reason for their being only 2 books, which narrate the birth of Christ, was that the early Church was of the opinion that the second advent of Christ would be in short order, so they were hastily getting themselves ready, so that when He arrived, they would be a pleasing and acceptable sacrifice to Him and be welcomed into His Kingdom. And this is reasonable. In circumstances, where we are urgently awaiting a bus, and we hear the bus is close by; we don’t stop and get breakfast! We scramble outside to the bus stop so we can get our ride and we worry about eating later!
Only the gospels according to Matthew and Luke, narrate the birth of Christ, and what we can glean from this truth is that the date of the birth of Jesus was not a matter of obsession for the early Church, but they were much more captivated with the meaning of the birth, the kind of life the Child would go on to lead and the implications of those events for the world. As we consider the significance of Christmas, I urge us to let us also adopt this mind-set that date is not where we place our focus, but the significance of the event should be where our energies are centred.
If we scan the scriptures, we see that for the early Church, the birth of Jesus was not accompanied by too much external fanfare. Kelly (2004) attributes this to retention of Jewish practice, as the Church was adopting its own practices. The Canonical New Testament was only completed and codified, after over 200 years, since the passing of Jesus. And with such a tremendous passing of time, the expansion of the Church had also occurred. Incorporating a diverse amount of people, and with the diversification of people came a diversification of practice.
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Advance the Kingdom~ S.H.I.F.T
The early Church went from one where the celebration of birthdays was seen as pagan and sinful to majority of Christians, who were of Jewish descent, to one where it was normalized as non-Jews/Gentiles made up the majority of the Christian populace.
With a shift to the observance and celebration of birthdays in Christianity, there came a need for the recognition of the Nativity of Christ, for by the 2nd century of the early Church wide-spread persecution of the Church was occurring, and the honouring of Christ’s birth, became another way to connect with the Master, and that should be at the heart of every Christmas celebration: connecting with Jesus. Kelly (2004) posits that some sections of the early Church began to identify the 6th of January as the day of Christ’s birth. Not necessarily because He was born on that day but because that was the day He was held to have been baptized, making it his ‘spiritual’ birthday. To this day, the Eastern Orthodox Church observes January 6th or 7th as Christmas. For the Church in the West: Roman Catholics and Protestants, January 6th represents Epiphany, where the Magi visited the newly born Christ-child, symbolizing the global reach of Jesus.
The date of January 6th fell out of favour with the Western Church because as time passed, and Mathematical ability advanced, matching Christ’s birth with his death, in terms of season, and since Christ died around the time of the Passover, a Spring time season, was more favoured rather than January. It is at this juncture, a truth must be reconciled. There are many who charge, that the Church should not celebrate Christmas because it coincided, with the celebration of Pagan festivals. To this I submit, that the Church has long had a revisionist approach to culture, where aspects of it promote revelry and other forms of ungodliness. The ideology was to immerse the Church in the culture, without being infiltrated by the untoward aspects of it. Hence, January 6 was also noted to be a pagan Egyptian festival, but the Egyptian Christians wanted to counter that distraction as well. My family in Christ, we still do the same thing today! In one of the congregations I pastor, during Carnival Monday, the Church hosts a time of spiritual retreat, so as to give the membership and community at large another outlet for gathering.
In the Western world, the calendar, held March 25 to be spring equinox, equinox being drawn from the Latin Equi: Equal and Nox: Night, where the day and night are of equal length throughout the day.
This day symbolized the rebirth of creation and was seen as the day when God said: “Let there be Light” and as Jesus was the Light of the world, this day held special significance. The Church Fathers then surmised that since March 25, was the day of creation, then it was also the day of conception and if we count 9 months away from March 25, we get the currently celebrated day of December 25! This was also desirable to the Church as it allowed further implementation of cultural revision. For December 25, was around the pagan feast of Saturnalia, where servants were given freedom to do whatever they wanted, they could eat as much as they want, before the wealthy did, they exchanged presents, there was a lot of eating, drinking, merriment, and lewd behaviour. Basically it was a precursor, to the commercialized contemporary view of Christmas that is propagated today! And so by celebrating Christmas on the 25, the Church was effectively countering debaucheries with a call to prayer and moral significance. It is on this premise that we as a Christian community should embrace the 25th as a day of symbolic significance and Holiness, for that is what any Holiday is: a HOLY DAY! We can take solace in knowing that the selection of the day we celebrate Christmas was not out of any Moral or spiritual compromise but of moral and spiritual commitment!
It is on the topic of symbolism that I will now transition briefly into the significance of Christmas as gleaned from the Gospel narratives. In Matthew, we are introduced to Jesus, through a genealogy in Chapter 1, and from this we can glean the undisputable fact, that Jesus was a real person who lived, and dwelt among us. The Genealogy shows his Jewish ancestry, citing Patriarchs such as Abraham, Isaac, Jacob and David, but it also identified, non-Jews of diverse backgrounds, like Tamar, who was a prostitute, and Ruth a gentile widow, who remarried. Showing that Jesus was connected to both Jew and Non-Jew, nomad or noble, male or female.
The Narrative of Matthew also illustrated the truth of scripture, as numerous prophecies, highlighted, were realized through the Nativity of Christ. We see the dawning of the end of earthly corruption as the Advent of Jesus was received with great anxiety by King Herod, who knew that his farcical authority would be undermined.
The Cross cultural reach of Jesus, and the affirmation of his Ministry are also presented through the Matthean narrative, As Jesus, called to wise men to Himself, through a star, which was an especially unique way that only those of their abilities could relate to!
Truly Jesus calls all of us in ways we can uniquely relate to! Moreover, Egypt, the place of past persecution became the place of future refuge for the Christ Child, signalling his ministry of reconciliation!
With regards to His ministry, we can see that Jesus is most worthy of celebration, as he is presented with Gifts of Gold: fit for a king, Incense – the tool of a priest, and Myrrh- the tool of embalment, fir for a sacrifice.
In the gospel according to Luke, we are presented with the truth that God is still able to perform miracles, as the conception of Jesus occurs in the womb of a Virgin and the barren couple of Zechariah and Elizabeth conceive!
But for me as a young, African descended Christian, what is especially significant about the Christmas account is that it represented a PARADIGM SHIFT! From patriarchal exclusivity to dynamic inclusivity!
The narrative of Luke highlights an instance where a young, female, girl of low status, is shown to express greater faith than a Priest, who is male and who has age, all symbols of authority through the Jewish lens. Not only does she show greater faith but the text goes onto highlight her ability as she praises and prophecies through the Magnificat! This Paradigm Shift, is not only with regards to age, stage and gender, but it is economic, for where Matthew illustrated that Magi came, who were men of ability and status, Luke highlights that shepherds came, common folk. Anyone can come to Jesus! Not just that but anyone can serve Him at the highest level! For Luke introduces us to Simon and Anna, who both ministered before Jesus!
My family in Christ, I conclude, on this note. Christmas is a special and sacred time for us in the Christian Community. There have indeed been charges made that we should not celebrate it because it has pagan undertones and connections. I submit to us, that the date is not as important as what the event itself symbolized. Salvation for the people of the world from sin, and from the conventions perpetuated by sin! In fact when confronting, any connections to pagan behaviour we can take solace, in knowing that any Christian day of celebration was made to counter, not conform to any ungodly behaviour! May our holidays be happy and Holy days indeed!
References
Kelly, J. F. (2004). *The origins of Christmas*. United States, Minnesota: Liturgical Press
Annual Superintendents’ Conference
The Provincial Elders Conference of the Moravian Church Eastern West Indies Province met February 3 – 6, 2020 at the Provincial Headquarters in Cashew Hill, Antigua. The Annual Superintendents’ Conference convened February 4 – 6, 2020 as a part of the PEC’s first meeting of the year.
L to R front row only Rev. Ezra Parris – Barbados Conf. Rev. Eulencine Christopher VI conf., Rev. Bonnie E.B.W.Smith-Antigua Conf. Rev. Ulston P. Smith-Trinidad Conf. Rev. Esther Moore-Roberts,- Tobago Conf. Rev. Hilton Joseph Kitts Conf.
During the Conference, members of the PEC and Superintendents shared in a Retreat on Leadership Development & Empowerment led by Bishop Conrad Spencer. It was an enlightened and empowering time of reflection. Bishop Kingsley Lewis led the Opening devotions and Rev. Hilton Joseph, Superintendent of the St. Kitts Conference led the Closing devotions and Time of Prayer.
As a part of the Conference, Superintendents reported on their various Conferences. The PEC shared its vision for the Province moving forward and Bro Anselm Richards, Lay Member of the PEC discussed the statistical challenges facing the Province.
In attendance at the meeting were the following persons: Rev. Algernon Lewis - Chairman, Rev. Dr. Errol Connor – Vice Chairman of PEC, Rev. Dr. Adrian Smith – Secretary of PEC, Sis. Karen Challenger-George – Lay Member of PEC, Bro. Anselm Richards, Lay Member of PEC, Sis Elisa G. Hodge – Treasurer of PEC and Sis Megan Samuel-Fields – Assistant Treasurer of PEC. All Superintendents were in attendance: Rev. Bonnie Smith – Antigua; Rev. Ezra Parris – Barbados, Rev. Hilton Joseph – St. Kitts, Rev. Esther Moore-Roberts – Tobago, Rev. Dr. Patmore Smith – Trinidad, and Rev. Eulencine Christopher – Virgin Islands. Everyone in attendance was able to share and fellowship with each and left, united and committed to make the necessary “SHIFT” in order to advance the kingdom of God.
Reinforced learning is to bolster our confidence in the nature of God which should make it easier to submit to the directives of God. An individual’s knowledge of God should enhance the capacity to submit to God. If the knowledge of God does not inspire submission, then nothing else will help.
Trust should also inspire submission. To trust is to have a firm belief in someone of something, in this case, God. We learn to trust God through the experiences we have with God. Each experience Moses had, he was learning to trust God. Even though Moses seemed not to trust God in this initial encounter, his actions testified otherwise. He went to his father-in-law to request permission to leave, packed his family, and left (4:20 a). He submitted because he trusted that the God who showed up in the bush, in the rod, and in the leprous hand was on the journey with him. Was he 100 percent sure? Of course not! But he was convinced enough to trade the safety of shepherding in the desert for the risky mission of deliverance in Egypt. He knew the possibility of death; but by this time, he also knew the power of God and the tools he had in his toolkit (4: 20b-21) as a submitted servant of God.
How does this relate to the church? We need to be reminded that the church is a divine organism – the body of Christ. At this moment, the church seems defeated by modernity and all the attendant issues. The current state of the church does not inspire much hope. But, as we contemplate the realities of the church, we are reminded that God is ultimately in charge of the church. This singular fact should draw us into the place to seek God on behalf of the church. As God responds, we must be prepared to submit. It is not strategic plans, critical thinking, innovation or any human activity that will make the difference. Submitting to what God desires for us at this time is where we are called to be. When we seek and submit to God, we will be prompted to shift our mindset and activities. As we allow God to take the lead, the breakthrough will come. When I think about seeking and submitting to God, I think about getting out of the way and allowing God to dictate the pace. As an institutional leader, that is uncomfortable; but as a submitted servant of God, it is my preferred disposition – let go and let God manage the church.
The days ahead are uncertain, meaning, no one knows what will happen next. However, I am confident that as we truly seek God in prayer and fasting and determine to submit to what God instructs, that it will be well. Some would prefer a response with a greater degree of certainty. However, the message that is being sent at this time, is that we are seeking God and submitting to God, believing for new life to come.
Unity Sunday
The PEC Makes the following Announcements:
- Sunday March 01, 2020 is Unity Sunday. It was on this day in, 1457 that the Moravian Church was born. We ask for your continued prayers for the work and witness of our Church.
A special Unity offering will be taken in all Moravian Churches worldwide on that Sunday March 01, 2020 for the continued mission of the church.
Theological Education Sunday
Sunday March 29, 2020 is Theological Education Sunday. On this day annually we remember in prayer our Warden/Tutor and all of our ministers in training.
At present, there is one (1) Minister in training: Sis. Marleen Browne. Our Warden/Tutor is the Rev. Neilson Waithe.
Let us remember them especially in our prayers.
A special offering will be taken on March 29, 2020 to go towards the continuing Education of our Minister in Training.
Call Advisory
The PEC Makes the following Announcements:
1. The Rev. Dr. Dion Christopher has been seconded to the Moravian Church in North America, Southern Province for five (5) years and has been appointed to serve as the pastor of the Prince of Peace Moravian Church. This call takes effect from March 1, 2020.
2. The Rev. Dr. Jeremy Francis has been called to serve as the pastor of the Friedensberg Moravian Church in Frederiksted, St. Croix. This call takes effect from March 1, 2020.
3. The Rev. Georgette John-Cotton has reapplied for the pastoral ministry of the Moravian Church Eastern West Indies Province and has been called to serve as the pastor of the Gracehill Moravian Church in Antigua. This call takes effect on March 1, 2020.
Please keep our brothers and sisters and their families in prayer as they continue to walk in obedience to the call of God on their lives.
The Unity Prayer Watch is a special service to the world, offered by the worldwide Moravian Church. The Eastern West Indies Province will participate in the Unity Prayer Watch from 12:00a.m April 03 - Midnight April 17, 2020. The Schedule is as follows:
Conferences are asked to observe the time allotted for our members to engage in the unbroken prayer chain. This prayer meeting began on August 13, 1727 when the Moravian Church had its Pentecost experience. The Church was so much on fire that the Prayer meeting lasted for 100 unbroken years.
Let us therefore encourage our members to be in prayer, as we continue to seek God’s guidance and direction for our Church and indeed our lives.
| Name of Conference/Mission | From | To |
|----------------------------|-----------------------|---------------------------|
| Grenada Mission | 12:00a.m. April 03 | 8:00a.m. April 03, 2020 |
| St. Kitts | 7:59a.m. April 03 | 8:00p.m. April 05, 2020 |
| Trinidad | 7:59p.m. April 05 | 8:00p.m. April 06, 2020 |
| Virgin Islands | 7:59p.m. April 06 | 8:00p.m. April 09, 2020 |
| Barbados | 7:59p.m. April 09 | 8:00p.m. April 12, 2020 |
| Tobago | 7:59p.m. April 12 | Midnight April 14, 2020 |
| Antigua | 11:59p.m. April 14 | Midnight April 17, 2020 |
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**Birthday Celebrants for February**
- Sis. Adelyn Binta Mgonela 3
- Bro. Cortroy Jarvis 7
- Bro. Junior Sean Roberts 10
- Sis. June Mcmillan 17
- Bro. Adrian Smith 21
- Bro. Errol Connor 21
- Sis. Billie Sterling-Lewis 22
- Sis. Esther Moore-Roberts 24
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**Wedding Anniversary Celebrants for February**
- Sis. Georgette John-Cotton & Bro. Vondell Cotton 15
- Bro. Kingsley & Sis. Maureen Lewis 19
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**In Loving Memory of Bro. Ludolph Bown**
By Bishop Kingsley Lewis
My earliest recollection of Bro. Ludolph Brown goes back to 1965 when he was a counsellor at Provincial Youth Camp at Gracebay.
Since that time, I have had to interact with him through the years and in different capacities. The next time was probably about 1967 when I went with the late Bro. Eddie Terry, lay preacher from Spring Gardens, to conduct a service at Newfield and where I preached my first sermon. On that occasion he gave me much encouragement.
In 1986, I became his pastor for the first time when I assumed the pastorate of Lebanon, Newfield and Potters. Particularly in the meetings of the Board of Stewards or Church Committee as it was then called, he would always give sound advice and appropriate guidance. His commitment to the Church was very obvious and everybody looked up to him.
I returned to the Enon congregation again on three occasions and in more recent years his presence was missed from Sunday morning worship even as he suffered from a back ailment which restricted him to home most of the time.
Following the 1993 Synod in St. Kitts, he was appointed Provincial Treasurer in succession to the late Bro. Bradley Lewis. I served with him on that Provincial Board for approximately three years and give thanks for his service then, particularly as he was a very busy person in his public avocation as Accountant General. Given the long hours he worked, I am sure many others in his position would not have taken on the task of Provincial Treasurer, which can often be a frustrating one.
I give thanks for Bro. Ludolph Brown who remained calm and unruffled at all times, who loved and served God and loved his church.
The service of thanksgiving for the life of Bro. Ludolph Brown will be held at his home congregation, Enon (Newfield) Moravian on Thursday, February 20, 2020.
Please keep Sis. Veronica and family in prayer as they mourn.
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**Advance the Kingdom – S.H.I.F.T**
Moravian Multipurpose Complex
Conference Center & Apartments
Conferences
Seminars
Weddings
Banquet
Meetings
Dinner
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Only ten minutes away from the stores, shops and banks in St. John's.
Our International airport is also just ten minutes away.
Our balcony provides a refreshing view of undulating hills and valleys.
The conference center has a seating capacity for 200 persons.
We are situated on a hill overlooking the picturesque out-skirts of the city of St. John's, Antigua.
There are EIGHT LARGE APARTMENTS which are available for rental. Each room is self contained with kitchenette. The rooms are air-conditioned with available internet and cable TV. All utilities are included with the exception of telephone.
Contact us Tel: (268) 560-0185
Fax: (268) 462-0643
Office: email@example.com
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Advance the Kingdom - S.H.I.F.T
|
The perfect wave
Physicists are devising the next generation of particle accelerators
Black hole
Active galaxy hurls high-energy neutrinos into space
Strange mirror world
Corkscrew lasers produce mirror molecules
Quick start for X-ray laser
First experiments reveal structure of antibiotics killer
femto 01/19
Astroparticle Immersive Synthesizer³ – AIS³ [aiskjub]
Science meets art: The conceptual artist Tim Otto Roth was inspired to build his light and sound installation [aiskjub] by the neutrino observatory IceCube, which spies for high-energy cosmic particles in the perpetual ice of Antarctica. DESY, the largest European partner involved in IceCube, supported Tim Otto Roth in the realisation of the installation “Astroparticle Immersive Synthesizer³ – AIS³ [aiskjub]”, which was on view for several weeks in the cultural church St. Elisabeth in Berlin. [aiskjub] enables visitors to immerse themselves in the events taking place at the South Pole by experiencing neutrino collisions in IceCube virtually in real time. “This project allows an audience that does not have close connections with science to experience the fascination of science. The unconventional approach to a current research topic offers a sensory experience that augments our classical communication of research,” explains Christian Spiering, former head of the IceCube group at DESY and founder of the Global Neutrino Network.
Although billions of neutrinos zoom through us every second, they are extremely difficult to detect because these light elementary particles hardly ever interact. In order to capture a few of the extremely rare interactions, the scientists at IceCube have frozen 5160 light sensors into the ice in long strings, distributed throughout one cubic kilometre of the Antarctic ice shield. The sensors register the tiny flashes of light that are created during the neutrinos’ rare reactions. These flashes can be used to determine the direction in which the neutrinos were travelling as well as their energy.
Particle accelerators have an extremely wide range of applications, for example in materials processing and cancer therapy. They are also an important tool for research. However, with the technology used so far, these facilities must be very large, some of them measuring several kilometres. That’s why physicists around the world are trying to make them much smaller – and thus cheaper. Some of the researchers are using ultrapowerful lasers, others short-wave terahertz radiation, and some are even developing an accelerator that fits on a microchip.
## CAMPUS
- **06** News from a black hole
Researchers trace single neutrino back to galaxy billions of light-years away
- **12** New path into the mirror world
Experimental scheme for novel mirror molecules
- **38** Cosmic knots
Hamburg Prize for Theoretical Physics
- **39** First experiments at new X-ray laser
Unknown structure of antibiotics killer revealed
## ZOOM
- **16** Small-scale particle turbo
How researchers want to shrink accelerators
- **19** Promising possibilities
Interview with DESY’s longtime accelerator director Reinhard Brinkmann
- **26** Terahertz trick
Shorter wavelength promises accelerators hundred times smaller
- **29** Accelerator on a chip
Researchers work on mini particle gun on a microchip
## SPECTRUM
- **32** Science in brief
- Future data storage technology
- “Quantum boiling” for atoms
- Earthquake in the laboratory
- Nanoholes in semiconductors
- Hamburg graduate school for data science
- Unexpected form of scaffolding protein
- Decay of the Higgs particle
- Google Maps for the cerebellum
- Heavy quarks
## SECTIONS
- **02** femtoscope
AIS³ [aɪskjuːb]
- **11** femtopolis
Cosmic rays
- **37** femtomenal
42 grams of atomic nuclei per year
- **42** femtofinale
Light source quartet
Cosmic particle accelerator:
News from a black hole
Researchers trace single neutrino back to galaxy billions of light-years away
Using an astronomical dragnet, researchers have for the first time located a source of extremely high-energy neutrinos from outer space – ghostly elementary particles that travel through space for billions of light-years, effortlessly penetrating stars, planets and entire galaxies as they go. The collaborative observation campaign was triggered by a single particle that was registered by the neutrino telescope IceCube at the South Pole on 22 September 2017. Telescopes on Earth and in space succeeded in tracing the origin of this exotic elementary particle back to a galaxy in the constellation Orion that is approximately four billion light-years away. Within this galaxy, a gigantic black hole acts as a natural particle accelerator. This successful astronomical search by scientists from a total of eighteen participating observatories is a key step toward drawing up a new picture of the universe.
A short blue flash briefly lights up the eternal darkness in the depths of the Antarctic ice. This faint shower of light is the trail of a very rare occurrence that scientists have taken great pains to record: An extremely light elementary particle from space, a neutrino, smashed into a water molecule hundreds of metres below the surface of the ice. Actually, neutrinos are not so very rare in themselves. Approximately 60 billion of these particles pass through every square centimetre – that’s about the size of a thumbnail – every second without leaving a trace. What’s rare is for one of these countless neutrinos to interact with an atom, thus making itself detectable. In order to observe these rare events, researchers have melted the world’s biggest particle detector kilometre-deep into the Antarctic ice: Within a cubic kilometre of ice, IceCube searches for the traces of these rare neutrino collisions. This one, which the neutrino telescope recorded on 22 September 2017, was a real stroke of luck.
“Initially it was just an alarm, like many others before it,” says Marek Kowalski, who is the head of neutrino astronomy at DESY and also a researcher at the Humboldt University in Berlin. After observing the collision, the IceCube team sent out an astronomical telegram, or A-Tel. This is how observatories all over the world share information. The alarm signal went out to dozens of other astronomical observatories around the world, which then started trying to trace the source of the neutrino by looking in the direction it came from.
After one week, a message came from Fermi, the gamma radiation telescope stationed in space. It had detected a flare – a surge of high-energy gamma radiation – near the calculated source of the neutrino. The MAGIC telescope system on La Palma in the Canary Islands also sent an A-Tel reporting gamma radiation coming from the same direction as the neutrino. The astronomers’ excitement was growing. “We see a neutrino like this one about once a month and we also see a flare about once a month, but a combination of the two occurs only once every 5000 to 10 000 years,” says Kowalski.
**A gigantic black hole**
After the A-Tel from MAGIC was sent out at the end of September 2017, the astronomical dragnet began. Other observatories followed up these leads and discovered various kinds of radiation, ranging from radio waves to X-rays, at the same celestial position. For the first time ever, astronomers had found the source of a high-energy cosmic neutrino at a location far beyond our home galaxy. “We saw an active galaxy – a huge galaxy with a gigantic black hole at its centre,” Kowalski reports. The black hole is swallowing large amounts of matter. However, part of this matter is being catapulted back into space in the shape of tightly collimated beams of matter, called jets, instead of falling into the black hole. Astrophysicists assume that these jets are powerful natural particle accelerators. If the jet of an active galaxy is pointing directly toward Earth, astrophysicists call the active galaxy a blazar.
In the meantime, the experts have become practically certain that the neutrino and the radiation that was measured by the other telescopes originated within the same source: the
blazar TXS0506+056, nicknamed “Texas Source” and located four billion light-years from Earth in the constellation Orion.
In order to exclude the possibility that the concurrence of the neutrino and the gamma ray observations was only accidental, a worldwide team of scientists made a detailed statistical analysis. “We calculated that the probability of this being only a random coincidence was about 1 in 1000,” explains the leader of this analysis, Anna Franckowiak from DESY. That sounds small, but it wasn’t yet small enough to counter the professional scepticism of physicists.
This scepticism was removed by a second analysis. The IceCube researchers sifted through their data from past years in a search for possible earlier readings of neutrinos coming from the direction of the blazar that had now been identified. And their search was successful. They found a marked temporary excess of neutrinos – consisting of more than a dozen of these ghostly particles – coming from the direction of TXS0506+056 between September 2014 and March 2015. The researchers estimate that the probability that this excess is only a statistical outlier is only 1 in 5000.
Together with the single event of September 2017, the IceCube data now provide the best experimental evidence to date that active galaxies are sources of high-energy cosmic neutrinos and thus also belong to the accelerators of cosmic rays. For the astronomers, this has been a key step toward solving the century-old mystery of the origin of these high-energy subatomic particles from outer space.
Cosmic rays
Solar radiation, which warms our Earth and tans our skin, is not the only thing that reaches us from space. Cosmic rays, which were discovered by the Austrian physicist Victor Franz Hess in 1912 as he was floating in a hydrogen balloon at an altitude of 5300 metres above sea level, also originate from space. Hess proved the existence of pervasive cosmic rays by means of his instruments for measuring ionisation. Many years later, scientists realised that these cosmic “rays” are actually a torrent of high-energy, electrically charged atomic nuclei and other particles from space. But the name stuck, and cosmic rays turned out to be extremely useful for the early era of particle physics.
When these particles from outer space enter the Earth’s atmosphere, they generate cascades of secondary particles that are known as air showers. These high-energy cascades of particles were the initial objects of investigation of astroparticle physics, before sophisticated measuring methods and observatories made additional “messenger particles” from space accessible to researchers. In addition to our Sun, stellar explosions in the Milky Way and active galactic nuclei outside the Milky Way are all considered possible sources of cosmic rays. However, the origin of cosmic rays – and in particular, the origin of the highest-energy particles – has still not been conclusively determined.
Oddly enough, genuine cosmic radiation is (electromagnetic) gamma radiation, which is not considered a type of cosmic (particle) ray. Instead, it is called “cosmic gamma radiation”.
“We can learn a lot about the universe at one go”
The identification of the active galaxy as a source of high-energy neutrinos is not only a breakthrough in the search for cosmic particle accelerators. The success is also a crucial step for the young discipline of multimessenger astronomy, explains Marek Kowalski, the head of neutrino astronomy at DESY.
femto: The observation confirms the long-held hypothesis that active galactic nuclei are natural particle accelerators. Why have these results triggered such euphoria among astrophysicists?
Kowalski: We’ve known about the existence of cosmic rays for more than 100 years. The physicist Victor Hess discovered them in 1912. There have been many hypotheses about their origin, but now we’ve been able to locate a specific extragalactic source of these high-energy particles for the very first time. This is a gigantic success and a crucial step for multimessenger astronomy, or MMA for short.
femto: What is multimessenger astronomy?
Kowalski: MMA is the investigation of the universe with the help of various messengers such as electromagnetic radiation, gravitational waves and neutrinos. They can provide us with information about the nature of cosmic phenomena and processes. Each type of messenger gives us a different kind of information. Only after we’ve linked all of this information together do we have a complete picture. That way, we can learn a lot about the universe at one go.
femto: Why are the cosmic neutrinos so important for MMA?
Kowalski: The special thing about neutrinos is that they very rarely interact with other particles. That’s a huge problem for us researchers. We need gigantic detectors to find them. At the same time, this fact increases the value of neutrinos. Because they interact so rarely, they might be coming from regions that are completely non-transparent for visible light or other photons – regions such as the interior of stellar explosions. Thus, we now basically have the ultimate X-ray vision.
femto: Are you planning to use neutrinos to X-ray the universe?
Kowalski: Metaphorically speaking, yes. We can use X-rays to study the human body. But if we want to study a star, X-rays are not a suitable method. Neutrinos, however, make it possible. We can use them to look at the interior of stars and thus view a region of the universe that we can’t see by means of electromagnetic radiation.
femto: How do neutrinos make that possible?
Kowalski: For the same reason I mentioned before: because they interact so rarely. Neutrinos are not absorbed during their journey to us from their source. By contrast, light is absorbed – especially gamma radiation, which is the electromagnetic radiation with the highest energies. Gamma radiation from our own galaxy can reach us, but gamma radiation from other galaxies can no longer reach us at the energies at which we observe cosmic neutrinos. This doesn’t mean that there’s no gamma...
radiation in other galaxies. It is emitted, but it is then absorbed by the universe itself.
**femto:** What do researchers want to study with the help of MMA?
**Kowalski:** We would like to understand how particles are accelerated to the highest energies. We know that cosmic rays attain extremely high energies – ten million times higher than the ones we can generate in the biggest particle accelerator on Earth, the Large Hadron Collider (LHC) at the European particle physics centre CERN near Geneva. This is a phenomenon whose mechanism we basically don’t understand. With the help of neutrinos, we can identify the cosmic accelerators. That’s because, unlike the electrically charged particles of cosmic rays, neutrinos are not deflected by magnetic fields on their journey through space. As a result, they can be traced back directly to their place of origin. And as soon as we have identified the accelerators, the next step will be to understand the acceleration mechanism. Here too, neutrinos are helping us, because for the reasons I mentioned before, they give us information that we can’t get from electromagnetic radiation.
**femto:** What other open questions do you want to answer in the future?
**Kowalski:** For one thing, we want to understand how a star explodes. In a stellar explosion, or supernova, a huge amount of kinetic energy is released. We want to understand the dynamics of such explosions.
**femto:** Are the current results a long-sought-after breakthrough?
**Kowalski:** Yes, after the discovery of extragalactic cosmic neutrinos in 2013, that is the next big breakthrough. And we hope it won’t be the last one. We still can’t say with absolute certainty that we’ve made a discovery. But that’s what it feels like, because everything fits together. I hope that we’ll soon receive confirmation of these results. However, we also want to find additional source classes and track down completely different phenomena. We definitely regard this as the beginning of something new and very important.
“We’re opening a new window onto the high-energy universe”
*Marek Kowalski, DESY*
The signals of the blazar neutrino that were recorded in the IceCube detector on 22 September 2017. The colour indicates the time (from red to green and then blue), and the size shows the brightness of the signal in the individual sensors (photomultipliers).
The term chiral is used to describe molecules which, like the right and left hands, exist in two mirror-image forms. The term chirality (handedness) is derived from the ancient Greek word stem χειρ- (cheir-) for „hand-“.
Exploring the mystery of molecular handedness in nature, scientists have proposed a new experimental scheme to create custom-made mirror molecules for analysis. The technique can make ordinary molecules spin so fast that they lose their normal symmetry and shape and instead form mirrored versions of each other. A research team from DESY, Universität Hamburg and University College London around group leader Jochen Küpper developed the innovative method. The further exploration of handedness, or chirality, does not only enhance insight into the workings of nature, but could also pave the way for new materials and methods.
Many molecules in nature exist in two versions that are mirror images of each other. “For unknown reasons, life as we know it on Earth almost exclusively prefers left-handed proteins, while the genome is organised as the famous right-handed double helix,” explains Andrey Yachmenev, who led this theoretical work in Küpper’s group at the Center for Free-Electron Laser Science (CFEL). “For more than a century, researchers have been unravelling the secrets of this handedness in nature, which does not only affect the living world: Mirror versions of certain molecules alter chemical reactions and change the behaviour of materials.” For instance, the right-handed version of caravone gives caraway its distinctive taste, while the left-handed version is a key factor for the taste of spearmint.
Rotating molecules
Handedness only occurs naturally in some types of molecules. “However, it can be artificially
induced in so-called symmetric-top molecules," says co-author Alec Owens from the Center for Ultrafast Imaging (CUI). "If these molecules are stirred fast enough, they lose their symmetry and form two mirror forms, depending on their sense of rotation. So far, very little is known about this phenomenon of rotationally-induced chirality, because hardly any schemes for its generation exist that can be followed experimentally."
Küpper's team has now computationally devised a way to achieve this rotationally-induced chirality with realistic parameters in the lab. It uses corkscrew-shaped laser pulses known as optical centrifuges. For the example of phosphine, the team's quantum-mechanical calculations show that, at rotation rates of trillions of times per second, the phosphorus–hydrogen bond that the molecule rotates about becomes shorter than the other two of these bonds, and depending on the sense of rotation, two chiral forms of phosphine emerge. "Using a strong static electric field, the left-handed or right-handed version of the spinning phosphine can be selected," explains Yachmenev.
This scheme promises a completely new path through the looking-glass into the mirror world, as it would in principle also work with other, heavier molecules. In fact, these would actually require weaker laser pulses and electric fields. For the first stages of the investigation, the researchers chose phosphine because heavier molecules were initially too complex for exact quantum-mechanical calculations. As phosphine is highly toxic, however, such heavier and also slower molecules would probably be preferred for experiments.
The proposed method could deliver custom-made mirror molecules. The investigation of their interactions with the environment, for instance with polarised light, should help to further penetrate the mysteries of handedness in nature and explore possible applications, expects Küpper, who is also a professor of physics and chemistry at Universität Hamburg: "Facilitating a deeper understanding of the phenomenon of handedness this way could also contribute to the development of chirality-based tailor-made molecules and materials, novel states of matter and the potential utilisation of rotationally-induced chirality in novel metamaterials or optical devices."
Physical Review Letters, 2018; DOI: 10.1103/PhysRevLett.121.193201
"For unknown reasons, life as we know it on Earth almost exclusively prefers left-handed proteins"
Andrey Yachmenev, CFEL
Particle accelerators have an extremely wide range of applications, for example in materials processing and cancer therapy. They are also an important tool for research. Giants such as the Large Hadron Collider (LHC) near Geneva search for new elementary particles, while facilities such as the European XFEL X-ray laser in Hamburg analyse material samples down to atomic detail. However, with the technology used so far, these facilities must be very large, some of them measuring several kilometres. That’s why physicists around the world are trying to make them much smaller – and thus cheaper. Some of the researchers are using ultrapowerful lasers that generate plasma waves, others short-wave terahertz radiation, and some are even developing an accelerator that fits on a microchip.
Subatomic surfers: Electrons (red) can ride plasma waves like surfers ride a water wave. This gives the particles an extremely powerful boost – a promising concept for future accelerators.
Andreas Maier has just entered a kind of bunker on the DESY campus in Hamburg. From the outside, it looks like a dreary concrete block, but within it’s full of high tech: stainless-steel pipes, a control room full of flat-screen monitors and an ultramodern laser. Maier, a physicist and group leader at Universität Hamburg, pulls on his lab coat, overshoes and a hood. He’s dressing up for absolute cleanliness. “Any speck of dust on the optical elements could cause damage,” he says, pointing to his high-power laser ANGUS, (A Next-Generation Ultrafast laSer), which is unofficially named after the guitarist Angus Young from the hard rock band AC/DC. The laser fills one of the bunker rooms, consists of several red boxes and generates flashes of light that last for considerably less than one billionth of a second. “Its average power is only about 25 watts, roughly as much as a light bulb,” explains Maier. “But in the moments when ANGUS fires, we reach enormous beam powers of around 200 terawatts.”
The superlaser in the research bunker is a central element of a new technology –
plasma acceleration. In a conventional particle accelerator such as the LHC at the European particle physics centre CERN near Geneva, powerful radio waves are fed into specially shaped metal tubes known as cavities. The particles to be accelerated can then ride on the radio waves like surfers on a wave. The problem is that feeding too much radio waves into the cavities increases the risk of electrical discharges – small flashes of lightning that would damage the cavity walls. “That’s why the maximum voltage that today’s facilities can use to accelerate particles is limited to around 50 to 100 megavolts per metre,” says Ralph Aßmann, leading DESY scientist for accelerator research. The consequence is that in order to accelerate particles to the highest energies, it is necessary to use many cavities placed one after another, which makes accelerators long – sometimes even kilometres long.
**Acceleration by plasma wave**
Plasma acceleration, in contrast, could be used to achieve much greater voltages. “Our target here at DESY is 50 gigavolts per metre – 500 times today’s peak value,” says Aßmann. If the venture succeeds, accelerators could get a lot smaller – in future, a hundred-metre-long facility such as DESY’s FLASH accelerator could fit in a normal laboratory basement.
The principle of laser plasma acceleration is that ultrapowerful, extremely short laser flashes are fired into a plasma – a type of gas, of hydrogen for example, that is completely ionised. That means the negatively charged electrons are separated from the positively charged remainders of the atoms – the ions. “The electrons are much lighter than the ions, and thus extremely mobile,” explains Aßmann. “The heavy ions, in contrast, like to stay where they are.” If a powerful laser pulse is now fired into the plasma, it pushes the light electrons outward and produces a wake, like a ship.
The result is that the negative charges collect on the outside, the positive charges remain inside, and an enormous voltage arises in a tiny space within an incredibly short time. The electrons immediately rush back to the centre and beyond – a high-frequency oscillation with an enormous field strength sets in. “This field can tremendously accelerate some of the plasma electrons that are located within the wave,” says Aßmann. “Alternatively, you can fire an electron pulse into the plasma cell immediately after the laser flash – that too will be strongly accelerated by the wave.”
The initial ideas for this laser plasma acceleration go back to the late 1970s. The first implementation, however, was not even conceivable until the mid-1980s, when the Canadian Donna Strickland and the Frenchman Gérard Mourou developed a method of building high-power, short-pulse lasers – an achievement that won them both the Nobel Prize in Physics in 2018. It actually took until 2006 before US researchers were first able to bring electrons to a noteworthy energy of one gigaelectronvolt (GeV) using laser plasma acceleration. Since then, the record has risen to 8 GeV over an acceleration section just 20 centimetres long – thanks to the rapid progress of laser technology.
Superconducting cavities made of the metal niobium accelerate the electrons in facilities such as FLASH and the European XFEL X-ray laser.
What that looks like in the lab can be seen in Andreas Maier’s bunker. The physicist points to the plasma cell – a small sapphire crystal in which a tiny channel measuring just 300 micrometres has been milled. It is filled with hydrogen gas. “We aim our high-intensity laser pulses at this channel,” explains Maier. “That turns the hydrogen in the cell into a plasma, and then the laser pulse sweeps the electrons to the side like a snowplough.” The resulting plasma wave causes electrons to chase after the laser pulse and, to use a visual image, to surf on its wake. This trick enables particles to be brought up to speed in a very small space.
**Turning metres into millimetres**
“In 2016, we succeeded in accelerating electrons to an energy of 400 MeV over a distance of just four millimetres,” says Maier. “A conventional accelerator would have to be dozens of metres long to accomplish this.” Recently, the physicists even managed to achieve a kind of continuous operation and let their plasma accelerator run for a full 24 hours – a milestone for the joint project of DESY and Universität Hamburg. Furthermore, they succeeded in sending the electrons coming out of the plasma accelerator through an undulator – an arrangement of magnets that forces the electrons to follow a slalom course and so makes them emit intense X-ray radiation.
Such compact X-ray sources could be one of the main applications of the new technology – for example, for materials inspection in industry. “They could also be used for the X-ray inspection of shipping containers,” says Ralph Aßmann. “At present, this is done using conventional accelerators, at the port of Hamburg, for example.” The current systems are stationary, so the trucks have to drive with their loads under a kind of bridge. If the inspection systems were based on plasma accelerators, they could be designed to be much smaller, and perhaps even portable –
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**The principle of laser plasma acceleration:**
A powerful laser pulse (orange) ploughs through a gas, for example hydrogen. It strips the hydrogen molecules of their electrons, which are swept to one side as if by a snowplough. The electrons (red) gather in the wake of the flash and are then accelerated by the positively charged plasma wave – just like a wakeboarder riding the wake of a ship.
DESY's long-time accelerator director Reinhard Brinkmann expects innovative accelerator technologies to open up interesting new applications in research and medicine. But they won't replace the established facilities in the near future.
femto: How do today's accelerators at DESY work?
Reinhard Brinkmann: Today, we are working with radio frequency cavities. These use electromagnetic waves with high field strengths that accelerate electrically charged particles. For many years, this has been the fundamental principle behind all accelerators.
femto: How mature is the technology, and where are its limits?
Reinhard Brinkmann: Because we've been continuing to develop it for many decades, the technology can nowadays be considered very mature. However, the maximum field strengths that can be fed into these cavities are limited. The accelerating field collapses above a certain threshold. This limit is currently around 100 million volts per metre. Another important parameter is the time for which the accelerating field can be maintained. This can be dramatically improved with the help of a technology that we at DESY played a decisive role in developing – we made the cavities superconducting. This eliminated unwanted heat losses in the cavities. However, at a certain field strength the superconductivity breaks down, so that this method also has its limits regarding the maximum achievable accelerating field.
femto: How could we achieve even higher accelerating voltages?
Reinhard Brinkmann: At the moment, plasma accelerators are considered the most promising way forward. They contain an ionised gas that is excited for example by a laser pulse in such a way that the plasma can accelerate charged particles. As there are no wall losses here, there is no limit in principle to the accelerating voltages that can be achieved. The disadvantage is that the segments over which the acceleration takes place are extremely short – typically less than one centimetre. It would be necessary to join a large number of these structures together in order to reach a high total voltage. And there's another problem: So far, it's only been possible to accelerate far fewer particles than with conventional facilities. But there are other interesting approaches that use terahertz waves to accelerate particles – and the "accelerator on a chip" that uses a laser to directly bring the particles up to speed.
femto: What would be the applications for these kinds of new accelerator technologies?
Reinhard Brinkmann: I don't think that existing accelerators such as the superconducting European XFEL here in Hamburg will be replaced by these new technologies – at least not within the next 20 years. But I believe that we will be able to build extremely compact accelerators that generate high-quality beams. These could be used, for example, to create economical X-ray sources that could serve as research tools in universities or for radiation therapy in hospitals. I am also particularly interested in ideas on how new technologies can be combined with established concepts in order to achieve specific beam properties. Our research programmes here at DESY are also aiming in these directions.
femto: And a super accelerator for particle physics? Could a plasma accelerator conceivably provide the basis for this?
Reinhard Brinkmann: There are certainly experts who are thinking about what a facility of this kind could look like. But this is still up in the air. That's because building it would require a large number of plasma accelerators connected in series and synchronised with one another, which is a massive challenge in itself. Even after that has been accomplished, it would be a major problem to reach a high beam intensity – that is, to accelerate a sufficient number of particles. Accelerators for particle physics have to deliver a high beam intensity for the experiments, otherwise they would not generate enough particle collisions and so would produce insufficient measurement data. Whether or not this can be achieved with a plasma accelerator is a big question, in my opinion.
The 200 terawatt special laser ANGUS generates ultrashort flashes. The laser pulses last for just 30 quadrillionths of a second (30 femtoseconds). They are 0.01 millimetres long and 0.035 millimetres high, so they resemble small disks. ANGUS delivers five of these pulses per second.
the scanner could go to the container, instead of the current situation where the freight has to go to the scanner. This type of mobile and simultaneously powerful X-ray source would also be ideal for inspecting road bridges – a very pressing topic.
A further potential area of application is medicine. Equipment based on plasma accelerators could not only replace conventional X-ray sources but also open up new diagnostic possibilities – such as X-ray fluorescence. The underlying idea is that antibodies are attached to tiny nanoparticles of gold using biochemical methods. “A patient would be injected with a solution containing these nanoparticles,” explains Florian Grüner, professor of physics at Universität Hamburg. “The particles travel through the body, and the antibodies attach themselves to any tumours that might be present.” Scanning the corresponding region of the patient’s body with a hair-thin beam of X-rays will cause the gold particles to fluoresce and emit characteristic X-ray signals that are recorded by a special detector. It is hoped that, in this way, smallest tumours that can’t be found using today’s methods could eventually be tracked down.
“Breast cancer tumours are frequently not recognised until they are larger than a centimetre,” says Grüner. “Our method could potentially discover millimetre-sized tumours, thus strongly increasing the chance of successful therapy.” A further area of application for the method could be in the development of drugs. Here, the nanoparticles would be attached to new potential active ingredients, and the X-ray fluorescence would be used to track how the medication is distributed in the body and whether it reaches the desired target area. The hope is that this would enable ineffective active ingredient candidates to be separated from promising ones at an earlier stage than is currently the case.
Although the idea of X-ray fluorescence is more than 30 years old, it hasn’t yet been possible
to apply it to human beings. The reason is that the X-rays are scattered in the interior of the body. This gives rise to an interfering background, which makes the actual signals difficult to read out. "My team has gone into this subject in depth, and we are the first group worldwide to have shown experimentally how this problem can be solved," says Grüner. It's done by using a computer algorithm to determine from the spatial distribution of the measured X-ray spectra exactly which areas produce signals containing an especially low amount of interfering background.
**Medical applications**
The team accomplished the first demonstration experiments at an established accelerator, DESY’s kilometre-sized X-ray radiation source PETRA III. For later use in a hospital, Grüner and his team intend to use a plasma accelerator. Such an accelerator would be compact enough and should be able to deliver the hair-thin X-ray beams required for the new technique. There is still a need for further research in this area, however. "The electron beams from a plasma accelerator are still not as tightly collimated as is needed," says Grüner. And the prototypes are not yet stable enough in operation and can’t manage enough "shots": Today’s lasers that are used to drive the plasma acceleration only deliver a few flashes per second. What’s wanted are many thousands, otherwise the imaging process would take far too long in clinical use.
"The quality of the beams is constantly increasing, and we are close to building useable plasma accelerators today," says Ralph Aßmann. "But they can’t yet reach the beam quality of conventional accelerators – among other things, the electrons from the prototypes have a very wide range of energies." In order to solve the problems and further develop the technology, Aßmann and his team are currently creating a new research infrastructure – the multipurpose facility SINBAD (Short Innovative Bunches and Accelerators at DESY). "Here, we will be able to systematically develop and test different approaches for future accelerator technology," says Aßmann.
SINBAD will be built in a quite historical location – in the hall of DORIS, the first storage ring to be constructed at DESY. It was completed in 1974, and has now been decommissioned and dismantled. SINBAD project leader Ulrich Dorda goes into one of the four tunnel segments which together make up a ring tunnel in the shape of a racetrack. These days, the mostly empty tunnel is filling up again, as one of the first core components of SINBAD is almost complete here, behind the metre-thick concrete walls. Dorda points to a construction of stainless-steel tubes and vacuum pipes that leads through a succession of cylindrical, blue-painted magnets. "This is our ARES accelerator," explains the physicist. "It produces ultrashort, sharply defined and very stable electron bunches." These bunches will later be used to test the new technology in depth by further accelerating them as effectively as possible by laser.
To this end, a new high-power laser laboratory will be set up in the centre of the hall, financed as part of the ATHENA project – a joint project of six research centres of the Helmholtz Association. In addition to DESY, the participants are GSI Helmholtzzentrum für Schwerionenforschung, Karlsruhe Institute of Technology KIT, Helmholtz-Zentrum Berlin HZB, Forschungszentrum Jülich FZJ and Helmholtz-Zentrum Dresden-Rossendorf HZDR. Dorda points to a still empty part of the tunnel. "This is where the plasma cell will stand," he says. "The ANGUS laser – which is currently set up at another location – will fire laser flashes into the plasma and create a kind of bubble. We will then...
“One important objective of SINBAD is to show that a plasma accelerator can be used to drive a free-electron laser,” emphasises Ralph Aßmann. “That’s the Holy Grail that researchers in our field are seeking.” Free-electron lasers (FELs) are the brightest X-ray sources in the world. Their principle is that an accelerator fires sharply collimated bunches of electrons at close to the speed of light through an undulator, so that the particles emit high-intensity X-ray flashes. Accomplishing this with present-day technology requires long facilities – the accelerator of the European XFEL X-ray laser in Hamburg is 1.7 kilometres long. If conventional accelerators were to be replaced by plasma variants, much more compact and thus less costly FELs would be conceivable.
The European project EuPRAXIA, which is coordinated by DESY, is aiming in this direction. Forty institutes from twelve countries are participating, including various European countries and Japan, Israel, Russia, China and the USA. “We want to find out how to build a plasma accelerator that can boost electrons to an energy of 5 GeV and generate X-ray radiation using an undulator,” explains Aßmann. “Various pilot users will then try out the technology.” One of the challenges is to develop a laser that delivers 100 flashes per second, each with a power of one petawatt. A design study is scheduled for completion in autumn 2019. The European plasma FEL could go into operation around the year 2025 – possibly in Hamburg, hopes Aßmann.
But there is another variant of plasma acceleration. Instead of powerful laser flashes, it is driven by high-intensity particle bunches. “We focus electron bunches travelling at almost the speed of light on a focal point, rather like the way a lens focuses light,” explains DESY physicist Jens Osterhoff, head of the FLASHForward project. “Then we send the particle bunches into a plasma cell.” This cell consists of a channel just 1.5 millimetres wide and three centimetres long that is filled with argon or helium. As in a fluorescent light tube, a high-voltage discharge ionises the atoms of the gas, and so ignites a plasma.
As the particle bunch shoots into the cell, it pushes the electrons in the plasma aside. Behind it, in its wake, so to speak, there are no more electrons, just positively charged ions. This creates a strong alternating electrical field – a plasma wave. “If you now send a second electron bunch along behind the first, it can surf on this wave and accelerate enormously,” says Osterhoff. The concept is thus based on two bunches of...
electrons, one closely following the other: First comes the driver beam, which deposits energy in the plasma. It is followed by the beam to be accelerated, which taps the plasma and gains energy from it.
**Faster with FLASHForward**
In 2018, Osterhoff and his team succeeded in demonstrating an important step of beam-driven plasma acceleration for the first time in Europe. They sent the fast electron bunches from the DESY accelerator FLASH into a plasma cell and achieved an acceleration field strength of 12 gigavolts per metre – 500 times that of conventional facilities.
This approach has two advantages over the laser-driven method: “The particles can be accelerated over longer stretches, making it easier to achieve higher energies,” says Osterhoff. “And because you can accelerate considerably more electrons per second, you can achieve high beam intensities, which is important for particle physics, for example.” Using particle beams, continuous power outputs in the megawatt range are feasible. Lasers, in contrast, currently achieve a little over 100 watts – no more than a bright light bulb.
But the method needs a conventional accelerator to drive it. Facilities as compact as those of the laser-driven technique are thus difficult to conceive. Viewed in this way, the two concepts seem to be complementary. Facilities that need to fit in the laboratory basement can be based on the laser-driven scheme. The particle-driven approach appears to be superior for accelerators that need to deliver high energies and beam intensities.
And what could a future accelerator for particle physics look like? “A 500-metre-long conventional accelerator supplies electron bunches with high power and an energy of around 1 GeV,” says Osterhoff. “A plasma cell then gives the electrons an additional energy of 10 GeV.” If you could connect 50 of these cells one behind the other, you would achieve a total energy of 500 GeV. Using today’s technology, that would require an accelerator 15 kilometres long. Using the plasma technology, it would in principle be possible in a kilometre.
But before we can seriously consider this vision, the experts will have to lay various foundations. “In the next step, we have to show that we can maintain the beam quality and accelerate the particles really efficiently,” says Jens Osterhoff. “We want to demonstrate that most of the energy from a driver beam can...”
The plasma cell of FLASHforward consists of two sapphire blocks, in each of which a semi-circular groove has been milled with a laser. The two blocks are put together to form a circular cavity that is several centimetres long. This hollow space is then filled with hydrogen, from which the plasma is generated.
“With PITZ, we have been able to prove for the first time in electron beams that this self-modulation really happens”
Frank Stephan, DESY
be transferred to the plasma wave and can subsequently be passed on to the beam being accelerated. That would be a milestone.” Another question is: How well can multiple plasma cells be cascaded, i.e. placed one after the other? US researchers have already been able to demonstrate this, at least to some extent, for laser plasma acceleration. The demonstration for the particle-driven variant is still outstanding.
Support for the development of particle-driven plasma acceleration is being provided from DESY’s Zeuthen location, which is situated close to Berlin. The location is home to PITZ, the Photo Injector Test facility in Zeuthen. “On the one hand, we use this test stand to optimise components for existing DESY accelerators such as FLASH and the European XFEL,” says PITZ group leader Frank Stephan. “On the other, we carry out fundamental experiments for the future concept of plasma acceleration.”
Made-to-measure electron bunches
Thanks to a sophisticated laser system, the electron bunches from PITZ can be precisely tailored. “We have fired a specially shaped electron bunch as driver pulse into a plasma cell,” says Stephan. “It was a small pulse, directly followed by a linearly increasing larger pulse.” The result was that this tailor-made driver pulse lost little energy while generating a high plasma wave – similar to how a ship will glide easily through the water yet at the same time leave a high wake behind it – and so accelerated a subsequent test pulse extremely effectively. In principle, this could be used to considerably shorten the length of the preaccelerator of a future plasma facility.
Another PITZ experiment is relevant to a further variant of particle-driven plasma acceleration in which protons – i.e. hydrogen nuclei – are used as driver beams. The problem is that “the proton bunches that are produced by a conventional preaccelerator have a length of ten centimetres – much too long to generate...”
high accelerating fields in a plasma cell," says Frank Stephan. "So they have to be split up into smaller bunches, which can be done using a process known as self-modulation."
The principle is as follows: The long particle bunch passes through a plasma, so that a plasma wave forms on the bunch's leading edge. The resulting electromagnetic fields then reorganise the particles into multiple short bunches. "Computer simulations have indeed suggested that this should work," says Stephan. "But with PITZ, we have now been able to prove for the first time in electron beams that this self-modulation really happens." In concrete terms, the researchers observed a long electron bunch splitting into three smaller bunches. The measurements are relevant to a worldwide unique experiment: In May 2018, a research team at the AWAKE experiment at CERN succeeded in accelerating electrons using a beam of protons.
This approach has a big advantage: "Protons are considerably heavier than electrons and can thus be accelerated to much higher energies," says Matthew Wing, professor of physics at University College London and a guest scientist at DESY. "As a result, they can penetrate a plasma to a much greater depth." The consequence is that it would be possible to build very long plasma cells that could accelerate the electrons to enormous energies in a single stage. The plasma cell in the pioneering experiment in May was about ten metres long and accelerated the electrons, which had been injected into the cell with an energy of 20 MeV, to one hundred times that value – to 2 GeV.
"The biggest challenge was to tune three different beams to one another," explains Wing, "a laser beam that generates the plasma, the proton driver beam and the beam of electrons to be accelerated." The large SPS accelerator – a ring with a diameter of seven kilometres that is otherwise used as a preaccelerator for the LHC – served as the source of the fast protons. In the coming years, the experts will attempt to optimise their processes in the hope that by 2025 they will be able to show that the principle is suitable for use as a powerful electron accelerator.
"A facility of this type would be especially interesting for particle physics," says Wing. It could be an accelerator designed to look for the ominous dark matter – or a successor to the LHC in which high-energy protons would collide with fast electrons generated by a plasma accelerator. What seems clear is that such a proton-driven facility would not be particularly small. The reason is that "ultimately, you still need high-energy protons," says Matthew Wing. "Generating these will probably still require extremely large preaccelerators in the future."
"The quality of the beams is constantly increasing, and we are close to building useable plasma accelerators today"
Ralph Aßmann, DESY
Franz Kärtner holds up an unremarkable copper tube. It has the same diameter as a ballpoint pen refill, but it’s much shorter. “Here you see one of the core components of our terahertz accelerator,” explains Kärtner, who is a physicist at the Centre for Free-Electron Laser Science (CFEL), a joint institution of DESY, Universität Hamburg and the Max Planck Society. Kärtner’s objective is to build an accelerator that is significantly shorter than today’s facilities, but can accelerate electrons to the same energies.
In conventional accelerators, the particles are brought up to speed using radio waves. These have wavelengths in the ten-centimetre region. “Our concept makes use of considerably shorter wavelengths,” explains Kärtner, who is a leading scientist at DESY. “Instead of ten centimetres we take one millimetre, that is one hundredth the size.” This terahertz radiation can be used to accelerate particles more efficiently. The idea is that much more energy can be transferred to the particles over the same distance.
But generating sufficiently powerful terahertz radiation is not straightforward. In Kärtner’s laboratory, this is done on a massive, vibration-damped table. Mounted on the table is a laser that fires intense flashes of light onto...
a small crystal. This causes the crystal lattice to emit terahertz waves. A parabolic reflector captures these waves and focuses them on a small copper tube – the actual accelerator. Inside it is another, even smaller tube made of quartz. Within it, the injected terahertz waves give a substantial boost to a bunch of electrons that the researchers guide through the tube.
In 2015, the experts at CFEL first succeeded in operating their prototype. At that time, they achieved an accelerating voltage of five megavolts per metre – just about one fifth of the acceleration gradient delivered by the accelerating cavities of the European XFEL X-ray laser. But the feasibility had been proven. By now, the group can generate much more powerful terahertz waves with their equipment and achieves accelerating voltages of up to 70 megavolts per metre – three times that of the European XFEL cavities.
“**Our concept makes use of considerably shorter wavelengths**”
**Franz Kärtner, DESY**
**Electrons at almost the speed of light**
At the moment, Franz Kärtner and his team are building a larger experiment named AXSIS at DESY, which is financed by a Synergy Grant from the European Research Council (ERC). “We want to realise the first X-ray source based on terahertz technology here,” explains the physicist.
Lasers of various wavelengths play a central role in new accelerator technologies. They can for example be used to generate terahertz waves, which are difficult to produce.
The plan is to bring the particles to an energy of almost a million electronvolts (MeV) using a terahertz-based electron gun. This means the electrons are travelling at close to the speed of light, which makes it easier to inject them into the main accelerator, the small copper tube. Driven by 1000 ultrapowerful flashes of light per second, the device should accelerate the particles to 20 times their initial energy – to 20 MeV. The researchers then want to direct this high-speed bunch of electrons towards an “optical undulator” – a laser beam that will cause the electrons to sway from side to side in a controlled fashion and so force them to emit intensive X-ray radiation.
But the laser appears to be just one way to generate terahertz waves for future accelerators. This could also be done using gyrotrons – devices in which fast electrons race along helical paths through a magnetic field and emit high-frequency radiation as they do so. The usual application for this type of gyrotron is as a kind of microwave heater for nuclear fusion experiments such as the International Test Reactor (ITER) in Cadarache in the south of France. In the coming years, Kärtner and his colleagues intend to find out whether gyrotrons are also suitable for use as drivers for their accelerator. “It’s possible that terahertz waves can be produced much more efficiently with a gyrotron than with a laser,” says Kärtner. “In principle, we should be able to achieve accelerating voltages of 300 megavolts per metre. Then it would be possible to shrink a 100-metre-long accelerator down to one metre.”
That would open the door to ultracompact X-ray lasers firing a rapid succession of high-precision X-ray flashes, with which it would be possible to study proteins essential for life, for example. A terahertz accelerator would also be of interest as a diagnostic tool for medical applications. As an alternative to the good old X-ray tube, it could provide images with extremely high resolution while lowering the radiation load on the patients at the same time.
Multi-talent: The Segmented Terahertz Electron Accelerator and Manipulator (STEAM) developed by the group of Franz Kärtner is a kind of Swiss Army knife for electron beams. STEAM is powered by terahertz radiation and can accelerate, compress, focus and analyse electron bunches. The experimental device is about the size of a two-cent coin. The active structure in its interior is just a few millimetres in size.
The accelerator on a chip
Researchers are working on a mini particle gun on a microchip
When specialists seek to shrink particle accelerators, it’s usually a question of fitting a facility the size of a sports hall into a laboratory basement. The vision behind ACHIP sounds significantly more ambitious, however. The international team of researchers is working on an accelerator that fits on a microchip. The possible applications sound spectacular. They range from ultracompact X-ray lasers to microrobots that patrol the body and destroy tumours.
Bob Byer picks up a small plastic box. It contains a centimetre-sized piece of quartz glass with multiple stripes that are hardly visible to the naked eye. They are just half a micrometre wide. “We illuminate this chip with ultrashort laser flashes and inject electrons at the same time,” says Byer, who is a professor of physics at Stanford University. “The result is that the electrons are accelerated enormously.”
The idea behind the accelerator on a chip originated in the 1960s. “But then, there were no lasers that could be used to actually...”
implement the principle,” says Byer. It wasn’t until the start of this decade that the research community started to realise the dream with the help of advanced laser technology. In 2013, simultaneously with a German research group, Byer’s team accelerated electrons using a quartz glass chip for the first time.
As in a conventional accelerator, which uses radio waves, the electrons in an accelerator on a chip ride on an electromagnetic wave. But here, they ride on light waves generated by a powerful laser. This light has wavelengths around 100,000 times shorter than that of the radio waves in a conventional facility. The accelerating segments are tiny. Instead of metre-long metal tubes, they are made of materials similar to glass with tiny structures – extremely fine channels created by means of the lithographic techniques that are also used by chip manufacturers for the mass production of microprocessors.
“The light pulses from powerful femtosecond lasers can be used to generate extremely high field strengths in these channels,” explains Peter Hommelhoff, professor of physics at the University of Erlangen-Nuremberg. In 2013, simultaneously with the researchers from Stanford, his team succeeded in building a first prototype of an accelerator on a chip. Today, five years later, electrons can be accelerated to energies of around 850 megaelectronvolts (MeV) using chips with accelerating voltages of close to one gigavolt per metre – around 20 times more than in the best conventional accelerators, which would need to be a few dozens of metres long to achieve the same particle energy. However, they
A pocket-sized X-ray laser could be set up like this: A miniature electron source (above left) generates electrons that are first assembled into bunches in the buncher before being preaccelerated. The electron bunches are brought to the required energy in the laser-driven accelerating elements and then forced to follow a slalom course through an undulator, so that they emit bright flashes of X-ray laser radiation.
also reach a much higher intensity – i.e. they can accelerate significantly more particles at once.
**Small, smaller, ACHIP**
In order to further develop the technology, Byer and Hommelhoff have established ACHIP – a research programme with a duration of five years. Their objective is to develop an accelerator on a chip that can be used to generate X-rays. ACHIP is financed by the foundation set up by Gordon Moore, the founder of Intel. One of the project’s aims is to accommodate the core components in as compact a space as possible. “The chip, a light distribution system and an electron preaccelerator should fit in two or three shoe boxes,” says Hommelhoff. “Ideally, the system would only be connected to the outside world by a high-voltage cable and a glass fibre for the light pulses.”
In the long term, the researchers also plan to fit the lasers on a chip – together with other components belonging to an accelerator. These include elements that monitor the respective position of the electron beam, focus the beam and guide it through the channels. “The first tests to show that this works on a chip have already been done,” says Hommelhoff. “It’s important that not too many electrons are lost during the process – otherwise such an accelerator wouldn’t be especially useful.”
Another challenge for the experts is to design the number and course of the fine channels on the chip so that the acceleration process is as efficient as possible. Recently, they have been getting help from computer simulations that use an algorithm to search for the optimal structures. “These structures sometimes look like artworks when viewed under the microscope,” says Bob Byer. “They’re highly complex aesthetic patterns.” The resulting chip structures will soon also be tested at DESY, where the new facility SINBAD (Short Innovative Bunches and Accelerators at DESY) is being set up to enable detailed testing of new accelerator concepts.
And what could the new technology be used for one day? “We already have a few ideas,” says Byer. “My dream is that it will be possible to build an extremely compact X-ray laser for scientific use on the basis of an accelerator on a chip.” Ideally, it would fit in every university laboratory and enable detailed studies of proteins and high-tech materials at a reasonable cost. Compact electron microscopes would also be conceivable. Today, these are person-sized pieces of equipment – in future, they could fit in a pocket. Medical specialists would also be interested. They envision a tiny electron accelerator built into a catheter. It would be able to irradiate tumours directly and at very close range, sparing the surrounding tissue and possibly offering an alternative to today’s radiotherapy. It’s even conceivable that in the distant future small autonomous robots could patrol the body and use a microaccelerator to eliminate a tumour in the very earliest stages.
There’s one remaining hurdle to overcome: “We still have to convince the experts that the electron beams from our chips are sufficiently intense,” says Peter Hommelhoff. The reason for this is that the channels in the chips are so small that they can only accelerate a few electrons at once. But the researchers already have an approach to solving this problem. In principle, it is possible to stack hundreds or even thousands of accelerators on a chip and connect them in parallel, thus multiplying the number of electrons accelerated by a factor of a thousand.
Examples of nanostructures being studied for the miniature accelerator
Novel concepts of magnetic data storage aim at sending especially small magnetic bits back and forth in a chip structure, storing them densely packed and reading them out later. So far the magnetic stray field has prevented the generation of particularly tiny bits, however. Researchers at the Max Born Institute (MBI), the Massachusetts Institute of Technology (MIT) and DESY have now succeeded in putting an “invisibility cloak” on the magnetic structures and observing how small and fast such cloaked bits can get.
To this end, different atomic elements with opposite rotation of the electrons and thus opposite magnetic moment were combined in one material. In this way, the magnetic stray field can be reduced or even completely cancelled – the individual atoms in the nanostructure still carry a magnetic moment, but together they appear cloaked.
In spite of this cloaking, the scientists were able to image the tiny structures. For this purpose, they made use of the method of X-ray holography, which allowed them to selectively make only the magnetic moments of a single type of atom visible. At DESY’s high-brilliance X-ray light source PETRA III, they thus succeeded in imaging the structures despite their invisibility cloak.
If the strength of the invisibility cloak is adjusted just right, the resulting magnetic nanostructures can at once be made very small and be made to move quickly – an interesting prospect for novel data storage technologies based on magnetic nanostructures.
Skyrmions consist of a specific arrangement of the magnetic moments of neighbouring atoms. In the anti-ferromagnetic (AFM) order, the neighbouring magnetic moments are almost opposite – the stray field is reduced, the skyrmion wears a kind of invisibility cloak and can become particularly small.
Nature Nanotechnology, 2018; DOI: 10.1038/s41565-018-0255-3
“Quantum boiling” for atoms
In a way of “quantum boiling” with intense X-ray flashes, scientists have stripped xenon atoms of most of their electrons. With these experiments, an international team around Sang-Kil Son and Robin Santra from the Center for Free-Electron Laser Science (CFEL) at DESY has revealed the impact of Albert Einstein’s theory of special relativity on the quantum structure of atoms.
“Understanding atomic structure is fundamentally important,” explains Son. “Quantum mechanics tells us how electrons are placed in different atomic shells.” The atomic shell structure forms the basis for Mendeleev’s periodic table and determines the chemical properties of the elements. “Electrons in the outermost atomic shells typically move already at about one percent of the speed of light,” adds Santra. “The electrons in inner atomic shells, however, move even faster, particularly in heavier atoms. Then, quantum mechanics must be complemented by the theory of special relativity to accurately describe the atomic structure.”
Strong X-ray light can “evaporate” electrons from atoms in a process that is similar to the boiling of water. This quantum boiling has only been made possible by modern accelerator-driven facilities called free-electron lasers, however, which deliver the strongest X-ray flashes in the world. These facilities generate conditions corresponding to temperatures of several hundred million degrees Celsius. Quantum boiling then lays bare the inner shells of the atom and makes relativistic effects visible in a new way.
Nature Communications, 2018; DOI: 10.1038/s41467-018-06745-6
Earthquake in the laboratory
Researchers at DESY have used a new experimental approach to simulate the way in which seismic waves propagate within a sample, while closely observing the changes taking place inside the material itself. In their study, the scientists led by Hauke Marquardt from the University of Oxford and Bayerisches Geoinstitut (BGI) at the University of Bayreuth were able to show how a process occurring in the mineral ferropericlase above a certain pressure influences the speed with which such waves propagate. The finding could help to map the composition of the interior of the Earth more accurately.
The new experimental method allows scientists to simulate seismic waves in the laboratory under different conditions of pressure and to measure their effects on samples with a high temporal resolution. “We simulate the seismic waves by cyclically compressing and relaxing the sample in a controlled manner, at frequencies that are typical of seismic waves. At the same time, we can use X-rays to measure very accurately how the volume of the material under investigation changes during this time,” says Hanns-Peter Liermann, who leads the beamline at DESY’s X-ray source PETRA III where the new experimental set-up was developed and the measurements were carried out.
Geophysical Research Letters, 2018; DOI: 10.1029/2018GL077982
Kick-off for Hamburg graduate school for data science
A new graduate school for data science will be established in Hamburg. The "Data Science in Hamburg – Helmholtz Graduate School for the Structure of Matter", or DASHH for short, will offer young scientists an interdisciplinary and application-oriented education in the processing and analysis of large volumes of data when studying the structure of matter. The Helmholtz Association has decided to fund the joint initiative of DESY, Universität Hamburg, the Hamburg University of Technology and five other northern German research institutions with almost six million euros over the next six years.
"Data Science is a key technology for current and future natural sciences. Together with the universities, we would like to establish computer science geared towards the natural sciences on the Bahrenfeld campus and offer very good research opportunities to PhD students in the field of big data," says Helmut Dosch, the chairman of the DESY Board of Directors.
Key fields of application lie in structural biology, materials sciences, physics using ultrafast X-ray pulses and particle physics. The DASHH graduate school will offer highly talented young researchers from all over the world the opportunity to do their doctorate. In the research groups, they will be working on the challenges posed by large volumes of highly complex scientific data.
DESY's research facilities produce huge amounts of data. Their intelligent and efficient use is the subject of the new graduate school.
Nanoholes in semiconductors
A German–French research team has identified surprising properties of nanoholes in semiconductor materials produced by a promising technique: In their experiments, hot aluminium droplets etched remarkably smooth holes into an aluminium gallium arsenide substrate. The method is suitable, among other things, for the production of so-called quantum dots, which can be used, for example, for light sources with a very sharply defined colour or for storage cells in quantum computers.
The team from the Center for Hybrid Nanostructures (CHyN) at Universität Hamburg, the DESY NanoLab and the European Synchrotron Radiation Source (ESRF) in France investigated a typical semiconductor material made of gallium arsenide, the second most important material in the semiconductor industry after silicon.
For their etching experiments, the researchers coated the semiconductor material with aluminium, which forms droplets on the surface. At temperatures of nearly 700 degrees Celsius, the aluminium droplets etched holes into the semiconductor material. X-ray examinations at the ESRF revealed the smooth, regular shape of the holes. Investigations at CHyN and at the DESY Nanolab showed that the holes are each about 100 nanometres wide and 60 nanometres deep. One nanometre is one millionth of a millimetre. By being filled with a new material, such holes could serve as templates for quantum dots with tailor-made properties. In future analyses, the researchers hope to find out how the shape of the nanoholes can be understood and controlled.
Physical Review Materials, 2018;
DOI: 10.1103/PhysRevMaterials.2.106001
Unexpected form of scaffolding protein
A structural biology investigation at DESY’s X-ray light source PETRA III has revealed a surprising shape of an important scaffolding protein for biological cells. The scaffolding protein PDZK1 comprises four so-called PDZ domains, three linkers and a C-terminal tail. While bioinformatics tools had suggested that PDZK1’s PDZ domains and linkers would behave like beads on a string moving around in a highly flexible manner, the X-ray experiments showed that PDZK1 has a relatively firmly defined L-shaped conformation with only moderate flexibility. The experiment was carried out by a team led by Christian Löw from the Centre for Structural Systems Biology (CSSB) and Dmitri Svergun from the Hamburg branch of the European Molecular Biology Laboratory (EMBL). For the future, Löw and his group plan to examine PDZK1 in complex with binding partners using electron cryo-microscopy. “Only by integrating a range of techniques and collaborating with colleagues will we be able to fully understand complex proteins like PDZK1,” says Löw, who heads groups at both CSSB and EMBL. The teamwork of Löw and Svergun’s groups has not only led to an initial structural model for PDZK1, it also shows the importance of using an integrated research approach for solving complex questions in structural biology.
Structure, 2018; DOI: 10.1016/j.str.2018.07.016
Decay of the Higgs particle
Scientists from the two major particle physics experiments ATLAS and CMS at the European particle physics centre CERN have observed for the first time the Higgs boson decaying into two bottom quarks. According to theory, far more than half of all Higgs particles decay into these two quarks, but it is extremely difficult to filter out these processes from the many other things that happen when particles collide in the Large Hadron Collider (LHC) at CERN, the world’s biggest particle accelerator. The result is another confirmation of the Standard Model of particle physics – the theory that describes all particles and forces – and a further proof that the Higgs particle does indeed give mass to all elementary particles. DESY researchers played key roles in the search.
Quarks are the fundamental constituents of all atomic nuclei. They come in six different kinds. The matter we know consists of up and down quarks, but there are also strange, charm, bottom and top quarks, which can for example be produced in particle accelerators. The discovery of the Higgs boson at the LHC in 2012 marked the final missing piece of the Standard Model. By studying the properties of the particle, which is named after the British theorist Peter Higgs, physicists hope to better understand how it gives mass to other elementary particles.
Heavy quarks
The research teams of the large H1 and ZEUS detectors at DESY’s former HERA particle accelerator have combined their measurements on heavy quark production. They analysed all HERA particle collisions in which charm and beauty quarks were produced – a culmination of over 20 years of work.
From 1992 to 2007, the 6.3-kilometre underground storage ring HERA (Hadron Electron Ring Accelerator) at DESY collided electrons and protons accelerated close to the speed of light in order to resolve and study the structure of the proton. HERA revealed a very complicated picture of the proton: a sizzling soup where gluons can produce more gluons and split into pairs of quarks and antiquarks, all of them interacting again very quickly.
The detailed analysis of heavy quark production allows precision tests of the theory of the strong force, quantum chromodynamics (QCD), and insights into the structure of matter. “The HERA experiments have collected a very valuable set of lepton–proton collisions and continue to produce high-level publications even 10 years after the end of data taking,” says Joachim Mnich, director in charge of particle physics at DESY. “The publication is also a substantial proof that our efforts to preserve the HERA data for later analysis pay off.”
The European Physics Journal, 2018; DOI: 10.1140/epjc/s10052-018-5848-3
Google Maps for the cerebellum
A team of researchers from Göttingen has successfully applied a special variant of X-ray imaging to brain tissue. By combining high-resolution measurements at DESY’s X-ray light source PETRA III and data from a laboratory X-ray source, Tim Salditt’s group from the Institute of X-ray Physics at the Georg August University of Göttingen was able to visualise about 1.8 million nerve cells in the cerebellar cortex using phase contrast tomography.
The human cerebellum contains about 80 percent of all nerve cells in 10 percent of the brain volume – one cubic millimetre can therefore hold more than one million nerve cells. These cells process signals that mainly control learned and unconscious movement sequences. However, their exact positions and neighbourhood relationships are largely unknown. “Tomography in the so-called phase contrast mode and subsequent automated image processing enable the cells to be located and displayed in their exact position,” explains Mareike Töpperwien from the Institute of X-ray Physics at the University of Göttingen, lead author of the publication.
The combination of images of different magnifications enabled the Göttingen team to map the cerebellum over many orders of magnitude. “In the future, we want to be able to zoom even further into interesting brain regions, almost like on Google Maps,” says Salditt.
PNAS, 2018; DOI: 10.1073/pnas.1801678115
Result of the phase contrast tomography study at DESY’s X-ray source PETRA III
Pictures: DESY; University of Göttingen; Töpperwien et al. (bottom)
0.000 001 27 grams of particles hail down per second
1000 fast-moving atomic nuclei per second pelt down from space on every square metre of the Earth’s atmosphere.
870 of them are nuclei of the lightest chemical element, hydrogen.
120 are helium nuclei.
10 are nuclei of heavier elements.
500 000 000 000 000 000 or half a quintillion atomic nuclei per second are accumulated by the Earth through this cosmic hail – that’s a 5 followed by 17 zeros.
1.27 micrograms (millionths of a gram) is the total weight of these nuclei.
By comparison:
40 tonnes of cosmic dust are gathered by the Earth as it orbits the Sun – every day!
42 grams is the approximate annual increase of our Earth’s weight due to these “cosmic rays”.
The smallest building blocks of the world are tiny oscillating strings in nine spatial dimensions – that’s the fundamental assumption behind string theory. Hirosi Ooguri, a professor at the California Institute of Technology (Caltech) in the USA and the University of Tokyo in Japan, is one of the leading theoreticians in this field. He has now been awarded the Hamburg Prize for Theoretical Physics 2018 for his outstanding contributions to the mathematical treatment of these strings. Among other things, Ooguri will use the prize money for a research visit to the Wolfgang Pauli Centre for Theoretical Physics of DESY and Universität Hamburg.
According to the theory, the strings are wound up in six spatial dimensions, so that only the three dimensions that we are familiar with remain. The six-dimensional knots form “Calabi–Yau manifolds” in the process. Their mathematical properties are also useful in other areas of physics, for example in the description of the quark–gluon plasma that filled the universe shortly after the big bang. The main motivation for the work on string theory, however, is the search for an all-encompassing “Theory of Everything”. This theory should describe all of the properties of the elementary particles as well as gravity, which has to date resisted incorporation into the Standard Model of particle physics.
“We are very much looking forward to discussing our research with Hirosi Ooguri in person. We hope that this will lead to inspirations on both sides for our work in string theory and quantum field theory,” says Volker Schomerus, chairman of the prize jury and a leading scientist at DESY.
“Networking and personal discussions are extremely important, especially in such an abstract subject as theoretical physics,” explains Eva Ackermann, project manager at the Joachim Herz Stiftung, which awards the prize together with the Hamburg Centre for Ultrafast Imaging (CUI) and the Wolfgang Pauli Centre. “In practice, it’s often the joint coffee break, a bus journey or the meal in the canteen rather than exchanging e-mails or videoconferencing that make it easier to consider what initially seem to be absurd ideas. That’s why we attach great importance to research stays of the prize winner in Hamburg.”
137 036 € IN PRIZE MONEY
The Joachim Herz Stiftung – a Hamburg-based non-profit foundation – is active in the areas of the natural sciences, economics and personal development. The Hamburg Prize for Theoretical Physics was established in 2010 and is endowed with 137 036 euros. The prize money’s amount is a homage to Wolfgang Pauli’s doctoral supervisor, Arnold Sommerfeld, who in 1916 introduced the fine structure constant $\alpha$ in order to explain the fine structure of the spectral lines of the hydrogen atom. The prize money amounts to $1000/\alpha$.
Quick start for Europe’s X-ray laser
First experiments at the European XFEL reveal unknown structure of antibiotics killer
An international collaboration has announced the results of the first scientific experiments at Europe’s new X-ray laser European XFEL. The pioneering work not only demonstrates that the new research facility can speed up experiments by more than an order of magnitude, it also reveals a previously unknown structure of an enzyme that plays a major role in antibiotic resistance. “Being at a totally new class of facility, we had to master many challenges that nobody had tackled before,” says DESY scientist Anton Barty from the Center for Free-Electron Laser Science (CFEL), who led the team of about 125 researchers.
The 3.4-kilometre-long European XFEL is designed to deliver X-ray flashes every 220 nanoseconds, that is every 0.000 000 220 seconds. The flashes can for example be used to illuminate biomolecules in order to determine their three-dimensional shape. The spatial structure of proteins and enzymes can reveal much about how exactly these molecules work. For such studies, tiny crystals are first grown from many identical biomolecules, which are then exposed to the X-ray flashes. Each crystal generates a characteristic diffraction pattern, which is recorded by a detector. If enough such patterns are recorded from all sides of a crystal, its inner structure – and thus also that of its building blocks, the biomolecules – can be calculated with atomic resolution.
Biomolecules in 3D
However, every crystal can only be X-rayed once since it is vaporised by the intense...
flash of the X-ray laser (after it has produced a diffraction pattern). So, to determine the full three-dimensional structure of the biomolecule, a new crystal has to be delivered into the beam in time for the next flash, by spraying it across the path of the laser in a water jet. With its extremely fast pulse rate, the European XFEL can greatly accelerate such studies – however, nobody has tried to X-ray samples with atomic resolution at this fast rate before. The fastest pulse rate so far of any such X-ray laser has been 120 flashes per second, that is one flash every 0.008 seconds (or 8 000 000 nanoseconds).
To probe biomolecules at full speed, not only the crystals must be replenished fast enough – the water jet is also vaporised by the X-rays and has to recover in time. “We revved up the speed of the water jet carrying the samples to 100 metres per second, that’s about as fast as the speed record in formula 1,” explains Max Wiedorn from CFEL. A specially designed nozzle made sure the high-speed jet would be stable and meet the requirements. To record the X-ray diffraction patterns at this fast rate, an international consortium led by DESY scientist Heinz Graafsma had spent years designing and building one of the world’s fastest X-ray cameras, tailor-made for the European XFEL.
**Understanding antibiotic resistance**
As one of their samples, the team chose a bacterial enzyme that plays an important role in antibiotic resistance. The molecule designated CTX-M-14-β-lactamase was isolated from the bacterium *Klebsiella pneumoniae*, whose multidrug-resistant strains are a grave concern in hospitals worldwide. Two years ago, a “pandrug-resistant” strain was even identified in the USA, which, according to the Centers for Disease Control and Prevention (CDC), was resistant to all 26 commonly available antibiotics.
The enzyme CTX-M-14-β-lactamase is present in all strains of the bacterium. It works like a molecular pair of scissors cutting lactam rings of penicillin-derived antibiotics open, thereby rendering them useless. To avoid this, antibiotics are often administered together with a compound called avibactam that blocks the molecular scissors of the enzyme. Unfortunately, mutations can change the form of the scissors. “Some hospital strains of *Klebsiella pneumoniae* are already able to cleave even specifically developed third-generation antibiotics,” explains Christian Betzel, co-author of the study and also a professor at Universität Hamburg. “If we understand how this happens, it might help to design antibiotics that avoid this problem.”
“Such movies would give us crucial insights that could one day help us to design better inhibitors, reducing antibiotic resistance”
*Christian Betzel, Universität Hamburg*
The fastest X-ray serial images in the world
The European XFEL X-ray laser stands out thanks to its extremely fast pulse sequence: The laser can generate up to 27,000 flashes per second. For scientists to be able to use this super stroboscope effectively, the detectors have to record data at the same rate. The detector employed in the first experiments was therefore custom-designed for use at the SPB/SFX instrument by an international consortium led by DESY. The special camera called AGIPD can take images at intervals of only 220 billionths of a second (220 nanoseconds) – that’s the world’s fastest X-ray serial images currently available.
“Unlike in a conventional digital camera, each pixel of the detector has 352 memory cells, so that 352 images can be temporarily stored and then read out in one go,” says DESY researcher Heinz Graafsma, who coordinated the development and production of the detector. AGIPD accomplishes this ten times per second. The challenge is not only to capture the fast image sequence, however, but also to process it. Even at a resolution of one megapixel, which is moderate compared to a photo camera, the high-speed detector generates a data stream of around eight gigabytes per second – that’s almost two full DVDs every second.
But the special camera must be capable of doing much more. For analysing biomolecules, the researchers usually direct the bright X-ray radiation at tiny crystals of the molecules under investigation. The crystals scatter the X-rays, and the information about the structure of the molecule is encoded in the complex scattering pattern. “These X-ray scattering images are not only produced at the European XFEL in extremely fast sequence, they also have a very large brightness range,” says Graafsma. However, every detail is important in order to be able to decode the often very complicated protein structures.
While fine details of the scattering pattern may only be indicated by single particles of light (photons), there are also very bright reflections comprising many thousands of photons. “In the new detector, each pixel dynamically adjusts its sensitivity depending on the number of incoming photons. This makes it possible to capture areas with both single photons and several thousand photons in the same image,” explains Graafsma. Accordingly, AGIPD stands for “Adaptive Gain Integrating Pixel Detector”.
Nature Communications, 2018; DOI: 10.1038/s41467-018-06156-7
The Adaptive Gain Integrating Pixel Detector (AGIPD), tailor-made for the European XFEL, can record the world’s fastest X-ray serial images.
Trump cards in the light source quartet
The X-ray light sources operated by DESY and its partners provide bespoke light for research.
**X-ray laser European XFEL**
| Size | 3400 metres, world’s largest X-ray laser |
|------|------------------------------------------|
| Speed | of the accelerated electrons: 99.999 999 95 percent of the speed of light |
| Brightness | $10^{22}$ photons per pulse |
| Users | Approximately 1000 scientists from all over the world per year |
| Operation since | 2017 |
The 3.4-kilometer-long European XFEL produces extremely intense, ultrashort X-ray laser flashes that may be used by guest scientists from around the world. The X-ray flashes, which are generated by a particle accelerator in an underground tunnel system, enable scientists to map the atomic details of viruses, film chemical reactions and study processes such as those occurring deep inside planets.
---
**Free-electron laser FLASH**
| Size | 315-metre-long X-ray laser with 2 experimental halls |
|------|-----------------------------------------------------|
| Speed | of the accelerated electrons: 99.999 986 percent of the speed of light |
| Brightness | $10^{13}$ photons per pulse |
| Users | Approximately 200 scientists from all over the world per year |
| Operation since | 2005 |
Since 2005, FLASH, the world’s first free-electron laser in the X-ray range, has been generating a very special light at DESY in Hamburg: extremely intense, ultrashort light in the form of short, precisely timed pulses. Researchers from around the world use them to observe the motion of atoms and molecules. FLASH is the pioneering facility at which important foundations for movies of the nanocosmos were worked out.
---
**X-ray light source PETRA III**
| Size | 2304-metre-long ring tunnel with 3 experimental halls |
|------|-------------------------------------------------------|
| Speed | of the accelerated electrons: 99.999 999 9 percent of the speed of light |
| Brightness | $10^{14}$ photons per pulse |
| Users | Approximately 2400 scientists from all over the world per year |
| Operation since | 2009 |
DESY operates one of the world’s brightest storage-ring-based X-ray radiation sources: PETRA III offers scientists outstanding opportunities for experiments with X-rays of exceptionally high brilliance. This particularly benefits researchers investigating very small samples or requiring tightly collimated and very short-wave X-rays for their experiments – ranging from medical research to nanotechnology.
---
**Central star Sun**
| Size | Diameter 1.4 million kilometres |
|------|---------------------------------|
| Speed | of the photons on their way from the ultra-dense solar core to the solar surface: $\approx 0.22$ m/s or 0.000 000 000 072 percent of the speed of light |
| Brightness | $10^{14}$ photons per second |
| Users | 7 635 250 000 humans, countless animals and plants all over the world |
| Operation since | around 4.5 billion years ago |
The Sun is a huge nuclear reactor: Inside it, energy is produced through the fusion of hydrogen to helium at temperatures of around 15 million degrees. Its surface is still at temperatures of around 5700 degrees Celsius. From the Sun’s surface, the photosphere, light and energy flow into space, providing the basis for the diverse life on Earth.
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The cover picture was taken by photographer Philip Thurston (www.thurstonphoto.com) off the southwest coast of Western Australia, a rough and isolated coastal region that is constantly hit by large waves and strong winds from the Indian Ocean. When the tides are right and the autumn trade winds are blowing, four to six metre high swells come in from the open sea and suddenly run onto the shallow reef. "This produces extremely powerful breaking waves, which can be incredibly photogenic, especially in early or late sunlight," reports Thurston. "I've documented breaking waves my whole life. No two are ever the same, which makes them a constantly changing subject and creates an almost addictive passion." Waves also play a decisive role in accelerator physics: Plasma waves, for example, can give electrons a huge boost.
The DESY research centre
DESY is one of the world’s leading particle accelerator centres. Researchers use the large-scale facilities at DESY to explore the microcosm in all its variety – ranging from the interaction of tiny elementary particles to the behaviour of innovative nanomaterials and the vital processes that take place between biomolecules. The accelerators and detectors that DESY develops and builds at its locations in Hamburg and Zeuthen are unique research tools. The DESY facilities generate the most intense X-ray radiation in the world, accelerate particles to record energies and open up completely new windows onto the universe.
DESY is a member of the Helmholtz Association, Germany’s largest scientific organisation.
|
Enhancing Scientific Collaboration Through Knowledge Base Population and Linking for Meetings
Ning Gao
University of Maryland, College Park
firstname.lastname@example.org
Mark Dredze
The Johns Hopkins University
email@example.com
Douglas W. Oard
University of Maryland, College Park
firstname.lastname@example.org
Abstract
Recent research on scientific collaboration shows that distributed interdisciplinary collaborations report comparatively poor outcomes, and the inefficiency of the coordination mechanisms is partially responsible for the problems. To improve information sharing between past collaborators and future team members, or reuse of collaboration records from one project by future researchers, this paper describes systems that automatically construct a knowledge base of the meetings from the calendars of participants, and that then link reference to those meetings found in email messages to the corresponding meeting in the knowledge base. This is work in progress in which experiments with a publicly available corporate email collection with calendar entries show that the knowledge base population function achieves high precision (0.98, meaning that almost all knowledge base entities are actually meetings) and that the accuracy of the linking from email messages to knowledge base entries (0.90) is already quite good.
1. Introduction
Many collaborations in science between distributed and interdisciplinary researchers are inspired by the vision that bringing diverse partners together as a cohesive team can yield more than the sum of its parts. However, studies of actual scientific collaborations sometimes reveal quite different results. For example, a study by Cummings and Kiesler of teams in the NSF Information Technology Research program found that collaborations involving larger numbers of universities and larger numbers of disciplines tended to produce fewer patents and fewer publications. Other studies show that the outcomes of collaborative projects are adversely affected by distance [2] and coordination difficulties [3].
These results have led to increased interest in computational support for coordination and collaboration in distributed and interdisciplinary projects [1, 2, 4]. Despite this interest, a 2005 survey of 71 research projects found that 84% of the teams coordinate using phone or email discussions [4]. That result tends to confirm results reported in 2000 by Olson and Olson showing that the most popular collaboration technologies at the time were telephone, fax, email, audio conferencing, voice mail, and attachments to email. Today we might add videoconferencing services such as Skype, short message apps such as Twitter, shared document editing services such as Google Docs, and shared calendar systems such as Outlook to that list.
Fundamentally, however, the information space of coordination tools remains largely balkanized, with many specialized tools each containing a piece of the puzzle. This poses challenges for new members of a research team, who need to learn to navigate a complex social system in which expertise is distributed in ways that may not be easily discerned. This balkanization also poses even greater challenges for future researchers who might benefit from rich access to the records of completed projects, because many of the support structures available to members of current projects (e.g., disciplinary mentors or local team leaders) will no longer be functioning in those roles.
These considerations have led us to focus on reconstructing links between otherwise disconnected components of a project’s information space. In earlier work, we have focused on connecting mentions of people that are found in email messages to the specific people who were being mentioned, the task of entity linking [blinded]. In this paper, we take the next step by broadening our focus to activities, and in particular to meetings. Following the process that we have previously applied to mentions of people, we introduce the task of meeting linking. We first identify as many meetings as we reliably can (in this case, using calendar entries) to construct a knowledge base of meetings, and then we seek to link mentions of meetings in natural language in email to the specific mentioned meeting in the knowledge base. Our work is bottom up in the sense that we are seeking to build technical capabilities that can ultimately be used, both by new members of a project and by future researchers, but our focus at this point is on how well our systems work; we are not yet ready to study how they will actually be used.
The remainder of this paper is organized as follows. The **Background** section reviews some of the relevant prior work. The **Test Collection** section then introduces the collection, which (for practical reasons involving availability and redistribution rights) are drawn from a corporate system rather than from a scientific collaboration. The **System Framework** section gives an overview of the proposed system, and the **System Design** section describes the knowledge base population and linking processes in detail. This is followed by the **Experiments** section, which presents evaluation results for our system. Finally, the **Conclusion and Future Work** section concludes with a discussion of the implications of these results and some thoughts on next steps.
2. Background
Natural language processing can be used in a number of ways to characterize conversational content (e.g., email or recorded teleconferences). Here we focus on knowledge base population and reference linking. Knowledge base population systems can be used to build collection-specific knowledge bases by automatically extracting person [5] or organization entities [6] from a large collection of emails. Entity linking systems [8, 9, 10, 13, 29] have been used to link the named mentions of person, organization and location entities in emails [8, 9] or phone recordings [10, 14] to collection-specific knowledge bases and to general-coverage knowledge bases (e.g., those derived from Wikipedia). When the resulting knowledge base is used to support information access, this can result in improved precision, and sometimes also in improved recall.
Elsayed et al. [5] proposed a method to build a collection-specific person knowledge base for an email collection by treating the email addresses found as senders or recipients in the collection as candidate entities. The person name variants (e.g., first name, last name, nickname) associated with the email addresses are mined from the header, salutation, signature or the email address itself. Gao et al. [6] proposed a method to build a collection-specific organization knowledge base for an email collection by extracting the domain names (e.g., enron.com is the domain name for email@example.com) from the email addresses in the collection as the set of candidate organization entities. Associated name variants for each organization entity are then mined from four sources: the first returned webpage by posing the domain name as a keyword search to Google, the Wikipedia page that best matches the domain name, organization names found in signature blocks and body of messages sent from that domain.
Entity linking for dissemination-oriented content (e.g., news articles) has been widely studied by researchers for years [16, 24]. However, the task of entity linking for conversational content [8, 9, 10, 25, 26, 27, 28] raises new challenges as the context needed to understand the conversation might not be clearly stated. Also the referent entities (e.g., person, organization) mentioned in the conversations might be absent from the publicly available knowledge bases (e.g., Wikipedia, DBpedia), so that collection-specific knowledge bases are needed. Elsayed et al. [8] proposed a person identify resolution system by using evidence from four sources: the email containing the mention; the path from the email message containing the mention to the root of the discussion (PTR); PTRs containing similar conversational participants, and PTRs containing similar content.
Gao et al. [9] built what is currently the state-of-the-art system for the task of linking person named mentions in email messages to collection-specific person knowledge base by training a supervised learning system with a large set of features. Those features were constructed based on string matching between the mention and the name variants for senders or recipients of the message, social network features, lexical evidence for topical similarity, and tailored features that might suggest the absence of the referent in the knowledge base. Importantly, Gao et al.’s system was also able to recognize mentions that refer to entities absent from the knowledge base (so-called NIL mentions, which indicate that no matching entity exists in the knowledge base). Later, Gao et al. [9] extended the system to link three types of named mentions (i.e., person, organization, location) to multiple knowledge bases (i.e., a general knowledge base built from Wikipedia, and the collection-specific person and organization knowledge).
Another related task is the Knowledge Base Acceleration task at the Text Retrieval Conference (TREC) [15]. The knowledge base acceleration task aims to identify documents that contain a mention, given the entity for which a mention is desired. Knowledge base acceleration is intended for filtering a high-volume stream to find documents that could then be mined for attributes of entities to help enrich the knowledge base. Entity and event linking are one step in the knowledge base population pipeline. The Text Analysis Conference (TAC) Event Argument Extraction and Linking shared-task evaluation [11, 12] aims to extract information about entities and the roles they play in events. That task includes a subtask of recognizing mentions of events in dissemination-oriented sources (news articles or discussion forums), for which publicly reported or publicly discussed events (attacks, injury, elections, etc.) are of interest.
Cognitive Assistant that Learns and Organizes (CALO) [17, 18, 19, 20], a project supported by the Defense Advanced Research Projects Agency (DARPA), explored integrating numerous computer-based technologies to assistant users in different levels, including organizing and prioritizing information from different sources (e.g., email, appointments, web pages), mediating human communications by generating meeting transcripts, tracking action item assignments, and detecting roles of participants.
3. Test Collection
For the initial experiments reported in this paper we have used the Avocado email collection [22] available from the Linguistic Data Consortium. The collection contains 614,369 email messages (after de-duplication, for which a standard de-duplicated set is provided with the collection) extracted from 279 email accounts of a defunct information technology company.\(^1\) Most of the accounts are those of Avocado employees, while the remainder of them are shared accounts such as “Marketing Group” or system accounts such as “Conference Room”.
Figure 1 shows a manually constructed example that is similar to email messages found in the collection. Information such as the date sent, senders and recipients (collectively, “participants”), subject, new message content, and quoted text from earlier messages are typically present. There are three types of calendar-like entries within the email accounts: 76,902 appointments (e.g., Communications meeting, system test meeting), 26,980 schedule items (e.g., depart to NY, pick up kids), and 15,473 tasks (e.g., portal update, testing on the hour). In this paper, we focus on the work-related meetings with multiple participants. Most of the “schedule” and “task” entries contain no evidence of discussions between multiple participants. Therefore, we only consider the “appointment” entries when building our collection-specific meeting knowledge base. Figure 2 shows a manually constructed example that is representative of an appointment entry, in this case for a “Marketing Group Meeting”. The owner of the appointment (Margaret Johnson), start time (2001-10-09), recurrence information, and the description of the meeting (located in “text/001/001-000050-AP.txt”) are easily obtained from the XML.
\(^1\) Avocado is a pseudonym, used to refer to the company. As required by the LDC Avocado user agreement, all examples in this paper are manually constructed to be representative of the nature of the content of the collection, but details such as the names of people and the dates and description of events have been changed.
**Figure 1:** Email message example.
**Figure 2:** Appointment entry sample.
There are appointment entries for 226 of the 279 email accounts. Figure 3 shows the number of email messages and number of appointment entries within these email accounts. Each bar represents the number of appointments for an email account, following the scale of y-axis on the right. The line represents the number of email messages for each account following the scale of y-axis on the left. In general, there is no strong correlation between the number of messages and the number of appointment entries (Kendall’s tau [23] is 0.23; where 1 is the strongest positive correlation and 0 indicates no correlation). The email accounts with the most messages are more likely to either be shared accounts (e.g., Marketing Group) or a person who serves as a communication hub (e.g., the president of the company). Similarly, the email accounts with the greatest number of appointment entries are more likely to be shared accounts or meeting coordinators.
Figure 4 shows the number of email messages and appointment entries by year. Again, the line represents the number of email messages following the scale on the left y-axis, and the bars represent the number of appointment entries following the scale on the right y-axis. There is strong correlation (Kendall’s tau of 0.73) between the two distributions. The increasing email activity and the increasing number of meetings between 1994 to 2001 reflects both the
Figure 3: Number of email messages (line) and appointment entries (bars) for each email account, in descending order of the number of email messages.
Figure 4: Number of email messages (line) and appointment entries (bars) by year.
The growth of the company and the fact that some people retained more older email and calendar entries than did others, while the sharp decrease from 2002 to 2003 might reasonably be interpreted as reflecting changes in the company as it adjusted to new circumstances in the aftermath of the dot com bubble, and then ultimately failed.
4. System Framework
There are five stages in the framework for our system, as shown in Figure 5: collection-specific meeting knowledge base population, query preparation, triaging candidates, feature construction, and prediction. The first step, collection-specific knowledge base population, extracts the appointment entries that are likely to refer to work-related meetings as the meeting entries in the knowledge base. We created guidelines to standardize our definition of a meeting for the experiments reported in this paper: (1) there should be multiple participants in a meeting (e.g., “interview with Greg Kelly” is a meeting, while “Depart at 10:20AM” is not); (2) the owner of the appointment should show intent to go to the meeting (e.g., the owner may go to the “marketing group meeting”, but may not for “pizza in the kitchen”); (3) meetings are expected to include some discussion (e.g., calls, video chats, and presentations are considered as meetings, while tasks such as “portal update test” are not); (4) the status indicated in an entry (i.e., Updated, Accepted or Cancelled) does not affect whether it is a meeting (so even cancelled meetings are meetings, since they can be referenced in the text). Appointment entries that meet these criteria were extracted as the candidate meeting entries. Candidate meeting entries that are owned by different accounts are then merged if there is sufficient evidence that they refer to the same meeting. The resulting set of meeting entries constitutes the collection-specific knowledge base. The details of this knowledge base population process are presented in Section 5.1.
The second step is query preparation. We filter the email collection and select the email messages that contain the string “meet” in either subject or body of the message. Manual annotation of 300 randomly selected email messages by the first author of this paper found that this string match technique achieves a recall 0.98 and a precision 0.79 for identifying messages that contain a mention of a meeting. The false positives include cases when “meet” is referring to a general concept rather than a specific meeting (e.g., no meeting today, meet the requirements). The very few false negatives include cases when the sender of the email messages uses other terms to refer to a meeting (e.g., Call me, let’s discuss this tomorrow). According to the manual annotations, 8.9% of the randomly selected messages referred to an existing meeting, while 4.6% of the randomly selected messages contained an invitation to a meeting (e.g., can we meet tomorrow). The remaining 86.5% of the messages were not meeting related.
The third step is candidate triage, in which the goal is to select some (usually) small number of meetings in the knowledge base that could plausibly be the referent of a meeting mention. To do this, indications of the meeting’s date are first extracted from the subject and the body of the message. Meeting entries from the knowledge base are then selected as candidates if (1) the meeting is on that date or (if no meeting date indications were found) within some specified time range before or after the date on which the message was sent, and (2) there is at least some participant or topical evidence for the reference. NIL is included as a candidate in every case so that the system has the opportunity to rank NIL along with every other candidate. The details of the triaging step are described in Section 5.2.
For each pair composed of mention of a meeting and a candidate meeting that survives the triage process for that mention, a large set of features are then created in the feature construction stage to calculate the probability that the message is referring to a particular meeting candidate. As explained in Section 5.3, these features are categorized into four groups for presentation purposes. The Support Vector Machine (SVM) regression model nu-SVR from LibSVM [7] is then used with a radial basis function kernel to learn a model that is capable of ranking the candidate meetings for each mention. The top ranked candidate, possibly NIL, is the system’s prediction of the meeting to which the mention refers.
5. System Design
We first introduce our knowledge base population technique (Section 5.1), followed by the triage method linking (Section 5.2), and a description for the features used for prediction (Section 5.3).
5.1 Knowledge Base Population
We have built a rule-based system to recognize calendar entries that are likely to be work-related meetings. We first calculate the term frequency of each word appearing in the subjects and descriptions of appointment entries. The 16 most frequently used words (e.g., meet, call) in work-related appointment entries are manually selected as the positive alert list; appointment entries containing one or more words in the positive alert list are candidate meeting entries. Appointment entries with a specific location attribute (e.g., conference room) are also candidate meeting entries. Additionally, appointment entries with known person names in the subject or description (e.g., one on one with John) are considered as candidate meeting entries. To construct the set of known person names we follow the techniques introduced by Elsayed and Oard [5] to first build a collection-specific person knowledge base. The known names are then all known name variants (e.g., first name, last name, nicknames) for every person who has sent or received email in the Avocado email collection.
We also built a negative alert list (e.g., depart, birthday) containing 8 words that are manually selected in a similar manner to recognize appointment entries that do not refer to work-related meetings. Candidate meeting entities containing one or more words in the negative alert list are removed from the candidate set. This process results in a total of 43,499 appointment entries that are recognized as meetings. To evaluate the efficacy of this way of identifying candidate meeting entries, the first author of this paper randomly selected 100 appointment entries and determined whether each entry was a meeting. The system made the same decision as the human annotator on 95 of those 100 cases, for a recall of 97% and a precision of 98%. The same meeting might appear in more than one calendar since every meeting has at least two participants. Any candidate meeting entries that share the same start time, subject and description are therefore merged to produce the final set of meeting entries in the collection-specific meeting knowledge base. A total of 30,449 meeting entries are recognized in this way.
5.2 Linking: Candidate Triage
For each email message containing a detected meeting mention (i.e., each message containing the string “meet”), the candidate triage step of the linking process aims to recognize a small set of meeting entries in the knowledge base that might be the true referent. There are two phases in the triage step. In the first phase, we select the candidates from the knowledge base based on temporal information (e.g., only meeting entries on December 12 can be candidates for email message “feedback for our Dec. 12th meeting”). We first use the Stanford Temporal Tagger [21] to recognize the references to dates (e.g., tomorrow, Thursday, Dec. 12) in the subject field of the email and in the sentences containing the string “meet” in the email body. For example, the sentences “feedback for our Dec. 12th meeting” in a message sent on 2000-12-13, “notes for our Tuesday meeting” in a message sent on 2000-12-10, and “plan for our meeting tomorrow” in a message sent on 2000-12-11 would be recognized and judged as referring to a meeting on 2000-12-12. If a specific date is identified, only the meeting entries on that date are retrieved as the candidates. Otherwise, if any word in the subject field of the email message matched any of
the 4 words on a list that we manually created that suggest that the meeting should happen after the message sent date (e.g., agenda, plan) or any of the 5 words on a manually created list that suggest that the meeting occurred before the sent date (e.g., feedback), we take all candidates in a 7-day range on that side of the message. Absent such cues, all the meeting entries within 7 days before or after the sent date of the email message are retrieved as the initial candidate meetings.
In the second triage phase we narrow the list of candidates by searching for the participants or topical contexts matching attributes of each candidate meeting. Candidate meetings with no evidence of being the true referent are removed from the candidate set. We first check the calendars of the email message participants. If the email message is between A and B, then a meeting at which A and B were present could be a potential match. Thus, a meeting is considered as a candidate if it is in two or more than two calendars of the email participants, or if it contains the name of at least one of the participants in the meeting subject or description. Evidence supporting retention could also be found in topical context (e.g., “group meeting with First Tech” could be a candidate for email message “meeting with First Tech”). To check this we extract capitalized words (“Marketing” and “Group” from email message subject or phrase “Marketing Group Meeting”), other than those that contain the string from a 5 manually selected word list (e.g., meet), words indicating time (e.g., Dec.) or status (e.g., Updated), from the subject field of the message and the phrases in the email containing the word “meet” (the phrases are segmented by stop words). A candidate meeting entry is retained if it contains at least one topical term. After this second triage phase, the average number of candidates for each query email message is 11.4 and the median is 6. This two-stage triage process achieves 96% recall on retrieving referenced meetings.
### 5.3 Linking: Feature Design
Let $Q$ be the email messages in the evaluation set (all of which contain the string “meet”), and $M$ be the collection-specific meeting knowledge base. For each email message $q \in Q$ and meeting $m \in M$, we first identify their extended contexts as $f(P, S, B, T)$, where $P$ represents the participants (sender and recipients) for message $q$ or the owners of meeting $m$, $S$ is the subject field for $q$ or the meeting subject for $m$, $B$ is the sentences in the email message body that contain the word “meet” for $q$ or the description of meeting $m$, and $T$ is the sent date for $q$ or the meeting date for $m$. Let $\mu_l \in M$ be the set of candidate meetings for query $q_l$ retrieved from the knowledge base $M$, after triage. We then compute 18 features $\mathcal{D} = \{\mathcal{D}(q_l, m_j)\}$, where each feature $\mathcal{D}(q_l, m_j)$ is expected to have some predictive value for whether a candidate meeting $m_j \in \mu_l$ is the true referent of the meeting mentioned in email message $q_l \in Q$. The features are organized here for presentation purposes into four feature groups by the type of evidence that was used for feature construction.
#### 5.3.1 Temporal Features
This set of 2 features is built based on the temporal information of email message $q_l$ and the candidate meeting $m_j$. We calculate the unsigned number of days from the email sent date to the meeting date:
$$\mathcal{D}(q_l, m_j) := |T_l - T_j|.$$
(1)
There could be multiple dates extracted from the email message by the Stanford Temporal Tagger (e.g., both 2001-10-09 and 2001-10-08 are extracted from the message in figure 1). We therefore use a second feature to calculate the minimum absolute days from the meeting date to any of the extracted dates in the email message.
#### 5.3.2 Participant Features
We build 6 features from the participants in the email message. One feature calculates the number of common participants between email message $q_l$ and candidate meeting $m_j$:
$$\mathcal{D}(q_l, m_j) := |\{P_l \cap P_j\}|.$$
(2)
A second feature is Boolean, set to 1 when there are at least two common participants. The other 4 features are based on known name variants (identified as described in section 5.1) for each participant $p \in P_i$ in message $q_i$. Let $N = \{n\}$ be the known name variants for $p$. We build one feature to calculate number of participants that have any name variant match in the meeting subject
$$\mathcal{D}(q_l, m_j) := \sum_{p \in P_i} I(|\{n \in N : n \cap S_j \neq \emptyset\}| > 0),$$
(3)
where $I$ is the Indicator function. We build another feature to calculate the number of participants that have any name match in the meeting description by substituting $B_j$ for $S_j$ in equation (3)). Finally, we build 2 Boolean features that indicate if there is any name variant match in either the meeting subject or the meeting description.
#### 5.3.3 Topical Features
As mentioned in Section 5.2, terms indicating the topic of the meeting are extracted from the email message in the triage step. We build 4 features based on the term match between email message $q_l$ and candidate $m_j$. For each message $q_l$, let $K_l = \{k\}$ be the topic indicative terms.
We build features to calculate the sum of the term frequencies of these terms in the meeting subject $S_j$:
$$D(q_i, m_j) := \sum_{k \in K_i} TF(k, S_j), \quad (4)$$
where $TF(k, S_j)$ is the frequency of term $k$ in meeting subject $S_j$, or the sum of the term frequencies of the topic indicative terms in the meeting description (substituting $B_j$ for $S_j$ in equation (4)). Two additional features are computed by taking the importance of each topic indicative term (as calculated by Inverse Document Frequency in the meeting knowledge base) into consideration (e.g., “Financing” is more informative than “Group” in this context). The subject field feature is computed as:
$$D(q_i, m_j) := \sum_{k \in K_i} TF(k, S_j) \times IDF(k), \quad (5)$$
where the Inverse Document Frequency (IDF) of term $k$ is calculated based on the union of the subject and description fields of for each meeting in the knowledge base, defined in equation (6). The description field feature is computed by substituting (the use of $B_j$ for $S_j$ in equation (5)). In general, the more meeting entries the keyword appears in, the less informative it is.
$$IDF(t) := \log \frac{1}{|m \in M: k \in \{S_m, B_m\}|} \times |M|, \quad (6)$$
### 5.3.4 NIL Features
There are 6 features constructed to indicate whether the true referenced meeting might be absent from the knowledge base – the NIL case. We build one feature to indicate if the current candidate is the special NIL candidate that we add to each list (this allows the ranker to learn to treat the NIL candidate differently if that turns out to be helpful). Other features encode: if there are no candidate meetings on the specific meeting date in the query email message $q_i$; if there is a word (e.g., cancel) indicating the cancellation of the meeting in the message subject $S_i$; if there is one of those same words indicating the cancellation of the meeting in the topical context $B_i$; if there is no topic indicative term match in any of the candidates; or if the current candidate meeting $m_j$ is cancelled (with status “Cancelled”).
### 6. Experiments
This section introduces the test collection (Section 6.1) and evaluation measures (Section 6.2). We evaluate the efficacy of linking to known (i.e., Non-NIL) meetings (Section 6.3), separately analyze the utility of each feature group (Section 6.4), and conduct a feature addition study (Section 6.5). Finally, we discuss the linking for NIL cases (Section 6.6).
#### 6.1 Test Collection
Table 1: Statistics on the training and test sets.
| | Training | Testing |
|------------------------|----------|---------|
| Known meetings | 7,101 | 7,254 |
| Meeting-related email messages | 4,116 | 7,276 |
| Messages chosen for annotation | 617 | 542 |
| Non-NIL annotations | 200 | 160 |
To evaluate the efficacy of our meeting linking system we split the email collection and the meeting knowledge base into disjoint training and testing sets. The 226 email accounts with appointment entries are randomly divided into the training and testing sets of equal size. In the training set, we designate as potential “query” email messages those sent on or before 2000-12-31 that contain at least one participant in the training accounts (and the string “meet”). The knowledge base for training is constructed solely from the calendars of the training accounts. In the testing set, the potential query email messages are those sent on or after the date of 2001-01-01 that contain at least one participant in the testing accounts (and the string “meet”). The knowledge base for testing is constructed solely from the calendars of the testing accounts.
Table 1 shows the basic statistics on the training and testing sets. The first author of the paper annotated 617 randomly selected meeting-related email messages (Total annotations) and was able to link 200 messages (Non-NIL annotations) to the meeting entries. For the remaining 417 email messages, the annotator was not able to find the referenced meeting entries either because the true referents are absent from the knowledge base, or because the true referents are difficult for a nonparticipant to find due to the lack of evidence. Three independent annotators were able to link 160 of the 542 randomly selected messages in the testing set to the meeting entries in the knowledge base. The 30% Non-NIL yield on the test set is somewhat lower than the 35% reported for the training set, perhaps because the difficulty of the annotation task may have increased as the company grew, or perhaps because of differences in perspective or ability on the part of the annotators. The 160 Non-NIL annotations in the testing set are used to evaluate the efficacy of our system on linking email messages to the referenced meeting entries. We also evaluate and analyze the system predictions on the NIL links in Section 6.6.
#### 6.2 Evaluation Measures
For each query email message $q_i$, the set of candidate meetings $\mu_i$ will be sorted by the likelihood
that they are the true referent according to the SVM regression model. If the true referent is in the candidate set $\mu_i$, let $r_i$ be its rank in the sorted list. If the true referent is not in $\mu_i$, $r_i = +\infty$. We use two metrics to evaluate linking efficacy: Accuracy over all query email messages in $Q$:
$$\frac{1}{|Q|} \times |\{q_i \in Q : r_i = 1\}|,$$
and Mean Reciprocal Rank (MRR)
$$\frac{1}{|Q|} \times \sum_{q_i \in Q} \frac{1}{r_i}.$$
Accuracy shows the fraction of queries for which the top ranked candidate is the same as the human annotation; MRR is a somewhat more forgiving measure that gives partial credit for placing the correct referent lower in the ranked list.
### 6.3 Linking for Non-NIL
Table 2 shows the efficacy of linking Non-NIL query email messages to the referenced meeting entries. As the random selection results in Table 2 show, this good performance can not be explained solely by imbalances in the data distribution. For example, random selection yields a measured Accuracy of 0.312, which reflects the skewed distribution of triage results. The triage step (Section 5.2) reduces the number of candidates for each query email message from all the meeting entries (7,254) to a median of 6 candidates by taking the temporal, participant and topical information into consideration. After the triage step, 33 of the 160 Non-NIL messages (20.6%) have a single candidate that turns out to be the true referent; these cases account for 0.206 of the 0.312 measured Accuracy of random selection. Our system is able to nearly triple the Accuracy over random selection by using all of our features (Section 5.3). Next, we explicitly analyze the efficacy of each feature group individually (Section 6.4) and in combination (Section 6.5).
### 6.4 Single Feature Groups
Figure 6 shows the Accuracy for linking the Non-NIL email messages to the referenced meeting entries by using a single group of features. Each bar (Temporal, Participants, Topical, NIL) shows the effect of using all (and only) the features in that group. The Accuracy for random selection and All (using all features) are also shown in Figure 6 for reference. We note that the feature groups used have varying richness along several dimensions, aggregating different numbers of features, with different feature types (binary, integer, of floating point), and different degrees of feature correlation.
Topical features are the best single feature group (0.70 Accuracy), and unsurprisingly the features designed for recognizing the absence of the referenced meeting entries (NIL features) result in no improvement when tested on Non-NIL messages. Temporal features are designed to capture the number of days between the email sent date and the meeting date. According to the human annotations, 38% of the meetings mentioned are on the day the email was sent, and 12% of the meeting dates are specified in the email message (e.g., marketing meeting on Dec. 12th). For the reminder of the meetings, email senders are more likely to mention a proximate meeting rather than the one long ago or far in the future. Participant features are designed to search for the names of the email participants in the meeting owners, subjects and descriptions. Within all Non-NIL email messages, 48% have overlap between the meeting owners and the message participants, and 42% contain the names of email participants in the meeting subject or description. Topical features capture the degree of overlap for topic indicative terms (e.g., Marketing) between the email message and meeting entries. On average, less than one keyword (0.69) matches in the true referent, but almost no keywords (0.03) match in the other candidate meeting entries. That sharp difference in distributions is what makes this feature group so useful.
### 6.5 Feature Group Addition
Figure 6 shows that none of the single feature groups achieves an Accuracy near that of the full set of features. Accuracy thus benefits from the combination of complementary evidence captured by different feature groups. Figure 7 shows the results of
cumulatively adding feature groups. From left to right, Random is again the random selection case in which no ranking features are used. We then add the feature group that provides the greatest gain in the Accuracy (Topical, see Section 6.4) yielding an Accuracy of 0.698. Next we try adding each remaining feature set, finding that the combination of Topical and Temporal features achieves the highest Accuracy (0.855). This is close to the result for using all feature groups (0.899). Small improvements result from further adding the most helpful of the two remaining feature sets (Participants) and then from adding NIL features.
### 6.6 Linking for NIL
In our testing set, our independent human annotators were unable to link 70% of the email messages to a meeting entry in the knowledge base, either because the true referent is absent from the knowledge base or because of insufficient evidence. In other words, these NIL annotations conflate true NILs (meetings that are really missing from the knowledge base) with unresolvable mentions. For example, if the annotator saw an email message from John to Margaret asking “Can we schedule a meeting to discuss the Portal Update?” and there are several meetings in the knowledge base between John and Margaret shortly after that, none of which is called “Portal Update” the annotator may simply not be able to reliably infer which meeting, if any, was being referred to. This problem is reminiscent of the conflation of true NILs with unresolvable mentions in the original set of NIL annotations for person entity linking in email [9]. In that case, just as here (and in contrast to entity linking for dissemination-oriented content such as news), the annotator lacks access to the full context that was available to the email sender and recipients at the time that could have helped them to disambiguate the proper referent.
To simulate the human decisions on NIL links and further analyze the cause of NIL links, we therefore artificially create NIL cases by randomly selecting 10% of the Non-NIL email messages and then removing the true referent for each from the knowledge base. This reduces the Accuracy on Non-NIL query email messages to 0.834 (because we do the same in the training set, thus training on 10% fewer Non-NIL cases) and we can now compare this to the Accuracy we obtain on those 16 (i.e., 10% of 160) artificially created true NIL queries in the testing set, which is 0.438. A manual error analysis shows that there are two dominant explanations for why NIL queries are incorrectly assigned a knowledge base entry: misleading evidence, or prediction with low confidence. For an example of the misleading evidence, consider a message sent on 2001-08-08 regarding “Notes for our Marketing group meeting”, for which the true referent is the “Marketing group meeting” on 2001-08-06. After removing the true referent from the knowledge base, the system predicts the referent as the “Marketing group meeting” two days earlier on 2001-08-04. Note that a human annotator might make the same mistake in this situation. For an example of low-confidence prediction, consider an email message sent on 2001-08-08 regarding “Meeting with Greg” for which the true referent is the “one on one with Greg” on 2001-08-08, but for which the system incorrectly predicts the referent as “Meeting with Greg/Mark/John” on 2001-08-08 after the true referent is removed from the knowledge base. In this case a human annotator might hesitate to annotate this link and if so they would mark the query as NIL. Lacking better candidates, however, our system makes a prediction, albeit with low confidence.
### 7. Conclusion and Future Work
As one step in our broader interest in building links between presently stovepiped collaboration records, we have developed a system to link mentions of meetings found in email messages to a knowledge base of meeting entries built from calendar entries. Our system works quite well when the mention meeting is present in the knowledge base, although our present implementation is a tad overeager to make a link when none should be made; we should also try other classifier designs. Our present results were obtained on a corporate email collection, and some retuning will likely be needed for the way language is used in particular scientific disciplines when, as a natural next step, we apply our system with the records of a distributed scientific collaboration. In future work we are also interested in integrating other sources (e.g., instant messaging or automatically generated teleconference transcripts).
7. Acknowledgements
This work has been supported in part by NSF Grants 1065250 and 1618695 and by a Mellon Foundation Coherence at Scale Doctoral Fellowship. Opinions, findings, conclusions or recommendations are those of the authors and do not necessarily reflect the views of NSF or the Mellon Foundation.
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|
Twenty outstanding primary schools
Excelling against the odds
This report was produced by Ofsted with Dr Peter Matthews, consultant and former Her Majesty’s Inspector.
© Crown copyright 2009
## Contents
**Foreword**
Summary
**Characteristics of outstanding primary schools in challenging circumstances**
Introduction
Selecting the schools
Primary schools in challenging circumstances
Unearthing the secrets of success
**Achieving excellence**
Raising attainment and achievement
Making teaching and learning consistently effective
Providing a broad, balanced, relevant and stimulating curriculum
Assessing and tracking progress
Attracting and appointing effective staff
Transformational leadership
From good to great
**Sustaining excellence**
The challenge of remaining outstanding
Focusing on children, parents and the community
Investing in staff
Sustaining excellent provision
Monitoring, evaluating and planning for the future
Where next?
**Sharing excellence**
System leadership
Sustaining improvement in very challenging circumstances and sharing best practice
Leading collaborative innovations
Leading and brokering extended services
Leading improvement across a formal partnership of schools
Leadership as an external agent of improvement in other schools
From school to system leadership: the scaling up issue
**Pictures of success: the outstanding schools**
Ash Green Primary School, Calderdale
Banks Road Primary School, Liverpool
Berrymede Junior School, Ealing
Bonner Primary School, Tower Hamlets
Cotmanhay Infant School, Derbyshire
Cubitt Town Junior School, Tower Hamlets
Gateway Primary School, Westminster
John Burns Primary School, Wandsworth
Michael Faraday School, Southwark
Ramsden Infant School, Cumbria
St John the Divine Church of England Primary School, Lambeth
St Monica’s Catholic Primary School, Sefton
St Paul’s Peel Church of England Primary School, Salford
St Sebastian’s Catholic Primary School and Nursery, Liverpool
Shiremoor Primary School, North Tyneside
Simonswood Primary School, Knowsley
The Orion Primary School, Barnet
Welbeck Primary School, City of Nottingham
William Ford Church of England Junior School, Barking and Dagenham
World’s End Infant and Nursery School, Birmingham
**Further reading**
In February 2009, I introduced the first of three reviews of highly successful schools in very challenging circumstances. The synthesis of the evidence from the 12 secondary schools featured in the first review laid down the challenge for less successful schools to emulate them and showed how it could be done.
*Twenty outstanding primary schools: excelling against the odds* examines a sample of primary schools, including infant and junior schools, which provide great service to highly disadvantaged communities in different parts of the country. As in the previous report, patterns emerge which indicate how these consistently outstanding schools achieved success, how they sustain it, and the extent to which they share their expertise with other schools or with the system at large.
Many of the characteristics of successful practice are common to schools in all phases. These include appointing staff of the highest quality, investing in and developing them. Children are treated as individuals; they are supported well and expected to achieve well. Staff are passionate about finding ways of doing things better. This requires an unremitting focus on learning, development and progress. High-quality leadership is essential to promote, support and sustain the drive to perfect teaching and maximise learning in schools which face tough challenges.
Primary schools, many of which have nurseries, have the dual advantage of receiving children at an age when their drive to learn, expressed through curiosity, engagement and creativity, is commonly more acute than when they get older, and of having daily contact with parents or carers. The stories of many of these schools are inspiring, but what comes across most strongly is the passion of all who work in them for improving the chances and well-being of individual children. Staff spare no effort to give them a foundation of stability, skills and opportunities with which to make something of their lives; the chance to escape the corrosive cycle of deprivation into which many were born.
The schools described here show what can be done when dedicated professional teams place children at the centre of their vocation. They ensure that every child matters. They succeed better than most in reducing the achievement gap between children from different backgrounds. The challenge for other schools is to do the same.
Christine Gilbert
Her Majesty’s Chief Inspector
Summary
This report is written, in a sense, for schools by schools. It reports and interprets what highly effective primary schools give as reasons for their ongoing success. It aims to help all primary schools to become excellent. It does this by showing something of the principles and practice of schools which are not only consistently outstanding but which also serve some of the most disadvantaged communities in the country.
An analysis of consistently outstanding schools raises three questions.
- How did they become outstanding?
- How do they remain outstanding?
- Where do they go from here?
For schools that are not yet outstanding, there is a fourth question which supplements the three above.
- How can we do it too?
This publication is arranged to explore and provide some answers to the first three questions, using specific examples drawn from the 20 schools to illustrate wider generalisations. The main sections explore the three themes of achieving excellence, sustaining excellence and sharing excellence.
Achieving excellence is concerned with some of the most important factors associated with school improvement. It draws particularly from those schools in the group that have emerged from an Ofsted category of concern. The section focuses on the goal of raising attainment and achievement. It shows the lengths to which the schools go to make teaching and learning consistently effective. It describes the schools’ approach to the curriculum and the importance of assessment and using data analytically to track pupils’ progress. The section highlights the importance of appointing and developing staff that have the qualities and skills to produce consistently outstanding teaching and learning. It concludes by analysing some of the factors associated with the transformational leadership that is a feature these schools have in common. It is not only the vision, values and very high expectations which shine through in these school leaders but also the extent to which they demonstrate and apply them by personal example. They ‘walk the talk’.
Sustaining excellence is about more than icing the cake of good practice. It emphasises the centrality of the child in everything these schools do and their approaches to inclusion. Some important strategies which involve gaining the trust of parents and the support of the community are not achieved overnight. They require skilled, perceptive and persistent work in order to open the gates to children’s learning and ensure their well-being. The section is about not resting on laurels. It describes the constant development of staff, the honing of teaching and the enrichment of the curriculum which together sustain the excitement and challenge of learning, and stresses the importance of relentless monitoring and evaluation.
Sharing excellence is a characteristic of most of the schools although they do it in different ways and to different degrees. This section illustrates some of these practices and shows how the schools benefit from outreach interactions and partnerships with other educators and their schools. The willingness to share outstanding practice with other schools and help them raise their performance must be one of the indicators of a great school.
Brief portraits of the 20 outstanding schools can be found at the end of the report. These are intended to represent the character of the schools, a little of their history and some striking features, as well as giving their key statistics, including 2008 test and assessment results. They do not supplant the most recent inspection reports on the schools, which are readily available on Ofsted’s website.\(^1\)
\(^1\) www.ofsted.gov.uk
How to use this report
This report is intended as a discussion document for leaders in all primary schools in England.
Almost two thirds of primary schools are now at least good.\(^2\) For these many good schools, some already with outstanding features, the aim must be to enable every pupil to succeed. Schools which do this are great schools. The obstacles on the journey to becoming outstanding are not insuperable for good schools. Those who work in such schools now will identify with many of the approaches featured here.
This document, however, is also meant to challenge those who work in less effective schools to improve them urgently. The fact that 37% of primary schools inspected in 2007/08 were judged to be no better than satisfactory, although a marked reduction on the previous year, shows there is still much to be done. Most of these schools have some good features on which to build. This document should be used by leaders in these schools to analyse what makes the difference between their school and those described here. Is it, for example:
- a matter of being more consistent?
- the need for more rigorous tracking of progress and the injection of timely support?
- that teaching is not yet consistently good or learning sufficiently effective?
- that the school has not asked pupils how it could do a better job for them?
- that the school has limited ambitions and needs an injection of leadership?
The challenge for school leaders is to be not only curious about the schools featured here, but also to give their own practice and approaches more reflective consideration, or critical analysis, perhaps starting with the questions above. The text might be considered in sections, through a structured approach, possibly as themes for leadership team meetings. New members of staff could be asked to audit the school in terms of this report. It could be reproduced for governors and key staff and the elements used to inform or support the school’s improvement programme. Schools are challenged to use the document in whichever way will have the greatest effect.
If the reader’s school is outstanding, the text will hold few surprises. It celebrates the work of other excellent schools. The challenge for outstanding schools is how to sustain their excellence and improve further on it. There may be ideas here that will help.
\(^2\) *The Annual Report of Her Majesty’s Chief Inspector of Education, Children’s Services and Skills 2007/08*, TSO, 2008; www.ofsted.gov.uk
Characteristics of outstanding primary schools in challenging circumstances
Characteristics of outstanding primary schools in challenging circumstances
Introduction
It is well established that contextual factors have a powerful association with educational outcomes. Equally, the culture and rhetoric of education – from policy makers to educators – have shifted perceptibly in recent years.
1 It is no longer acceptable to use a child’s background as an excuse for underachievement. The challenge for schools is to make a difference. Schools know and try to do this; some are more successful than others. Gladwell writes that:
Success arises out of the steady accumulation of advantages: when and where you are born, what your parents did for a living, and what the circumstances of your upbringing were, all make a significant difference in how well you do in the world.\(^3\)
2 Viewed in these terms, the job of the school may be construed as providing, through education and care for children’s well-being, advantage where it is lacking, mentoring and support for parenting where it is needed, and complementary provision in a school community of high ideals and aspirations. Without the efforts of the school, too many young children are destined for a steady accumulation of disadvantage, with little compensation.
3 Primary schools, together with pre-school providers of education and care, are in a pre-eminent position when it comes to having a lasting impact on children’s futures. This report identifies 20 schools that do make a difference. In what ways? The following characteristics revealed themselves during visits to the schools.
- They provide affection, stability and a purposeful and structured experience.
- They build – and often rebuild – children’s self-belief.
- They teach children the things they really need to know and show them how to learn for themselves and with others.
- They give them opportunities, responsibility and trust in an environment which is both stimulating and humanising.
- They listen to their pupils, value their views and reflect and act on what they say.
- They build bridges with parents, families and communities, working in partnership with other professionals.
- They ensure their pupils progress as fast as possible and achieve as much as possible (outperforming both similar schools and many with fewer challenges).
- In short, they put the child at the centre of everything they do, and high aspirations, expectations and achievement underpin the schools’ work.
The schools were selected for this review, however, on far more basic indicators of excellence.
Selecting the schools
4 By July 2008, 588 maintained primary schools had been judged outstanding in at least their last two inspections. Only 135 (23%) of these were relatively challenged by having a proportion of children eligible for free school meals above the national average of 16.6% (Figure 1). These schools include local authority and faith schools, full age-range, infant and junior schools, first schools and middle deemed primary schools.
5 The 135 schools were reduced to fewer than 30 when the following criteria were applied:
- sustained excellence, indicated by being judged to be outstanding in two or more inspections
- disadvantaged intake, indicated by over a quarter of pupils – that is, 50% above the average – being eligible for free school meals
- being judged outstanding in their inspections in terms of leadership and management and teaching and learning, as well as for overall effectiveness
- standards that compared favourably with national averages and were well above ‘floor targets’\(^4\)
- in the schools that had Key Stage 2 pupils, a contextual value added (CVA) score exceeding 100.
6 Twenty schools were finally chosen which met all the criteria. The sample consists of 14 full range primary schools, three infant and three junior schools. There are four voluntary aided or controlled schools. The rest are local authority community schools from 18 authorities. The 20 schools visited are highlighted in Figure 1.
---
\(^1\) M Gladwell, *Outliers: the story of success*, Allen Lane, 2008.
\(^4\) The Department for Children, Schools and Families (DCSF) has set floor targets for 11-year-olds (Key Stage 2) and monitors schools’ performance against these. For the end of Key Stage 2, the target is for 65% of pupils to attain the expected level (Level 4) in both English and mathematics.
The 20 exceptionally successful primary schools in this report are listed below.
**Infant schools**
- **Cotmanhay Infant School**, Derbyshire
- **Ramsden Infant School**, Cumbria
- **World’s End Infant and Nursery School**, Birmingham
**Junior schools**
- **Berrymede Junior School**, Ealing
- **Cubitt Town Junior School**, Tower Hamlets
- **William Ford Church of England Junior School**, Barking and Dagenham
**Full range primary schools**
- **Ash Green Primary School**, Calderdale
- **Banks Road Primary School**, Liverpool
- **Bonner Primary School**, Tower Hamlets
- **Gateway Primary School**, Westminster
- **John Burns Primary School**, Wandsworth
- **Michael Faraday School**, Southwark
- **St John the Divine Church of England Primary School**, Lambeth
- **St Monica’s Catholic Primary School**, Sefton
- **St Paul’s Peel Church of England Primary School**, Salford
- **St Sebastian’s Catholic Primary School and Nursery**, Liverpool
- **Shiremoor Primary School**, North Tyneside
- **Simonswood Primary School**, Knowsley
- **The Orion Primary School**, Barnet
- **Welbeck Primary School**, Nottingham
The schools provide for socially and culturally diverse ranges of pupils. Some of the schools are almost ethnically homogeneous; others provide for children and families of a wide range of ethnicity and faith. They range in size from under 200 to over 600 pupils. Many are complex institutions, having nursery classes, sometimes a Sure Start centre, and other care provision on site.
Primary schools in challenging circumstances
9 All primary schools are close to their communities. The best are part of them: they see an adult from most families every day. Many have parents’ associations or ‘friends’ of the school, parent helpers and a source of willing volunteers. If schools are fortunate, most parents value education and are keen to support their children’s learning. Teachers can form a productive alliance with them. Parents come to meetings and open evenings and play a full part in the school’s life. Many schools serve balanced communities which may not be particularly prosperous, but which are, in the main and for want of a better word, civilised. They undoubtedly provide for some children who bring problems from home into the school. It is rare for a school to have no children that – for this or other reasons – are hard to teach. But, in most schools, such children are usually in a small minority.
10 In contrast, there is a sizeable body of primary schools serving communities under stress. The most disadvantaged quartile totals over 4,000 primary schools. The 20 schools in this report serve some of the most impoverished electoral wards in England. They excel against the odds and teach children to do the same.
11 The communities under stress served by these schools contain a disproportionate number of families that find it difficult to function as such. The symptoms, as they affect the young children in those families, particularly but not only where the parents are White British working class, include absent parents – particularly fathers; young carers – children looking after siblings or a parent; grandparents who are carers; alcohol misuse; drug misuse and dealing; domestic turbulence and violence; child abuse; criminality; convoluted and unstable adult relationships; poor diet; social dysfunction and parental ineptitude – ignorance about parenting. Resources are scarce and often not used wisely. There is poverty of hope and aspiration, little productive or creative energy and little emotional stability or moral direction. The children, although they may be loved, are embroiled in and often the victims of their confused circumstances, as the following example illustrates.
Domestic chaos
The boy came to school talking about his visit to his father. He had been taken to the prison to see him by his father’s brother, his uncle, who now lives with his mother and so is his ‘stepfather’ or ‘other dad’. Drugs are used in the house, which is involved in dealing, and his mother drinks too much. Some of his friends have had many ‘fathers’. They come and they go. Relationships often start impetuously and finish untidily and sometimes violently.
12 Children from other heritages can also present some of these problems, as well as family circumstances that are associated with or exaggerations of their culture, for example: the role of women in the family and perceptions about what that role should be; dominant males and home languages which do not include English. Children of recent immigrants, who may also be asylum seekers or refugees, may come from backgrounds which value education and respect the teacher, but can carry traumas from their past, encounter prejudice and bigotry in their communities, and
be faced with financial insecurity, unsettled accommodation and an immigration status which is unresolved or temporary. The consequences may be as follows.
- Primary schools in challenging circumstances provide for a much higher than average proportion of children who come to school not only from impoverished family backgrounds but from families that may be seriously dysfunctional.
- Some of these children turn up at school distressed, afraid, anxious or in some cases traumatised, or they fail to attend at all.
- Distress can be expressed through a range of behaviours, from withdrawal to aggression, from tearfulness to incontinence.
- The school has to recognise the symptoms and support the children through their bad experiences and try to do something to improve matters and reduce threats to well-being and barriers to learning. This takes commitment, belief, skill and resources.
13 The outstanding schools in this report invest heavily in doing this. They cannot detach themselves from the needs of the child. They never wash their hands of the family, saying ‘We are not social workers’, without trying to organise some support or intervention. They don’t blame the child or home circumstances for lack of engagement or progress. They act out of passion for children rather than compassion. They understand that barriers to learning have to be tackled in order to make learning possible. They are adept at reducing barriers, overcoming emotional and psychological hurdles and creating the right conditions for learning. And they succeed, with most children, for much of the time.
14 When this happens, the rewards are evident not only in the effects on the children but also on the parents, families and the community. This is what one group of parents said about their school, St Paul’s Peel. Other schools in the group received similar commendations.
What parents said
‘It’s a poor area and we don’t always know what is out there for our kids. But because it’s a poor environment, it doesn’t mean they won’t succeed. They will here.’ They added that the school broadens their children’s horizons, which are not therefore confined to what parents can afford. They say the school gives the children ‘the whole world’. It also offers a great deal of support to the parents directly, including curriculum evenings, which are well attended and popular, and the healthy breakfast club. Staff are never put out by parents asking questions or wanting to have a discussion; the school is open, friendly and welcoming to them. The parents say that they also learn from the school. They have been able to observe the positive way it deals with behaviour, providing much more encouragement and praise than censure. They have seen the benefit of this and have been able to learn to do the same at home.
Unearthing the secrets of success
15 The schools in the sample have been gauged repeatedly against Ofsted’s inspection criteria and judged highly effective. The reports and most of their performance data are publicly available. They tend to know their strengths and weaknesses far better than even the best informed visitor and therefore ought to be well placed to identify the most important ingredients of their success.
16 Each of the schools was visited for a day by a current or former Her Majesty’s Inspector who followed a programme designed by the school. The schools chose their own ways of communicating how they had become excellent, what they were doing to sustain excellence, and how they were making what they had learned available to other schools, particularly less effective schools.
There was much in common in what the 20 schools chose to display. World’s End, a nursery and infant school in Birmingham, described, in its own words, its main reasons for success as follows.
**Success factors:**
- a strong and caring ethos and commitment to the children from all staff, coupled with a genuine desire to achieve the very best for our children
- a very positive ‘can do’ culture where praise and encouragement prevail and self-esteem is high
- outstanding teaching by consistently high-quality staff who show great commitment and passion
- a constant focus on maintaining and improving standards of attainment, emphasising the systematic development of basic literacy and numeracy skills
- high-quality planning, assessment and targeted intervention to enable all children to achieve the best they can.
The report identifies the main reasons for the exceptional quality and performance of the schools in this sample. Its findings are based on visits to the schools, the evidence presented by the schools themselves, performance data and inspection reports. Many examples and case studies are included in order to give a flavour of what schools actually do. These are intended to make the report more useful to other schools that aspire to excellence, as described in the next section.
One crucial aspect, without which the above would not be so effective, is the quality of leadership. The majority of the headteachers spread the credit for success widely. However, in talking to school staff, pupils, parents and, in many cases, governors, there was no denying the pivotal role of the headteacher in creating the ethos of the school and exercising strong pedagogical leadership. The faith schools in the sample also generally reflected the ethos, values and vision of their church, although not all had faith-based admission criteria.
Achieving excellence
Achieving excellence
Some of the primary schools described here have been excellent for so long that the story of their journey towards achieving excellence is misted by time. Headteachers have changed, staff have changed, and the pupils have reached adulthood. For other schools, though, the journey remains all too real.
20 Remembering what it was like before is a powerful incentive for sustaining improvement. This is particularly true for the headteachers who had to turn a school around, usually having been appointed to do so. This section first highlights some of the important features of highly effective primary schools. It then illustrates some dimensions of transformational leadership through a number of schools which needed urgently to improve.
Raising attainment and achievement
21 It may be stating the obvious to observe that all the schools are strongly focused on their core purpose of maximising children’s learning and attainment amid the other outcomes for children, but the fact is that this aim is accompanied by the fundamental belief that every child can succeed. The results of these schools justify this view. All the 17 schools which have Key Stage 2 children (7 to 11 years) reached or exceeded the national average benchmark for the proportion of children attaining Level 4 in 2008, as shown in the school portraits in the last section of this document. In terms of contextual value added scores, three schools were in the top one per cent and 10 in the top decile.
22 Some of the schools are among the highest attaining in the country, remarkable given the barriers to learning many of their children face. Bonner Primary, which is in the top 3% of schools nationally for the value it adds to pupils’ learning, has exceptionally high standards, although children enter reception with well below expected accomplishments. When it was inspected in 2007, inspectors were clear about the reasons – which would resonate with the other schools.
Reasons for high achievement at Bonner
‘It is because of consistently high-quality teaching and an exciting and extremely well-adapted curriculum that pupils learn so quickly. Pupils’ progress is kept under constant review, and they are often taught basic skills systematically when grouped according to ability, in small numbers. Pupils at risk of not meeting their potential are identified extremely quickly and appropriate support put in place. As a result, very few pupils are listed as having learning difficulties. All groups of pupils do exceedingly well, including those whose first language is not English.’
23 The development of pupils as learners at this school is reflected in the observation that ‘they thoroughly enjoy their lessons and have excellent attitudes to school. They behave extremely well and support each other whenever they can.’ One pupil said: ‘If someone’s stuck, we can always help them.’
24 The picture by the end of Key Stage 1 represents excellent rates of progress in schools which are bringing the majority of children, many from an extremely low starting point, to Level 2 competence by the age of seven. Of the 17 schools with Key Stage 1 children, nine exceed the national average of 72% attaining National Curriculum Level 2B in reading by seven years; seven are below average and one is the same (Figure 3). The regression line indicates an association between Key Stage 1 outcomes and relative social advantage.
Cotmanhay Infant School and Nursery – judged outstanding against every criterion when last inspected, has certainly narrowed, if not closed, the attainment gap between its children and the national average by the time children reach age seven.
**Achievement from three to seven years**
Nearly half the children at Cotmanhay School are eligible for free school meals. The area has high levels of unemployment and social disadvantage and many children are on the child protection register. Levels of attainment on entry to the Early Years Foundation Stage are extremely low. Fifty per cent of the current nursery cohort had significant language delay when assessed on entry; 52% are on the special educational needs register. Despite these low beginnings, children make exceptionally good progress, and although still below national average by the end of Key Stage 1, they hit their targets of 68% of pupils attaining Level 2 reading (61% at Level 2b or above) and 80% Level 2 mathematics, with a number of children attaining Level 3. The staff are determined in their quest to raise standards further, by elevating their expectations and constantly asking: ‘What else can we give them?’
Achievement has many other facets. Among these primary schools, children form flute ensembles, perform a Shakespeare play annually, win public speaking competitions and make music with national orchestras. They travel, learn new languages – with a choice of three in one school – have turned a school into an eco-school, and manage school libraries. They even hold their teachers to account; as one child in reception said accusingly when the head walked into the class: ‘Mr Kirk, we didn’t do our phonics today!’
**Making teaching and learning consistently effective**
There are high levels of rigour and consistency in all the schools. In William Ford, for example, this begins with teaching and learning, where teachers plan closely together to ensure that the quality of lessons is consistently very high. It includes behaviour; while pupils are very happy and enthusiastic, they know that staff will not ‘let the little things go’. The rule is that pupils line up after break in silence; consistency means that all pupils do it and all staff enforce it.
**Planning excellent lessons**
When asked about the main reasons for the school’s success, senior leaders at William Ford Junior School point to the consistent high quality of lessons. It helps that the school has a very stable staff and that over half the teachers joined as newly qualified teachers. More importantly, staff at the school plan collaboratively to maintain consistency.
Achieving excellence continued
Shared planning at William Ford School
Very close team work within year groups is seen as the key to the high quality and consistency of teaching and learning. Teachers and teaching assistants in each year group form a tight, close team. They plan all their lessons together and all three classes typically work on the same lessons at the same time. Each year group has a day together each term, without pupils, to plan ahead. They also plan together formally once a week and informally almost every day. The outcomes of lessons are reviewed carefully to inform planning. Lesson plans are very detailed and include meticulous plans for teaching assistants. This thorough and detailed collaborative planning is seen as an important way to ensure consistency and equality of opportunity amongst classes.
Year teams also do their marking together. This ensures that it is consistent across the year group and also enables informal monitoring by the year leader – this very quickly brings new staff to the expected standard. It also raises teachers’ expectations, as it allows staff to see the quality of pupils’ work across the year group. The rule is that teachers do not give back work that has not been marked. Work is marked that evening, apart from longer English pieces.
Collaborative planning and marking on this scale takes a considerable amount of time. The senior leaders acknowledge that staff frequently work very long days. They realise the need to protect and compensate staff in any way that they can, for example by ensuring that they never lose the time allocated for planning, preparation and assessment.
Many schools have gone to some lengths to make planning as straightforward as possible. In one school, the headteacher led a review of planning which was initiated by the school’s adoption of a more creative curriculum. The previous, detailed mid-term planning has been pared back and a different way of working has been introduced that is led by topics but based on the two questions:
- What do we want children to get out of it?
- What do we want children to learn?
It is more streamlined and focused on learning, especially on a grounding in literacy and mathematical skills and enrichment, and is linked to observation and the assessment of children’s progress. Some of the other schools in the group have increased the efficiency of the planning process by making as much use as possible of information and communication technology (ICT), for example by storing curriculum plans on the server so that they can be tweaked and revised when needed. This frees staff to discuss new approaches, make interesting resources and teach exciting lessons which they know will improve learning and raise achievement.
Standards for teaching
Outstanding schools generally have a very good sense of what it takes for lessons to be outstanding. All the schools are familiar with Ofsted’s inspection criteria as well as the national criteria for excellent and advanced skills teachers, published by the Training and Development Agency for Schools. In World’s End School, the headteacher has led discussions with all staff on the question: ‘What is high-quality teaching?’
Teaching and learning policy
All staff have a copy of criteria for effective teaching and learning, which are used for observing their teaching. Over the last two years, the headteacher and staff have been discussing and finalising their policy for teaching and learning in order to sustain their high-quality status. They have encapsulated what they believe about effective lessons; what good teaching and good learning look like in their school; what an effective learning environment looks like; what attitudes to learning they want to develop in their school; what competencies, skills and dispositions they want to develop in their children.
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5 Professional standards for teachers: Why sit still in your career?, TDA, 2007.
Similar policies underpin the work of Shiremoor School where the staff use evidence robustly to inform practice. Throughout the school, pupils discuss their learning and learn about learning. In Years 5 and 6, this leads to a consistent ‘incremental learning’ system. Pupils understand this and can explain it; in their words, it ensures that they:
- don’t give up, as learning can be difficult
- don’t let their minds wander
- try and try again
- have a good attitude
- ignore any silliness or low aspirations
- find the learning steps.
**Providing a broad, balanced, relevant and stimulating curriculum**
**Good foundations**
The nursery classes in the 16 schools that have them create an environment in which children want to do things and want to learn. They make guided choices about their activities but, having decided, must stick with it and not flit about. Staff foster confidence and self-esteem. Typically, staff work very closely with parents, having first visited every home before the child starts. Entry profiles are completed. Subsequently, the schools put a lot of effort into showing parents how they can help their children to learn.
In one school, for example, the children are settled in over a three-week period and parents are welcome to spend the first 20 minutes of each day in the school with their children, working with them, seeing who their friends are and how they are responding. Staff pay attention to the early identification of any speech, language and behaviour problems, achieving secure early identification within weeks. Parents are involved in discussion of significant issues and concerns. Nursery staff give high priority to forming good relationships with each child and setting good working habits from the beginning, starting with such skills as sharing, choosing and persevering, always building confidence alongside capability. Language is developed through demonstration, talk and the engagement of adults in play. There are close links with health and other social provision.
The starting point for some children is very low. Pupils often come to the school not toilet-trained, with parents saying, “The school will do that”. Many pupils cannot speak on arrival in school at age three and skills are well below age-related expectations. The early years are vitally important if, by the end of Year 6, the children are to achieve high standards academically and socially, as they do. In Banks Road School this is achieved in the Early Years Foundation Stage.
An analysis of Ofsted inspection reports on the 20 schools reveals a number of common features of outstanding teaching and learning. These include:
- stimulating and enthusiastic teaching which interests, excites and motivates pupils and accelerates their learning
- high expectations of what pupils can do
- consistency in the quality of teaching across the school
- development of good learning habits, with many opportunities for pupils to find things out for themselves
- highly structured approaches to reading, writing and mathematics, with some ability grouping
- well-planned lessons which provide for the differing needs of pupils
- stimulating classroom environment
- frequent praise and a valued reward system
- well-trained and deployed teaching assistants
- a close check on learning during lessons, with effective marking and assessment.
Applying the Early Years Foundation Stage curriculum at Banks Road School
- a strong and explicit focus on play, sociability and enjoyment
- ready access to resources so pupils can choose and take responsibility
- curriculum planning which is closely related to pupils’ interests, so that it motivates them
- explicit encouragement of cooperation between children, promoted by skilled questioning by and support from staff
- plenty of space, including ‘messy’ and ‘clean’ rooms as well as large, accessible, and well-structured outdoor areas
- well-focused speaking and listening activities
- much use of ICT, preparing for a future unknown
- no rush to pursue writing; pupils choose when they wish to start writing; in practice, they all start writing by the end of the reception year.
These approaches are strongly augmented by role play and drama, which is used across the curriculum throughout the school. The school has developed its work in this area thoughtfully over many years, making it an integral part of its curriculum. It enables pupils to think more widely and consider each other. It starts in the nursery, where suitable software was purchased to support it. By the end of Year 6, pupils are taking part in a substantial Shakespeare production each year. Each production is different and builds on previous years, raising expectations further.
One of the benefits of excellent work at the Early Years Foundation Stage is to reduce the number of children who experience special educational needs from the outset. At St John the Divine School, for example, the proportion of children on the special educational needs register is low (4.7% compared to the national average of 19.6%) because the school tackles concerns early on in the nursery and reception classes, using additional teaching resources, including staff, to focus early on children’s learning needs. The school makes sure that basic skills are taught well and acquired by all children early on. This has a significant impact on children’s learning overall through their primary years. The school’s target is for every child to achieve at least Level 2b in the National Curriculum tests at the end of Key Stage 1, unless there are particular special needs, and in 2008, 100% did so. Increasing proportions of pupils are also achieving Level 2a and Level 3 at the end of the key stage, a quite remarkable outcome.
Structure and routines
Schools in challenging circumstances know the importance of a coherent strategy for behaviour and very strong continuity between classes. One priority is to provide routine and structures to lessons and to the way things are presented. Children know that only so many of them – two, three or four, for example – can join in particular activities. Assemblies, which are calming in their effect, can also make an important contribution.
Toning up the school
Assemblies are structured and used to promote active learning at Ramsden School. This includes, for example, reciting the school prayer, a reading activity, a period of calm and ‘brain gym’. Calmness is encouraged in the school. It compensates for children’s very turbulent environment. There is a strong reward system, and all children in the course of time receive prizes and stickers. Friday is the ‘well done’ assembly. All classes have responsibility for doing things ‘the Ramsden way’. Children have a sense of belonging and pride which is always recognised when they go out. The school stopped having an award for attendance because too many children were coming to school when they were not well.
Curriculum design and planning
40 In terms of the design and content of the curriculum, the schools take a variety of approaches. Some organise pupils by ability in the core subjects; others do not. Some cover many of the subjects through themes; others invest a lot of time in the creative curriculum and can demonstrate benefits in writing and other forms of expression. Most make use of the National Primary Strategy’s ‘Social and Emotional Aspects of Learning’ (SEAL) programme for developing and encouraging children’s self-esteem and confidence, although approaches differ widely. Since all the schools have high standards of attainment, the inference is that an interesting, stimulating, well-taught curriculum through which the school interprets statutory requirements is a fundamental principle for effective schools. This point has been stressed previously by Ofsted and Her Majesty’s Inspectors before Ofsted.\(^6\),\(^7\)
41 Outstanding schools are confident organisations that weigh up curriculum initiatives and local and national programmes before deciding whether they are right for the school, not being afraid to dispense with them if they are not, as the following example shows.
**Shaping Key Stage 2**
In Cubitt Town Junior School, the day is very structured: all classes do English and mathematics at the same time and the whole school reads together. However, leaders are not afraid to make bold changes in the interests of their pupils and go their own way. This meant, for example, abandoning the National Literacy Strategy in Year 3 and developing a different approach when the staff found that it didn’t meet their children’s needs. It also led to the school organising pupils by ability in three sets in each year group for mathematics and English.
42 Common to all these schools, however, is the way in which they understand the needs of their pupils and shape the curriculum to match them very closely. Outstanding schools have the confidence and imagination to take the statutory curriculum and make it their own. While they follow national guidelines and have regard for the work set out by the National Strategies, they typically do not hesitate to adapt the curriculum to make it as effective as possible. The schools share some of the principles set out in *Excellence and enjoyment*.\(^8\) They place great emphasis on achieving very high standards in the core skills and support these throughout an exciting and relevant curriculum of their own making. Some schools intended to use the review of the primary curriculum as an opportunity to reflect on their own curriculum, but did not expect to make major changes.\(^9\) For example, Gateway Primary School already has a curriculum with subject integrity and a number of cross-curricular projects which work well, richly supported by ICT resources.
43 The schools demonstrate different ways of managing curriculum planning. Typically, much is delegated to subject, year group or key stage leaders. In the following example, curriculum subject leaders have always had a very influential whole-school role which makes a key contribution to school improvement.
**The strength of subject leaders**
Teachers at Shiremoor are all managers of subjects or aspects. Subject leaders determine and evaluate the curriculum throughout the school. This leads to a consistently strong curriculum across all year groups. It also means that all staff understand the whole school. They see the cumulative effect of all the school’s work. One celebrated example is that although many pupils come to school not speaking or with very low levels of language skill, they move on to become confident public speakers because of the specific teaching programme the school has devised.
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\(^6\) *The curriculum in successful primary schools* (HMI 553), Ofsted, 2002.
\(^7\) *Primary Education in England, A survey by Her Majesty’s Inspectors of Schools* (DES), 1978.
\(^8\) *Excellence and enjoyment: a strategy for primary schools* (DFES/0377/2003), DfES, 2003.
\(^9\) *Independent review of the primary curriculum: final report* (00499-2099DOM-EN), DCSF, 2009.
In other schools, year or key stage teams – including teaching assistants – provide the engines of curriculum planning, incorporating the framework of the core subjects. ICT can also provide a useful planning tool. At Gateway Primary School, for example, interactive whiteboard technology is not just a resource that is available in every classroom; it is central to the management and transmission of the school’s well-integrated curriculum.
**ICT-based planning of the curriculum**
A cornerstone of the curriculum structure is to start topics or studies in familiar contexts but quickly move the learning on. After an extended trial period and several years of full use, thousands of interactive whiteboard slides have been prepared which help to bring the curriculum to life through links with sources in a range of media. For example, the high definition bright screens enable much better shared reading of stories than using even the best of big books. The clear voice of recorded readers enables the teacher to maintain eye contact with children, and the opportunity to play such effects as film clips of whales sounding and the sounds they make brings the world powerfully into the classroom. Text can be used and manipulated interactively.
Inspections of the 20 schools report their **outstanding curriculum provision**, including:
- placing a strong emphasis on, and making exemplary provision for, the basic skills
- strengthening English, mathematics and science through applications in other subjects and areas
- writing for purpose in a variety of transactional styles
- developing language by encouraging pupils to communicate their understanding and evaluate their learning
- activities carefully tailored to widen pupils’ learning and enrich their lives
- a vibrant and exciting range of visits and stimulating inputs
- planning which tailors activities to individual pupils including the gifted and talented
- well-managed homework carefully communicated to pupils and parents.
**Assessing and tracking progress**
The use of ICT in this way is very well thought out and managed. Year teams of staff use it as the basic mechanism for structuring and planning the curriculum and, over time, have created imaginative resources of high quality. These are not fixed but can be – and are – used flexibly, modified and updated.
An undoubted feature of all the schools’ success is the rigour of their assessment. This starts in the Early Years Foundation Stage classes where the continual observation and assessment of individual children are key activities. Time may also be provided for detailed observation of individuals or groups. With older children, assessment is an integral part of teaching and learning.
Rigorous assessment
In World’s End Infant School, the nursery staff make continual observations of children. In addition, every day one member of staff has an hour to observe and track particular children in her group. These findings are discussed as a staff team at the end of the day and an overview sheet of evidence kept. These sheets are used to plan activities for each area of learning. ‘My Learning Journey’ profiles are kept on each child and the teacher in charge of the nursery regularly discusses the progress recorded in these booklets with the reception teachers.
The headteacher also undertakes detailed analyses of reading, writing and mathematics, based initially on the scores in the Early Years Foundation Stage profile, to establish that children are on track to meet their targets at the end of Key Stage 1 and to see which children need further support. Half-termly assessments are done using the local authority’s ‘signposts’ and coded to identify whether a child has improved, stayed the same or regressed. Each class has a tracking sheet for reading, writing and mathematics which includes the actual target for each child, as well as a note of what the child is predicted to attain.
Knowing a level when you see it
Considerable time at William Ford Junior School has been invested in ensuring that teachers in all year groups can assign a National Curriculum level to pupils’ work accurately. Substantial time has also been taken to ensure that teachers understand what is needed to move pupils to the next level: ‘If it is a 3b, how do we get to a 3a?’ Pupils’ progress is analysed carefully. Every teacher meets the headteacher termly to discuss the progress of each pupil in detail. Comprehensive notes are made. Meetings are used to review progress, set targets for the coming term and decide how each child is going to be helped to meet or exceed her or his targets. Where necessary, individual pupils receive additional support or the curriculum is modified for them. For example, the classes of one year group were grouped by ability in English for six weeks to allow teachers to reinforce pupils’ understanding of sentence construction.
Self-assessment by the pupils is a particularly strong feature at Ash Green Primary School. Children are taught to use self-assessment grids, colouring in where they think they are up to. Discussion with a group of Year 5 pupils showed they were familiar with self-assessment and knew exactly what levels they had achieved and the targets they were aiming for. There is a raising attainment plan for each class – as part of the whole school improvement plan – with checklists for recording progress. Literacy targets are tracked within the topic work through which much of the curriculum is organised. Before beginning a topic, teachers’ planning links literacy targets to the topic and they return to see how well these have been met at the end of the topic.
Typically, information about pupils’ progress is analysed very carefully and used to identify individuals and groups of pupils who need specific help. In one school, children who are not making sufficient progress are grouped and given focused support. There are two sizeable daily slots when this work takes place and, at any one time, approximately four or five pupils from each class will be receiving help. Much of the intervention work is led by the school’s highly skilled teaching assistants. Recent intervention groups include a small group of lower/middle attaining pupils who received reinforcement work for mathematics. Another involved a group of four quiet Year 5 girls. They could read fairly well, but could not retain or use the information. They formed a small reading group and active questioning techniques were used to explore and improve their understanding. In the following term, three of the four pupils moved up a whole level in reading.
**The magnetism of success**
As one headteacher’s clear view of excellent practice and high expectations became increasingly established, with outcomes for pupils improving to their current outstanding level, it was possible to recruit staff who shared and could grow within the new ethos and who wanted to work in a relatively underprivileged but successful community. This was a key factor in sustaining the school’s success.
Selection is rigorous. All support staff, for example, must have English and mathematics GCSE or equivalent because the school considers that, without this minimum, they cannot demonstrate good practice to pupils. The staff can be helped by the school to achieve such qualifications.
**Attracting and appointing effective staff**
When appointments need to be made, the process is rigorous. Typically, headteachers and governors have a clear idea of the sort of person they are seeking. In one school, for example, staff are selected explicitly on the basis that they are lively people with ideas. The headteacher does not want ‘yes people’ but those who are willing to exercise autonomy and contribute ideas within a structure. When it comes to attracting applicants from another school, the headteacher’s reputation and the school’s success become powerful influences.
Most of the schools are involved in initial teacher education. One advantage is that when they have vacancies for class teachers, they can often recruit from applicants whose work in the school is known. Support for staff and the development of outstanding teachers with consistent approaches reflect on the leadership of the school.
**Transformational leadership**
Several of the schools in the sample were in dire straits in the mid- or late-1990s when a transforming headteacher was appointed. Their predicaments were all too familiar, for example: overwhelmed, exhausted, inept, absent or sick leaders; poor behaviour, low standards, tired and demoralised teachers; antipathetic, anxious or, often, aggressive parents.
The cult of the ‘hero head’ is unfashionable and, in most cases, inappropriate in terms of corporate and distributed leadership, and few of the headteachers would fit this mould. Yet heroic they undoubtedly were. They commonly displayed considerable vision, courage, conviction and determination in taking on schools in very challenging circumstances which were either failing to provide an adequate education for their pupils or had serious weaknesses.\(^{10}\) Transformational leadership is highlighted in this section with particular reference to four such primary schools: Ash Green, The Orion, St John the Divine and John Burns.
**Purpose, vision and values**
When the new headteacher arrived at St John the Divine Primary School in Lambeth in 1995, the school was in special measures and unequivocally labelled by a London evening paper as ‘the worst school in the country’. Long-established staff recall it well. ‘The previous headteacher had left in July and had not been replaced. Inspectors came early in September. The walls were still bare. We had a ‘rough’ Year 6 class…’
**Restoring leadership in St John the Divine**
The deputy headteacher took on the role of acting headteacher and started to turn the school around. Behaviour policies were established and some improvement was evident. Then the new headteacher came and rapidly made a big difference. He expected everyone to have the same high standards and to work as a team across the school. Children were not to be sent out of class when misbehaving, but encouraged through learning. The appointment of more teaching assistants – one for each class – provided support in the classroom. Above all, he led by example and would never expect anyone to do something he was not prepared to do himself. A year after coming out of special measures, inspection judged the school to be a good school. Inspection reports in 2004 and 2008 have judged it to be outstanding.
Underlying this approach one can detect what is commonly described as ‘moral purpose’, a fundamental set of values centred on putting children first and faith in what children can achieve and teachers can do. The mission of transformational headteachers reflects the following unswerving beliefs.
- All pupils can achieve high standards, given sufficient time and high-quality support.
- All teachers can teach to high standards, with the right example, conditions and help.
- High expectations and early intervention are essential.
- Teachers need to learn all the time, and they need to be able to articulate what they do, why they do it and how effective it was.
These beliefs recur throughout this report. The outstanding schools demonstrate that it is possible to realise these beliefs in practice, school by school. The challenge for the system is to infect all school leaders with the same sense that their ‘impossibles’ are actually ‘achievables’.
**Developing high expectations and aspirations**
High expectations characterise the leadership of all the schools in this report. If it is demanding to take over one special measures school, then to take over two presents an extraordinary challenge. The Orion Primary School replaced failing infant and junior schools in 2000.
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\(^{10}\) Schools in England which are deemed to be failing to provide an acceptable standard of education are formally classified as requiring ‘special measures’. Until September 2005, ‘serious weaknesses’ was one category less than special measures in terms of the severity of inspection judgement. Since September 2005, a school in this category is judged to require significant improvement and is therefore given a ‘notice to improve’.
Fresh start school
The new headteacher saw the need and opportunity for a fresh start in every sense. The school chose the name of a constellation and stellar expectations ensued, signalled by recognising star qualities in all pupils (and staff). This was a giant leap considering the background of poor behaviour, low self-esteem, low standards and the disengagement of parents as the prevailing issues which resulted in the closure of the failing schools. Re-branding the school has proved a major success, creating an ethos of high expectations, with all staff working to provide socially and culturally impoverished children with rich and unique learning experiences.
Expectations have to be known, understood and shared to be of value. The school ensured that pupils, parents and the community were constantly reminded of them. The same is true of the challenge of raising aspirations among pupils and parents. This is usually done as a relentless message coming out from the school at every opportunity. It is useful to be able to reinforce the message with role models of successful past pupils.
One school sees an opportunity for this in the changing composition of its intake. The school is now a very successful and highly regarded school for local children. While heavily oversubscribed, it now attracts a few middle class children. The headteacher is in two minds about this changing intake. She wants to continue the ethos she established. But part of her approach involves raising ambitions – there is a display in the school hall of ex-pupils who have gone to university or who have achieved particularly well in some way – and she feels that some more middle class families would support her aspiration for the disadvantaged ones.
Quality at first sight
As a new teacher in St John the Divine expressed it: ‘You only need to step into the school to know what sort of school it is.’ Another said ‘You don’t need to read any policies to know how things are here.’ A walk around the school shows that it is promoting learning at every turn. Displays are fresh, informative, celebratory and often compelling. They challenge and respond to the curious child and are an integral part of learning. There is something to learn in every corner. Valuing work of quality begins in the nursery, where children who have produced something they are proud of will themselves decide to display it.
The schools are relentless in raising the expectations and aspirations of both pupils and parents.
Managing behaviour
Ash Green Primary School was in disarray and at risk of requiring special measures when the current headteacher took over in 1997. National test results at the end of Key Stage 2 averaged 39%. Teachers were ‘crowd controllers’ and bright children were held back by the many who disrupted learning.
The battle for Ash Green
The new headteacher’s first priority was to deal with behaviour. He tackled it in two ways. Although the rules of the school were clear, parents, children and staff did not know what they were. So he asked parents and children what they should be and they drew up a code of conduct together. Every child and family had a copy.
The second approach was the tough one – to clamp down on swearing and other anti-social behaviour. He said: ‘If children infringed, I took them home and roused them in front of mum and dad before bringing them immediately back to school.’
After he took over in November 1997, the school had a ‘shaky’ inspection by Ofsted in 1998. The Chair of the Governing Body, who has been at the school from that time until now, gave the headteacher tremendous backing and was prepared to take risks.
The new headteacher’s trenchant approach made him very unpopular, but gradually the community realised that he meant what he said and was not going to be intimidated. He led by example. He taught every morning for 18 months, taking the most disruptive and least able children. Even now, he is in and out of classrooms all the time. This constant presence in classrooms led to more formal evaluation of teaching. His role model was the headteacher of his previous school who gave a lot of attention to monitoring, was very visible and a presence about the school.
When he took over at Ash Green, the curriculum was ‘all over the place’. He introduced discrete teaching in English, mathematics and science and focused on pupil assessment and tracking. Staff have been inspired by his drive, determination and vision but recognise, as one said, that ‘the head won’t stand any nonsense’.
63 You cannot expect good behaviour if there is no understanding of what is and is not acceptable. Several of the schools have involved parents and pupils in drawing up codes of conduct, which consolidated the high standards expected. Two main benefits emerge from such engagement. Families could not dissociate themselves so easily from the school’s values and requirements. Moreover, they could choose whether or not to apply similar expectations at home. Some parents have been admonished by their children for speaking or behaving in socially unacceptable ways, for example swearing or using racist language.
Simple rules for the youngest
Care, consideration for others and consistent behaviour are evident throughout the school. Voices are not raised in anger; politeness prevails; systems and procedures are well embedded; documentation is exemplary; and learning is pervasive. Discipline is instilled from the start, where the male nursery teacher insists on four rules which develop and broaden as children develop:
- put your hand up; do not call out
- listen to your teacher
- treat each other nicely
- keep your hands, feet and everything else to yourself.
64 Managing behaviour is typically thorough in Shiremoor. The school has developed clear and well-established rules in collaboration with the children. These are displayed very prominently, along with motivational messages, on professionally produced boards around the school, including in full view at the front of the hall. These are well explained to parents and demonstrated effectively by staff. There is a clear system of rewards and sanctions, with popular rewards being much more important than the sanctions. There is a strong focus on spiritual and moral development and the promotion of a clear and positive school ethos. But the rewards are not what enable the pupils to behave so well; rather, it is the school’s positive ethos and engaging curriculum. It has avoided curriculum-induced disaffection. These values are also in evidence at St Monica’s Catholic Primary School.
Motivation through the curriculum
Because it is well managed, practical, aspirational and closely related to the pupils’ needs, the curriculum excites and motivates them. Good behaviour is the result. Non-core subjects are often taught in the morning. The school does not achieve its success in English and mathematics by slavishly following literacy and numeracy schemes, although specialist teaching and the adoption of very best practice (quality not quantity) in those subjects is very important. The focus on the whole curriculum and the whole child is, most of all, what brings success and motivation in the basic skills.
Exclusions in these outstanding schools are so rare as to be exceptional.\textsuperscript{11} The schools have a range of approaches to support children whose condition or circumstances give rise to severe behaviour problems. Nurture rooms, time out, work with inclusion or special educational needs staff and, occasionally, specialist advice, liaison with families and other approaches can all help, but the schools themselves will say the main key to improving behaviour is the ability to engage the child through expert teaching and fascinating learning. Some of the schools are so expert that special educational needs largely evaporate.
Personal example
Some of the schools were not in an Ofsted category at the time the headship changed but were clearly heading in that direction. John Burns Primary School is one such example.
Headteachers as role models
When the headteacher was appointed to John Burns, the school was very small; classes were not full and it was relatively low-achieving. Behaviour was poor, with much shouting by pupils and staff. The quality of teaching was mixed and usually not good enough. At that time, the headteacher took on a significant teaching commitment herself to demonstrate good practice. Her approach was carefully thought out but more practical than cerebral. It was just: ‘This is what good teaching is like and so this is what we shall do.’ The headteacher and senior staff personally mentored and coached staff. They demonstrated calm behaviour and had clear expectations about the way to behave, banning shouting by staff and pupils. Staff underperformance issues were tackled and some staff left once they realised what the new expectations were. Opportunities arose to appoint new staff. The school was able to choose carefully, bringing in colleagues who were enthused by the vision and could subscribe to such a culture of high expectations.
What we see in all the schools that have been turned around are headteachers who recognise quickly what is fundamentally wrong with their schools, often endorsed by inspection findings, and are determined to put things right. The message, ‘Start as you mean to go on,’ is borne out in case after case: not for them a honeymoon period or using the first term to take stock before changing anything. If behaviour, for example, is disrupting learning on day one, it needs to be tackled on day two.
As time has passed, the style of leadership of the headteacher at John Burns has evolved to suit changing circumstances; it also reflects her own professional development. She started out autocratically because standards were so low. As she has developed her staff team, and there is much greater stability in the staffing, she has been able to be more democratic, involving staff much more in strategic and operational leadership. This also shows her increasing confidence as a leader. The school’s journey is hers, too – it is very personal.
\textsuperscript{11} \textit{The exclusion from school of children aged four to seven} (090012), Ofsted, 2009.
From good to great
69 The approaches illustrated by the schools in their journey from good (or worse) to outstanding (or better) differ in their details but have a number of common features. They are all well thought out, implemented, and consistently applied. They make the best use of staff expertise. They set out to give children a worthwhile experience at school in a structured, safe and interesting environment. The following principles and priorities emerge clearly, again and again.
a. Restore order and calm so that teaching and learning can take place.
b. Ensure that high expectations are set and that everyone – pupils, parents, staff and governors – is clear what those are.
c. Get the pupils and parents involved, engaged and committed so that they cannot later complain that they ‘did not know’.
d. Lead by example; demonstrate the behaviours you expect of others and show that you are prepared to do anything you might ask of them.
e. Set and demonstrate high standards for teaching and learning.
f. Look early on at the curriculum, the school day and pupils’ experiences of school.
g. Monitor and evaluate every aspect of the school’s performance.
Above all:
h. Gauge the ability of staff to adopt consistent approaches: in teaching and learning, in applying policies – especially behaviour – and in routines and basic practices. As one chair of governors said: ‘Staff need to be aboard the bus’ when the school embarks on its journey of improvement.
70 Many of these features can be established relatively quickly. The practices need to be embedded in the school community, internalised by staff and practised with relentless consistency while always searching for improvements. The school that combines consistent good practice with an ambitious vision for its children towards which it is constantly reaching is well along the road to excellence.
71 Primary schools in very challenging circumstances have a further mission, in reducing barriers to children’s learning and gaining the trust of fractured families and communities so as to help them support their children’s education and development. This takes time, courage and determination. It is the big challenge for schools which seek to make a sustained impact on children and to contribute to restoring community values and coherence. This topic is explored in the next section.
Twenty outstanding primary schools – Excelling against the odds
Sustaining excellence
Sustaining excellence
The leaders of outstanding schools are intrinsically motivated to sustain excellence. As one school reported: ‘All the leaders of the school are strongly focused on maintaining and developing further the high standards and achievement across the school.’
The challenge of remaining outstanding
Typically, the staff of these exceptional schools are very conscious of the high expectations of them. They feel secure, committed to the school and its pupils, share the high expectations of the leadership team and are keen to ensure these are delivered.
For many schools, an inspection report which judges them outstanding brings with it an expectation that they will remain so. Thus, while one school professes ‘not to be in it for external judgements’, others would identify with the headteacher who was ‘uneasy after the last outstanding Ofsted report’. She thought it might mark a point at which good staff began to leave, and decided to set the school on a new course by re-examining and developing the school’s vision. The outcome was a consensus that, to sustain success, they must move forward and be innovative. This has resulted in a new, more fluid curriculum and with new dimensions in the arts, creativity, and information and communication technology (ICT).
Strong early years education plays a hugely important role in the subsequent achievements of pupils.
Key principles:
- the culture of high expectations and no excuses
- the autonomy of and agreement from or ownership by staff
- the focus on detailed data and evidence
- the school’s confidence to pursue its own approaches.
Perhaps in contrast, Shiremoor Primary School claims it ‘is always looking for new ideas’. The school is often a pilot for initiatives – if it can see that there is potential to add value to them. This ‘keeps the school fresh’.
Inspection and research evidence agree that strong early years education plays a hugely important role in the subsequent achievements of pupils.\(^{12}\) This is reflected in all 16 schools which had nursery and reception classes, whether infant or full-range primary schools. Cotmanhay Infant and Nursery School is clear about how it sustains excellence.
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\(^{12}\) Reports from the Effective pre-school and primary education 3–11 project (EPPE 3–11), DCSF.
Early years excellence
Keys to the continued success of the Cotmanhay Infant and Nursery School include:
- an insistence on high-quality teaching and learning and continuous self-evaluation
- an absolute commitment to children’s progress by all staff, with a constant emphasis on tracking each individual child’s progress; keeping a ‘promises book’ for every child, containing their targets for literacy and mathematics, which are shared regularly with parents
- relentless use of positive reinforcement and language to reward all children’s efforts
- teaching children *how* to become learners and *how* to develop self-confidence and believe in themselves
- setting targets for the curriculum, each class and groups within a class, as well as for every child, which are reviewed every six weeks
- providing an exciting and relevant curriculum which makes full use of every space in and out of the school building. Displays of children’s work celebrate their achievements but also stimulate further learning, such as work linked to visiting artists and theme weeks exploring patterns across different cultures
- giving children as rich and wide opportunities as possible, for example a range of visits out of school and input from visitors such as Visiting Creative Partnerships, including a theatre and film expert; lunchtime and after-school clubs such as a gardening club
- working as a close-knit team with teaching assistants playing a key role in helping pupils achieve their targets. The teaching assistants are trained and involved in teaching groups for ‘Letters and Sounds’, running the Nurture Room, assessing, planning, ICT, reviewing individual education plans, target-setting and the use of positive language and discipline
- providing induction and ‘buddy’ systems for all staff new to the school including lunchtime supervisors
- rewarding children who demonstrate positive attitudes to work, for example ‘star worker’ where a child can use a special cushion for the day and take it to sit in assembly; a ‘finer diner’ where children eat lunch at a dining table beautifully laid with golden plates and flowers
- involving parents with a shared family liaison worker, home visits, workshops on positive parenting, mathematics and literacy, a parents’ notice board in every classroom
- standardisation of assessment across all year groups through the extensive analysis and use of data
- growing leadership skills among senior and middle leaders as part of succession planning.
In Berrymede Junior School, the pupils refer freely to the systems in the school and the quality of their teachers. The headteacher feels that continuing success comes from the fact that stakeholders throughout the school community are aware of their responsibilities and the high expectations for academic success, discipline and behaviour. It lists the reasons for its high performance.
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13 *Letters and sounds: principles and practice of high quality phonics*, Primary National Strategy, DCSF, 2007.
Keys to the sustained success of Berrymede Junior School
Teaching, leadership and teamwork
- an insistence on high-quality learning and teaching, and continuous self-evaluation
- excellent communication and team work, with teaching assistants playing a key role
- an induction and ‘buddy’ system for all new staff, including lunchtime supervisors
- support for succession planning through the development of middle and senior leadership skills
Targets and tracking
- close, termly tracking of each child’s progress
- individual targets – every child has a ‘promises book’ (the name used by a child) which has their targets for English and mathematics
- targets for the curriculum, each class, and groups within a class, reviewed every six weeks
- extensive analysis and use of data, with standardisation of assessment across all year groups
Developing positive attitudes to learning
- rewards for children that enhance positive attitudes, such as ‘stars of the week’ badges, certificates and team points, Year 6 leaders and elected Head Boy and Girl
- an exciting and relevant curriculum which makes full use of space in and outside the building
- displays of children’s work that celebrate their achievements and stimulate further learning
Involving parents
- close links with parents through ‘reading record books’, two outreach workers who are accessible to parents and pupils at the beginning and end of a school day, and an ‘open door’ policy.
78 In describing some of the factors associated with sustaining excellence, this report highlights those which take time to grow or develop, such as gaining the trust and confidence of the community or achieving teaching and learning of consistently high quality throughout the school. A school such as Gateway provides an example of what can be done. In 2008, this school – in which almost half the children were eligible for free school meals – had the highest Key Stage 1 to 2 contextual value added score (102.8) of the schools in the sample. Its aggregate results at Levels 4 and 5 are also far better than the national averages. Figure 3 shows the value added for each Year 6 pupil in 2008.
The inspirational guidance of the headteacher and senior team is key to the consistently high levels of performance in the school.
The graph shows that 80 of the 86 pupils in this large year group achieved better than expected results at the end of their primary education, exceptional even among outstanding schools. What accounts for this success, which is repeated year after year? The headteacher gives all the credit to others, but it is clear that what the 2008 inspection report described as ‘the inspirational guidance of the headteacher and his senior team’ is key to the consistently high levels of performance in the school. This is reflected in the sustained good teaching and learning; the broad, well-designed curriculum using ICT as a lynchpin; appropriate assessment, tracking and intervention systems; and the closeness to parents and the community referred to earlier. The headteacher’s modest style does not cloak the obvious truth that his leadership and direction of the school are very clear and highly respected. He holds the school’s ‘big picture’ clearly in his mind and knows its needs and characteristics intimately. His deft approach has the effect of including and valuing others, so that all can contribute well, within the school’s overall vision. He sees his role in part as about making other people’s lives less complex, with clear enabling systems, so that they can focus on what really matters. This is clearly recognised and valued by staff and governors.
The headteacher has used the resource and flexibility available through workforce reform to invest in more teachers, as far as possible, rather than teaching assistants. Each year group, therefore, is usually staffed by five teachers for the three classes. The teachers who are not class-based are often senior and support in class. Another example is that, while pupils’ progress is carefully tracked, the school does not slavishly follow the interventions recommended by the National Strategies for underachievers, but is rather more choosy, confidently relying on its own judgement and broader knowledge of each pupil. It uses some formal intervention packages but, often, intervention involves ‘professionally judged’ support by teachers in class. It is not mechanistic. The school can show evidence of the success of this work, as pupils’ progress is very fast and results are consistently in the top 1% of schools nationally. These exceptional outcomes would not be possible without concern for the well-being, progress and achievements of individual pupils.
Focusing on children, parents and the community
Children first
81 The almost universal refrain of the schools is to the effect that ‘children are at the heart of everything we do’. This is more than a platitude; it shows in their aims, values and practices. The guiding principle is to want and provide the best for children. This means that pupils’ well-being and learning come first and planning, teaching, the learning environment, staffing and systems are all geared to the needs of each child.
The child at the core
Staff at Welbeck are highly committed to supporting children, parents and families. The headteacher and other staff are readily accessible before, during and after school. There is close liaison with the Sure Start provider (a children’s centre), and family support workers follow up concerns that come to the school’s notice. The child is at the core of all the school’s work. This is the top priority. There is much early intervention through which teaching assistants provide nurture and support. Their first role is pastoral, with the second priority being academic support. It emphasises raising self-esteem, engaging children and ensuring they are motivated to learn.
Care and achievement
The school is about high standards and outcomes. It could never be accused of allowing its care of the pupils to distract from this, or lower expectations, which the headteacher observes can be true in some ‘disadvantaged’ schools. There are no excuses whatsoever for poor performance. However, the school cares hugely for its pupils and knows them all well. There is a very real understanding of their backgrounds. Any relevant information about a child, except the most confidential, is quickly shared throughout the staff and support or intervention provided as appropriate. Pastoral care is important in its own right, but that is not enough; it is also a key prerequisite for achieving high standards.
83 There are often practical challenges in gauging the needs of children entering the school. Some inner-city schools, for example, include significant numbers of children who are recent immigrants, arriving as asylum seekers or refugees. They do not have any educational records and the school needs to collect as much information as possible about previous educational history from the family. Communication difficulties may be compounded by language barriers and the need for interpreters.
Inclusion and early intervention
84 Most of the schools emphasise the importance of early intervention in the case of children who require extra help from the outset. These needs are identified in the nursery, if the school has one, or in the reception class, as in St John the Divine Church of England Primary School.
82 The role of pastoral care has been misconstrued at times by those who associate it with using social disadvantage to excuse low achievement. A description of John Burns School, which could apply to the rest, puts care in the right perspective.
14 One contrarian school avowedly put teachers first.
Early intervention
One of the secrets of the school’s success is the policy of early intervention. Children who require extra support are identified on entry to the nursery. For example, the learning mentor undertakes home visits with the nursery staff. ‘I can see how children behave when their parents are there, pick up issues relating to special educational needs, hear them respond to their home language and then, if there are issues, we start to work on them early, together, in the nursery.’ The inclusion team and other support staff work closely with colleagues in the nursery to develop speaking and listening skills and early writing skills as well as pupils’ ability to relate well to each other and work successfully within the class and school. Where needed, the provision of high-quality additional teaching and focused support ensures that children make good progress through the Early Years Foundation Stage and Key Stage 1.
Screening for potential barriers to learning
Simonswood has a cycle for such screening in which the learning mentor collates information from screening charts completed termly by class teachers and support staff. Additional information is gathered where needed and a review of special educational needs also takes place. The inclusion team then meets to identify priorities and decide interventions required with individuals and groups, whereupon the learning mentor produces an action plan for interventions which includes key issues shared with staff. This system helps develop a holistic approach for every child, and plans are monitored and evaluated termly.
Many of the schools have gone further, using their initiative to employ specialists who can build trusting bridges between school and family to support children who may be at risk. They include family liaison and parental partnership workers, social workers and in one case a trained counsellor who works with individual children and parents to help them find a way through concerns that are troubling them.
Schools build trusting bridges between school and family to support children who may be at risk.
Learning mentors
The learning mentor at St John the Divine provides focused support for children with particular emotional or social problems, working closely with the special educational needs coordinator. She supports these pupils individually and in small groups, offering them strategies for maintaining good progress in school and opportunities to discuss their progress. She has established very good relationships with parents with whom she works to help them develop parenting skills and support their children’s learning, raising aspirations as she does so. She also plans and works very closely with class teachers. When the class teacher identifies pupils who may not be making progress, the learning mentor investigates, looks at the pupil’s profile and contacts parents to enlist their help. She monitors the child and provides support. The learning mentor is at the school gates every morning to greet parents and children. She says: ‘I want them to relate to me, to feel at ease and to build up a relationship with them. I am a mother; you want the best for your child. I break down any stigmas, take small steps to reassure parents and seek to raise their aspirations. The school believes that children’s learning and engagement benefits when they perceive the partnership between class teachers and home.’
Opening doors to learning
The school invests heavily in the care of children, assessing them and gaining a good understanding of what makes a child behave in a certain way. The school never assumes it is the child’s fault or the child’s parents’ fault and believes that children need attachment to someone to know they are safe and valued. The challenge for the school is to know how to adapt to support them and get them focused on learning. While the school does its best to deal with underlying barriers to learning, its focus remains sharply on providing high-quality education. ‘The children need the very best education we can provide; education gives them the chance to escape their circumstances. We have to provide these children with experiences and opportunities that enable them to reach their potential and pursue their dreams.’
Working with parents and the community
87 The schools generally make themselves very accessible to parents and often find that they are providing informal citizens’ advice, parenting advice, counselling and conciliation to parents who have learned to trust them. Ramsden Infant School has research evidence to back its belief that ‘to support the child you have to support the family’. The school associates its commitment to doing this with very high attainment by the end of Key Stage 1.
Increasing parental understanding
The expectations of a nursery class or unit can come as a surprise to some parents if their children are still drinking from a bottle and are not yet toilet-trained. The approach of staff at Cotmanhay to parents is warm, friendly and welcoming, encouraging them to stay as long as needed with their child. The school provides many opportunities to share information about children and their progress. The leaders of the nursery say, ‘We must smile and be welcoming here as many of our parents may have had negative experiences of school.’ The nursery’s emphasis is on valuing and respecting parents as the main educator and the importance of involving parents, such as through notice boards where parents wait, giving information about ‘What we are learning today and how you can help’, ‘How you can help your child at home’. These are extended so that parents can add what they do at home and what their child is good at. The school’s successful practice with parents has been recognised as ‘best practice’ by the local authority.
Parents of children in multi-heritage schools may also be hard to involve, for different reasons, although many groups value education and the opportunities it may present for their children. It can be a slow process to involve such parents closely, but the schools serving such communities invest time and effort to do so, finding the best keys to access and involve particular groups. These include involving community leaders, working through pupils and siblings, encouraging parents into the school for social events – often run by parents – and educational opportunities, and to see their children working or performing.
Including parents from a multicultural community
Ten or so years ago, it was difficult to involve parents. Now, parents are welcomed into the school: coffee mornings provide a social bridge; English classes – which may have to be single sex – are among the range of courses for parents in the community rooms. Many parents have high aspirations for their children, which the school encourages. The school employs a significant number of support staff from the local community, but only if they are the right or best appointments for the school. Some parents are active in running after-school clubs. A local councillor has just formed a Scout group. The school shows cultural sensitivity, for example in providing Halal food; and senior staff go out of their way to meet parents at the beginning and end of the school day. The responsiveness of the school and approachability of senior staff are strongly valued by parents.
Several schools have parent partnership coordinators who facilitate close links between staff and parents. In Cubitt Town Junior School the objective of developing parents so that they can support their children more effectively is seen as central to the school’s success.
Wider community links are also seen as very important. Given its location and context, the school is very careful to counter any tendency the local community has to marginalisation. There are many links with Canary Wharf and one of the school’s governors is its community liaison officer. A local man who started as a cleaner and worked his way up to management is brought in to tell Year 6 his story and make it clear that there are good jobs there for local people. Many Canary Wharf workers also work as volunteer mentors in the school, supporting key work in numeracy and literacy.
The schools typically have high expectations of the parents as well as of their children. Parents are often eager to understand more about their children’s learning and how they can play a greater part. In Welbeck Primary School, over 50 parents came to a morning session led by a consultant on children’s cognitive development – how they learn and how parents can help them learn. Although this talk was quite technical, the parents understood its relevance and appreciated and enjoyed the session.
Parental feedback
These Welbeck parents were in no doubt that it is the quality of the teachers which makes the school so very good. They noted that the teachers are approachable, highly committed and loyal to the school and to learning, adding that ‘the head is always there; she speaks directly to parents’. One parent of a child identified, early on, with special educational needs said the school and the special educational needs coordinator ‘could not have been more helpful’. There were regular meetings with the parents and the child’s progress had been excellent. They also appreciated language programmes for parents which the school had organised, for example for Polish parents with little English. Children have begun to learn Spanish and love it. Parents commented that the school has a homely feel and many parents come in to help the school as volunteers.
Investing in staff
Motivated and stable staff who work as a team
94 All the schools give great credit to their staff, teachers, teaching assistants, supervisors and others who work at their schools for their commitment and the quality of their contributions. Many of the teachers have long service in their current schools. Some schools that have sustained their outstanding quality have done it with some of the same staff who worked in the school when it was less good or even poor enough to be in an Ofsted category of concern. Staff turnover tends to be low in the majority of these schools and is not in any way proportionate to the degree of challenge in the school’s context. There are several reasons for this, including the success of the school, job satisfaction and team working.
95 The headteacher of Banks Road School believes that for the school to sustain success the staff have to enjoy their work and feel highly motivated. ‘If they are happy, they will give a good return,’ she says. This has been achieved in a number of ways. One is that the amount of paperwork the school requires of staff is very small. The involvement of all staff in the school’s development process also means that there is no staleness: ‘It will be even bigger and better next year.’ Fundamentally, all staff take responsibility for all pupils; there is much cross-school working; the quality of discussion and debate among staff is high.
96 Similarly, Gateway Primary School invests in staff and readily gives them leave of absence, for example to go travelling, knowing that they are likely to come back and have more to offer. The school also tries to appoint extra teachers to year groups rather than teaching assistants, wherever this can be afforded.
97 Although these headteachers do not shirk the difficult job of occasionally having to move staff on or out, they are conspicuously successful in helping existing staff to improve their competence, commitment and enthusiasm. Staff either agree to be members of a child-centred team with very high expectations or they move on. The motto at World’s End, for example, is: ‘In pursuit of excellence, we work together for all the children in our care.’
The greatest resource
The headteacher sees the staff as ‘the greatest resource’ because the high quality of teaching has an impact on learning and standards of achievement. She feels that the mix of experienced, enthusiastic staff, some of whom have been at the school for many years yet have moved on in their practice, taking initiatives in their stride, and less experienced but equally enthusiastic and talented teachers, is related to the school’s continuing success. A member of the senior leadership team said: ‘The head is constantly moving us forward; we know we can’t rest on our laurels.’ A nursery teacher said: ‘We know we can’t stand still. We don’t take excellence for granted and we owe it to these children.’
In addition, the large number of experienced and qualified support staff also contribute greatly to the life of the school; they bring an added dimension and an equally wide variety of skills and talents. The bursar, who completed a diploma from the National College for Leadership of Schools and Children’s Services (National College) in School Business Studies, manages the budget and a range of other administrative duties, allowing staff to concentrate on teaching and learning.
98 The schools have embraced the principles of workforce reform enthusiastically. In one school, a key teaching assistant is the school’s support coordinator. He acts as a single point of contact for pupils with particular needs where multi-agency support is required. He knows all the key personnel. He is able to get key staff together, identify the trigger points for a particular pupil, establish what works and what does not. This information can then be shared with all staff so that everyone is working consistently, thus improving the quality of care for the pupil. The support coordinator provides a wide range of in-house training and also runs courses for pupils, such as anti-bullying. Another common element of staff management is not to use unknown supply teachers for covering staff absence. The schools have many ways of managing their staff cover arrangements.
Cover for staff absence
At William Ford Junior School they do not use general supply teachers or non-teaching staff to cover for absence or planning, preparation and assessment (PPA) time. The view of senior leaders is that this work is, if anything, more difficult than normal teaching and that you therefore need highly effective teaching staff to carry it out. The school has a number of well-qualified, experienced teachers who provide this cover for absence. One is the ex-deputy headteacher of a local school. For PPA, an additional teacher (who covers all the PPA time for a particular class) covers a specific aspect of the curriculum, for example, all the religious education. By doing this, the school knows that all lessons are purposeful and that the transition from the main teacher to the cover teacher is seamless.
Learning as a school family
A spirit of cooperation is embedded among the pupils as well as the staff of this school. Members of the school council say that ‘it works as a family’, reflecting the family atmosphere of the school, an attitude which is embedded from the nursery class and which pervades the school. Older pupils have a mature sense of responsibility and are adamant that the school owes as much to the help of pupils as to the cooperation between teachers: ‘They help us and we help them.’ There is a high level of confidence and a sense of self-worth among these pupils.
Developing staff and growing leaders
99 A common factor in all the schools is a very strong emphasis on team working. The evidence suggests that this is indispensable for sustaining excellence. The ingredients take time to build up. They include a common sense of purpose, shared values, trust, and openness; willingness to share practice and learn from each other; readiness to inject new ideas and take risks. Pupils gain the benefits through a consistent approach, from the quality of teaching and learning and the richness of curriculum, and from the strong values and ethos. Staff feel professionally invigorated by such an environment and staff turnover tends to be low. However, such schools produce future leaders, and they have sufficient momentum to survive changes of key staff.
100 The pupils also come into the equation, sometimes quite assertively, as at St John the Divine Church of England Primary School.
101 A picture has emerged of schools that, while focused on their pupils and communities, are alert to initiatives, innovations and best practice elsewhere. All the headteachers realise that it is essential not only to appoint high-quality staff but also to add to their repertoire of skills to sustain their interest, motivation and effectiveness. Given their quality and expertise, the most important resource for these staff for their development is often their own colleagues. The depth and extent of teamwork, openness in sharing practice, and interest in providing new and exciting stimuli for children’s learning all contribute to these schools being true learning communities.
102 Staff development begins with induction, which several schools describe in emphatic terms. Most, such as William Ford, tend to recruit newly qualified teachers.
Investment in induction
Senior leaders work hard to develop and retain staff, providing opportunities for them so that they won’t want to leave. Induction for new staff is seen as particularly important – it is both extensive and intensive. An unsuccessful teaching appointment a few years ago caused senior leaders to review and reshape their induction and mentoring so that they would be able to pick up and deal with any concerns more quickly in the future. They stress the importance of induction for newly qualified teachers in particular: the school will take only one newly qualified teacher at a time so that it is able to offer extensive support. Senior leaders work very closely with new teachers to ‘help them to develop outstanding practice’.
Much development inevitably focuses on maintaining a very high quality of teaching. As the headteacher of Michael Faraday says: ‘Teaching and learning have a very high priority in the school.’ She stresses the importance of valuing staff, encouraging teamwork and providing strong continuing professional development. ‘Second best is not good enough; the children need the best possible teaching.’ Much of the best professional development comes from sharing, observing and analysing each other’s practice.
Learning from each other
Subject leaders are given time to observe lessons. Staff know they have a responsibility to develop themselves and to share this with colleagues. Less confident staff now willingly ask for support, and monitoring is seen as a wider process than simply about holding staff to account. Staff meetings have become a place for professional dialogue – colleagues sharing knowledge and receiving praise for interesting and successful practice. The school is reflective, determined not to become complacent, questioning whether it is still outstanding and keeping up with new developments.
In many of the schools, teaching assistants are given every opportunity to gain qualifications. Some eventually become teachers. Provided they are the right people, there are advantages in having a good number of local staff among the teaching assistants. They know the local families well. With experience, many take on significant responsibility, for example, planning and leading intervention strategies for individuals and groups.
Good practice in managing the wider workforce is indicated when teaching assistants and higher level teaching assistants feel just as involved and supported as teaching staff and are able to develop their roles, gaining nationally accredited qualifications. In one instance, a mother first came into the school gingerly as a volunteer, then became a midday supervisor, then the senior midday supervisor; she had never believed she could have held this level of responsibility. She then became a teaching assistant, receiving further training. She, like all the staff, is aware of very high expectations in the school, her accountability, and the fact that there is always a new challenge.
The schools also work hard to develop the leadership skills of staff across the school and grow leaders for the future. The headteachers typically were accomplished at seeing the potential for leadership and development in both teaching and support staff and nurturing it, thus building the capacity for distributed leadership which is a crucial part of sustaining success. The schools characteristically invest in training and mentoring staff, both internally and externally. This includes National College programmes such as Leading from the middle, Aspiring leaders, and the National Professional Qualification for Headship.\(^{15}\)
\(^{15}\) The ‘National College’ is the National College for Leadership of Schools and Children’s Services.
Accelerated development
A typical example of this is the deputy headteacher of one school. She was a newly qualified teacher in the school 14 years ago. She always wanted simply to teach but, to her surprise, became a manager quickly because the headteacher saw the potential in her from the outset and encouraged, trained, mentored and supported her. She took her first whole-school responsibility in the library, then became the behaviour manager, a curriculum leader using her English specialism, and eventually attained her National Professional Qualification for Headship a few years ago. She would like to be a headteacher, and feels ready for it. She has been involved in international conference work, through the school’s links, and has contributed to the programme of support for a nearby school. Other staff in the school are following similar programmes of promotion and professional development.
In the larger schools, middle leaders who lead several staff can have a significant role in developing the school, providing in-house professional development and promoting consistency. The large team at Gateway means that there are many opportunities for curriculum leadership across more than one site. For example, a ‘green coordinator’ has recently been appointed as a result of an initiative from within the staff, showing the opportunities that staff have to make suggestions and to make a difference. Phase coordinators who lead 10 or more staff have been involved in the National College’s leadership programmes as well as in-house training, coaching and support from the senior leadership team. Within the last year, four senior or middle leaders have left Gateway to become deputy headteachers elsewhere. Teachers are supported in gaining higher qualifications or wider experience.
Sustaining excellent provision
Perfecting teaching and learning
Sustaining excellence means aiming for perfection in teaching and maximising learning for every pupil. These schools are at ease in regarding nothing less than outstanding as being good enough. They see it as a source of professional challenge as well as of satisfaction to know that they are giving children the best experience possible. The schools have various strategies for promoting and supporting their ambitions, philosophy and high-level practice.
In almost all the schools, the headteacher is a strong pedagogical leader, whose expectations and determination energise the staff. Typically the headteachers lead by example. They lead where the challenge is greatest and are invariably described by their colleagues as not asking others to do something they would not do themselves. As the practice and expectations of the headteachers take root, others on the staff emerge as pedagogical leaders, willing to be accountable for quality in their areas of responsibility. Banks Road School is one example of where the mantle of the headteacher’s clear and unequivocal expectations has been taken on by other leaders in the school.
Distributed pedagogical leadership
High expectations are assured effectively as curriculum leaders – in consultation with their colleagues – set the standards in their subjects; they ensure continuity and progression and the integrity of the subjects throughout the school. Staff are held accountable for progress and outcomes, not planning or paperwork. They feel well supported by senior colleagues.
At Ash Green Primary School, the headteacher’s constant presence in classrooms led to more formal evaluation of teaching which is now also done by the partner headteacher. They answered the challenge of providing development for individuals to follow up their feedback by appointing a teaching mentor, not to be confused with a learning mentor. This is an outstanding young teacher with just five years’ experience, whose job is to ensure that all lessons taught by herself and her colleagues are outstanding. She does this in various ways, one being work scrutiny which she carries out with one of the headteachers. They sample pupils’ work every term, triggering action if anything indicates that any teaching has been less than outstanding.
Support for learning takes different forms in these outstanding schools, but all would share the view of Bonner: ‘During a child’s primary career, schools build a huge depth of knowledge and understanding about each child. We try to ensure we use this knowledge and understanding to maximum advantage. We have formal systems that ensure key information is shared appropriately and we put great stock on the informal sharing of information. We acknowledge each child’s individual starting point. One of the things we pride ourselves on is doing our best to meet each child at the point of need and trying to maximise their potential from there.’
Some of the larger schools are committed to setting by ability in English and mathematics, usually but not always in Key Stage 2, as in Berrymede Junior School, which claims that ‘the setting in literacy and numeracy throughout the school allows pupils to flourish and those that need support to receive it.’ Most, however, believe they can provide the necessary challenge, support and individual attention within mixed ability classes.
Many of the children interviewed showed a keen understanding of personal targets and the levels they were aiming for in English and mathematics. They were involved in assessment and in setting their own targets. In Welbeck, for example, children set their own targets each term and these are displayed creatively on the classroom wall as part of a sophisticated target-setting process to motivate them. Children’s achievement data and results are put on a ‘staff share’ management information system to which all staff have access. For every child, the subject leaders look at overall National Curriculum levels and progress termly, as defined by the Early Years Foundation Stage and National Curriculum from F1 to Year 6. A day is allocated for the two coordinators to analyse the data, and a day for staff follows to examine and reflect on the analysis.
**Enriching the curriculum and extending the day**
It is impressive to arrive at a school at 7.30 in the morning to find two thirds of Year 6 voluntarily attending a 90-minute dance club. It is even more impressive to learn that they have been doing so through the depths of winter. Unsurprisingly, the standard of dance at William Ford Church of England Junior School is very high. However, this is not the main reason why senior leaders are so enthusiastic about the dance club or any other aspect of the school’s impressive range of extra-curricular and enrichment activities. They see five main benefits.
- More than anything, opportunities like these increase pupils’ motivation and enjoyment of education. As the headteacher says: ‘It’s about making them want to come to school.’
- They provide a great deal of healthy, physical activity for pupils, something they often do not get at home.
- They help staff to build very positive relationships with their pupils.
- In an area where parents may have had a very negative experience of school themselves, they provide numerous opportunities to entice parents into school to celebrate what their children are doing: ‘It gets them through the door.’
- These opportunities provide a good way to teach children about their responsibilities.
In terms of developing responsibility, pupils are able to attend a taster session for any new activity. After that, they must decide whether they want to continue. If they do, they are taken to have made a firm commitment. They are not allowed to give up an activity or miss a session without discussing it with the teacher and writing a letter of explanation.
Clubs and more at William Ford School
The wide range of clubs and other opportunities include golf, gymnastics and boxing (non-contact and run by a local professional boxer – the Commonwealth super-featherweight champion). Every child also learns a musical instrument. The pupils also have opportunities to take on responsibility, for example by acting as sports leaders to children in the local infants’ school. This rich mixture of provision is possible only because staff voluntarily give up a considerable amount of their own time. Everyone does something, although newly qualified teachers are actively discouraged from running a club until they are established in the school.
Enrichment afternoons
In one afternoon session, at Bonner, groups were tasting Spanish food, practising French conversation, using computers to make willow patterns, making model mountains out of polystyrene, making jungle collages, learning contemporary dance and producing 3D mathematical models. At the same time, people from the zoo were showing children an extremely large snake! As one child put it, ‘You learn something new that you haven’t learnt before.’
Such activities are organised through enrichment afternoons. On Tuesday afternoons the school reorganises teaching groups from Year 2 to Year 6. Years 2 and 3 work together; Years 4, 5 and 6 work together. It takes all the parts of the curriculum not included in the curriculum framework, combines them with other areas of interest or skill and divides them into six subject-based areas. From this menu teachers identify a subject or a topic they are interested in and would like to teach and create a six-week course and decide on the key learning objectives. Children sign up to the course they are most interested in, not knowing who will be teaching it and who the other course members will be. This gives them their first opportunity to gain a high degree of control over their learning. This adds to the excitement around learning in general and is one of the most exciting times of the week. It also gives them an opportunity to work with other children and to experience different teaching styles.
Lively and relevant learning
The headteacher of Michael Faraday says, ‘Our curriculum involves extensive visits to art galleries, museums, theatres and an investment bank, whose graduates are placed here, working alongside our pupils as part of their induction programme. A succession of artists, poets and authors come and work with us in the school. We want our children to develop a love of learning and to understand that there is a big wide world out there and that they are entitled to be a part of it. There is life beyond the estate!’
Many schools have flourishing international links. At least one headteacher has trained as a British Council instruction facilitator and taken groups of headteachers abroad.
St Monica’s international dimension
This started 10 years ago and has been developed through British Council and Comenius projects.\(^{16}\) Staff and children hosted a visit for one week for 13 pupils from China. Eight staff have visited China on three occasions and in October 2008 a group of 17 children from four local primary schools visited their partner schools in China. The school has also sent staff to Italy, Turkey, Germany, Scotland and Estonia, and staff and children participated in an international children’s celebration in Germany in July 2009. Those visits are planned to promote cross-cultural approaches to learning. They also aim to encourage qualities of empathy, tolerance and respect for other cultures. The school believes it is vital that children from a monocultural community meet children from other cultures, so extending the notion of community cohesion to a global level. Pupils return and talk about their experiences with other pupils, and give presentations to governors. Key Stage 1 Spanish is taught to all pupils from Year 3.
Creative Partnerships at Welbeck
The Creative Partnerships programme started with action research involving a group of schools in Nottingham. They explored the design of a creative curriculum with a focus on citizenship. This year the programme has been driven by the desire for curriculum change. The visiting experts include two artists, one dancer and a specialist in drama. Other strengths of the school’s programme include capitalising on the cosmopolitan backgrounds of the children to promote internationalism, embedding the global dimension. The school has had links with other schools globally for many years and keeps adding to the list of partners. A second phase of the work has been about pupils understanding and being proud of who they are. Work has included designing their own world. Some groups focused on the world of money, dressing up in gold clothes and depicting this world in other ways. Staff have also become more expressive in their work through working with the artists in residence.
Enhancing the learning environment
All the schools have sought to make the most of the learning environment, both in and around the school. St John the Divine strives ‘to make a difference once you step through the school gate’ from the densely built-up surrounding area. The result is an exceptionally stimulating environment, created by staff, with support from the governors to refurbish, modernise and equip the school to high standards. The result is, as one visitor observed, ‘no place to hide from learning, wherever you go in’.
The headteacher of Welbeck was convinced that her school’s new curriculum must be even more active, participative and creative owing to the need to provide for a very challenging Year 3 group which has 20 boys and seven girls. There is a ‘very motivational’ teaching assistant, and it became clear that the group would benefit from more outdoor activity. The result is they have developed a wildlife garden and involved the children in growing plants, building dens, and linking their outdoor experiences to writing and mathematics.
\(^{16}\) The Comenius programme is funded by the European Union and aims to promote transnational cooperation between schools and colleges.
\(^{17}\) The Department for Culture, Media and Sport (DCMS) set up Creative Partnerships in 2002 to increase opportunities for all children to develop creative skills by enabling children, teachers and creative professionals to work together in both education and cultural buildings such as museums, galleries and theatres. Ofsted evaluated the Creative Partnerships programme in 2006: *Creative Partnerships: initiative and impact* (HMI 2517), Ofsted, 2006.
Sustaining excellence continued
Giving children a say
Schools that focus above all on children and their needs also value their views and go out of their way to give them a voice. School council members provided much evidence for this report, not only giving a perspective on their schools and the factors which they most appreciated but also about pupils’ contribution to the school. World’s End is one of the schools in which even the youngest children contribute.
Involving children in the nursery curriculum
The school has been developing ways in which children can be involved in planning. For example, children in the nursery are asked to reflect on their day – what they have done and what ideas they have about what they would like to do the next day. Digital photos of what is offered each day are put onto digital pens which are used with electronic photo frames to talk about the learning and help children plan their selection. These visual clues are particularly helpful to children speaking English as an additional language and those with visual impairments. Children’s ideas are used by staff in their daily planning. Children in Years 1 and 2 are elected to the School Council and meet half-termly, and each class has a monthly council meeting.
Representatives of the School Council said that they suggested ways of improving the outdoor environment and discussed with the school cook the limited choice of food at lunchtime for older children. They surveyed children’s favourite food from a menu and the cook agreed that she would cook more of it. There are periodic surveys of children’s views of the school.
Food and school meals are a natural subject for scrutiny by school councils in primary schools, but they often undertake ambitious and socially responsible projects. In Gateway, the council is leading a sophisticated drive to have an ‘eco school’. This began with the council undertaking a range of initiatives in environmental awareness, such as introducing recycling in each class. The council also has its own secure ‘blog’ in this ICT-orientated school; pupils like and use the school website and never find the dominant use of interactive whiteboards in lessons boring.
Monitoring, evaluating and planning for the future
Planning for school improvement
One school starts its annual review and planning cycle by reconsidering its strategic vision and objectives or targets. The review of the school improvement plan begins with an examination of what is hindering or preventing the achievement of these objectives. Previously, it is said, ‘Staff did not know what was going on strategically – or how they could help to improve it.’ Currently, staff have time to observe lessons in order both to improve their own teaching and to support others. In this way, all staff have a good insight into the quality of learning in the school.
The schools generally show sufficient confidence in what they are doing to subject external initiatives to critical scrutiny, extracting what will be useful and discarding ideas and approaches which do not match their culture and pedagogical beliefs. One school, for example, did not readily adopt but first unpicked the National Literacy and Numeracy Strategies and adapted them to the needs of the pupils. Creative writing, for example, was undertaken within whole-day programmes, linked to drama. Some new initiatives are not used at all as they would not add anything. School autonomy is well illustrated in the following example.
Knowing what’s best
The headteacher of Banks Road is broadly in favour of accountability systems, such as national testing and Ofsted. She also says she has a very good School Improvement Partner. She likes to cooperate with others and uses much external material. However, she has the confidence to pursue with her staff and governors what she knows and believes will work with the children in her school, whose circumstances she understands well. This often means not doing what is advised by the National Strategies, for example, or doing it only partially. Staff critically evaluate all external suggestions. The headteacher says she will listen to everyone, but if someone tells her to do something she doesn’t think will work or improve the school, she does not adopt it.
The same critical faculty applies to staff. They are used to being accountable for outcomes and trusted to provide well for their classes. This means, for example, that the staff never fully implemented the approach recommended by the National Strategies in which pupils worked in groups, some unsupervised by adults, because they felt the learning in that context would be less than in a more controlled setting where the teacher or teaching assistant maintains more of an overview on the learning of each individual. Their concern is not about behaviour but learning. It is not uncommon, therefore, to see classes in Key Stage 2 arranged in rows facing the front. At other times, the children will be grouped. The learning objectives and approaches determine the form of classroom organisation. If they feel that sitting in rows is the best way to achieve the objectives, they will do it. The school’s Key Stage 2 results are above the national average at Level 4 for these very disadvantaged children.
125 The school improvement or development plan provides – or should provide – the map for success for all. A good development plan combines strategic ambition, ‘where we want to go’, with robust evidence of ‘where we are now’. It remains central to the mission of achieving excellence but is useful only if it is owned and understood by those who have to implement it. The schools generally make evaluation and planning at the school level into activities which engage the whole staff, as well as governors, pupils, parents and – to some extent – the wider community. This example from St Paul’s Peel Primary School captures the essential ingredients.
Planning in a nutshell
The school improvement plan is clearly and concisely written with a focus on only a few, highly strategic areas. This is built on accurate, positive but very rigorous self-evaluation. Lesson observations, scrutiny of pupils’ work and canvassing the views of pupils and parents are carried out routinely. While proud of its work, the school sees clearly how rigorous it must be to avoid any possibility of falling back. Other well-focused action plans exist for individual subjects and aspects, such as the school buildings. The school budget is targeted and linked well to school improvement objectives, meaning that value for money is easier to track and evaluate.
School development planning at Simonswood Primary School illustrates corporate involvement in the process.
**A project approach to the school development plan**
Although Simonswood has a senior management team, the school stresses that leadership has been developed at all levels. This is best exemplified through school development planning. The planning for it starts with a conference for all staff. Administrative, catering, teaching and support staff are included, for the school has worked hard to dispel an ‘us and them’ culture. The priorities are identified and structured as projects which can be led by any member of the staff team. For example, the 2008/09 plan had 11 projects. All were linked to the school’s values and included developing a home reading scheme, strategies to raise standards in writing, and developing the school website. The projects are planned across the year with an assigned leader for each one. The headteacher feels that his role is to facilitate: ‘I do not need to control things because we trust each other; the structures and systems are in place. But this mechanism provides a good opportunity to give responsibility, enhance experience and so contribute to succession planning.’
**Monitoring and evaluating**
The two terms ‘monitoring’ and ‘evaluation’ have a close relationship and are often used interchangeably. In the school management context, it may be appropriate to think of monitoring as a process which keeps track of performance, whether static – as in monitoring compliance with policies – or dynamic, such as monitoring progress towards established targets. Monitoring shows whether a system or process is functioning efficiently, as planned or designed.
Evaluation is more to do with effectiveness and improvement, with judging the quality and impact of processes so as to learn from them or identify ways of improving them. Constant evaluation of teaching and learning was a feature of the work of the transformational leaders described earlier. At school level, this can be captured in the school self-evaluation form. Both evaluation and monitoring are in play in the following example.
**The feedback loop: evaluation and monitoring for improved performance**
There is a yearly cycle of monitoring and evaluation, which is explicit, and is adjusted according to priorities in the improvement plan. There is a consistent expectation of continual improvement in the quality of teaching. Every member of the teaching staff is involved in evaluating others. This peer approach is both rigorous and very popular, and its style is supportive and developmental. Staff say, ‘People will watch you and suggest improvements and they will learn from you.’ Another member of staff said, ‘These observations seem daunting but actually this is very supportive and purposeful.’ Staff add that there is significant continuing professional development in the school which helps them to develop any areas identified.
Ofsted’s criteria are used when evaluating teaching, and – crucially – are well understood by staff. Staff are clear that the criteria are much more about learning and outcomes than the activity of the teacher. Results of tests and assessments are analysed in detail. This monitoring means there is no hiding place for anyone – staff or pupils – and this leads to the development of child-centred individual programmes. The pupils’ voice is heard clearly, and systematically too. Outcomes of frank interviews with pupils about their learning are used to inform monitoring and improvement. For example, a group of girls said they were often ignored in lessons, which staff hadn’t immediately realised. These thoughts were recorded, considered and then rigorously addressed through the school improvement plan. These procedures certainly contribute to standards in national tests, and progress measures, which are consistently very high.
Sustainability and succession planning
129 These outstanding schools have all found a recipe for success which, under current leadership, is sufficiently robust and dynamic to ensure that they continue to improve. Faced with the hypothetical scenario of the headteacher disappearing in an instant, staff and governors generally feel that the schools are well equipped to sustain their excellence. The greatest threats are probably to be found in those schools where key senior staff are of a similar age and will retire over a short space of time, although one or two headteachers and their deputies of a similar age have agreed to stagger their departures so that they do not leave at the same time.
130 Three of the schools are led by acting headteachers or relatively new headteachers, as indicated in the portraits of the schools later in this document. The signs are that they are sustaining the momentum and effectiveness of their schools by continuing to look for improvement, refinement and innovation. In the case of one acting headteacher, she had the twin advantages of having been at the school as long as the headteacher and having had previous experience as acting headteacher when the substantive headteacher was supporting another school.
131 However, there were few opportunities for ‘acting up’ in these schools. This was because the schools had highly visible and ‘hands-on’ headteachers, often of very long standing, who had not sought opportunities to contribute more broadly at the wider system level. Often this was because they believed their own schools required the constant presence of the headteacher. Opportunities for the senior leaders in schools such as these to take responsibility for the school for periods of time were therefore limited. In addition, in some cases governing bodies are nervous about any dilution of the headteacher’s presence, although it can be of advantage to sustainability if other members of staff have experienced acting headship.
132 Gateway, one of the most effective primary schools in London, is fast approaching the time when the head and a senior deputy will retire. Extensive leadership development of senior and middle leaders, together with the secondment of another senior leader to the local authority for development purposes, has done much to ensure that there should be one or more well-equipped internal candidates for the top posts. This ensures that governors have good benchmarks against which to measure external candidates.
133 The philosophy of staff development at Shiremoor is similar. The deputy headteacher has been involved in outreach work, partnering a weaker school as well as having extensive experience of leading the school while the headteacher has been engaged in system leadership elsewhere. Here, succession planning applies not only to pedagogical leaders but also to administrative staff. One example is the key post of school administrator. The data technician is being trained for the succession by taking the certificate in school business management while learning from the current incumbent before she retires.
134 The biggest test in appointing a new headteacher to a consistently outstanding school is probably to find a candidate who possesses not only all the qualities, skills and experience required, but who is also sensitive to the deeply embedded culture of the school.
135 Where schools such as Gateway, The Orion and St Sebastian are federated or working in close partnership with others, the opportunities for developing the capacity for senior leadership multiply. Some schools now would not welcome a return to the status of single institutions, regarding that as reducing opportunities for staff and benefits for their pupils.
136 The schools have become consistently high-performing schools through having outstanding leaders who have been willing to project their vision well into the future and made a long-term commitment. All the headteachers, or, if recently appointed, their predecessors, had served as heads for at least 10 years in the same school, often a great deal longer. Some had held other posts in the school before becoming head. Instead of declaring success and moving on after solving the most immediate challenges they encountered, they have stayed long enough to embed the culture of excellence throughout the organisation and establish its integral and valued place in the community.
These perennially successful schools may no longer need transformational leaders in quite the same mould, but they certainly do not need caretaker leaders without a continuing sense of purpose and commitment. The biggest safeguard for outstanding schools faced with the need to appoint a new headteacher is for the school to have built leadership throughout the organisation, incorporating capacity and team work at every level. Failing that, there may be a case for introducing oversight of the school by another outstanding headteacher in an executive capacity.
**Where next?**
**For the pupils**
The schools represented here provide only a fraction of their pupils’ formal education. In the main, they provide what may be the pinnacle of excellence in the child’s education. With rare exceptions, continuity suffers at every point of transition. Pupils leaving these primary schools will not always continue to encounter outstanding teaching when they join their secondary school and there are few models for carrying excellent practice across into the next phase. Many children, having excelled in their educational gains by Year 6, will be tested again a few months later. In the majority of cases, there will be no easy or automatic mechanism for primary school staff to know how their Year 6 pupils progressed thereafter and what they achieved at GCSE level.
Occasionally, the intense effort expended to ensure a child thrives is eroded by a thoughtless or unprofessional response at the next stage. The staff of one infant school heard a junior school teacher say about a child: ‘He is a lost cause.’ The infant school worked long and hard with another child who eventually settled down by Year 2, but within a few days of going to the junior school he was excluded. When the infant school responded to the question ‘How did you manage him?’, the junior school replied, ‘Well, we don’t do that here!’
**For the schools**
A report such as this can only offer a glimpse of the work of these schools. Given their success against the odds, not just relative success but also in terms of the absolute standards attained by their pupils, they can lay good claim to be world class. Indeed, the schools fulfil all the McKinsey findings attached to such a status.\(^{18}\) They appoint the very best teachers they can find, they work continuously to hone their skills, and they focus learning on the individual pupil.
Many of the features and practices of these schools will be recognised by other schools as things they also do. The secret underlying the ongoing excellence of these schools is that all the different aspects of their operation are of high quality and work in synergy. Some of the schools are not particularly innovative but they maintain consistently first-rate practice. Innovation often takes the form of finding small incremental improvements in what they are doing. All the schools are imaginative in seeking to provide exciting, memorable learning opportunities. Perhaps of greatest importance, all have deeply embedded values and the determination to do the very best they can for each child, enabling them to make visible progress. This is a tremendous source of satisfaction for those who work in these schools.
The challenge for policy makers is how to promulgate the practice of these schools. Fortunately, the keys to their success can be understood by all school leaders. Many schools nationally do some of the same things. The secret appears to lie in the glue which holds them together. This is a powerful mixture of vision, determination, consistency, teamwork, culture or ethos, and high expectations, applied through outstanding leadership, recognised through outstanding teaching and learning, and focused on the needs and progress of each individual child. Some of the mechanisms for sharing these practices with other schools are discussed in the next section.
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\(^{18}\) M Barber and M Mourshed, *How the world’s best-performing school systems came out on top*, McKinsey, 2007.
Sharing excellence
Sharing excellence
When schools like the group of 20 achieve excellence as providers, it is essential to the systemic improvement of education locally and nationally that ways are found to share their practice more widely.
Outstanding schools have much to offer other schools. By virtue of overcoming their contextual challenges so magnificently, these schools are resources for school improvement which need to be not only treasured and admired but also used to help others. This section considers some of the mechanisms through which the expertise and good practice of these schools are disseminated.
These interactions fall into a number of categories, ranging from the highly localised, in which the school’s practice is opened up to fellow professionals, to the highly delocalised, where the headteacher has a system-leading role and the school is a local or national support school. The schools in the sample span this spectrum, although fewer are system-leading schools than might be expected. This mirrors the evidence from the 12 secondary schools featured in the first review.
System leadership
System leadership is a rapidly growing but recent phenomenon in the school system in England and as such Ofsted has only small-scale evidence of its effectiveness. System leaders are school leaders who work directly for the success and well-being of pupils and students in other schools as well as their own. The concept goes beyond the normal collaborative activities in which many schools are engaged. The clearest example of system leaders is represented by the increasing number of ‘National Leaders of Education’ and their ‘National Support Schools’ drawn from primary as well as secondary and special schools. They are headteachers whose leadership is recognised as outstanding by Ofsted and who meet a number of other searching criteria, including experience of improving a school in an Ofsted category of concern. Their schools have to demonstrate the capacity to support other schools.
Only one of the schools in the group is a National Support School, but all the headteachers and their senior colleagues represent, to a greater or lesser extent, aspects of system leadership as defined by the following key roles. These are:
a. leadership that sustains improvements in very challenging contexts and then shares its experience, knowledge and practice with other schools
b. leadership of collaborative innovations in curriculum and pedagogy
c. leadership that brokers and shapes radically new networks of extended services and pupil welfare across local communities
d. leadership of improvement across a formal partnership of schools
e. leadership that acts as an external agent of change in other schools that face significant difficulties.
Some examples of how the schools illustrate these aspects are given below. With some notable exceptions, however, the system leadership of the 20 outstanding primary schools is drawn upon relatively lightly.
Sustaining improvement in very challenging circumstances and sharing best practice
All the schools in the sample have shown an exceptional capacity to sustain their excellent performance for a number of years, spanning two or more inspection cycles. They deserve their local, and in some cases national, reputations. It is natural that other schools come to find out more about what they do. Many of the schools were Beacon Schools, when the classification existed. They have continued, albeit informally, their previous Beacon School status since they are frequently visited by others wanting to learn more about aspects of their practice. The range of interest is very wide, from practice in the Early Years Foundation Stage to developments in the use of information and communication technology (ICT). Typically, visitors include colleagues from schools in the same cluster of schools, school leaders prompted to visit by the local authority, external agencies conducting
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19 R Higham, D Hopkins and P Matthews, *System leadership in practice*, OUP/McGraw-Hill, 2009.
20 Beacon School was a government designation awarded to outstanding primary and secondary schools in England and Wales from 1998 to 2005. Beacon Schools were founded to share their good practice with other schools.
research, and overseas visitors. Some of the schools are recommended by the National College for placements at the development stage of the National Professional Qualification for Headship. Most of these visits tend to be one-off events rather than the starting point for reciprocal visits and real partnership working. The following shows a typical range of partnership activities in which expertise, knowledge and practice are shared with other institutions.
**Sharing its practice, St John the Divine Church of England Primary School**
- The school has worked closely with the local authority advisory service to develop the policy, scheme of work and delivery for personal, social and health education.
- An advanced skills teacher, previously a Year 6 teacher, supports other schools in planning for literacy and maintains email contact with them.
- Teachers from other schools visit lessons taught by the advanced skills teacher for mathematics.
- Other headteachers and their colleagues visit and observe lessons.
- Teaching assistants visit for training and shadowing.
- Universities send trainee teachers because of the high quality of professional practice.
- School staff work in teams to moderate literacy assessments.
- The quality of assessment and the provision offered by the Early Years Foundation Stage practitioners are used by the local authority as models of excellence for other schools.
149 Some key staff in the outstanding schools are drawn into their local authorities in school improvement roles. The Early Years Foundation Stage manager at Ramsden Infant School in Barrow-in-Furness was seconded to advisory work with the local authority for a year, although she missed a classroom-based role and returned after the secondment. Several other local headteachers send staff to Ramsden to see what the school is doing. There are very good relations, however, between the headteachers in Barrow; they share good practice and the local infant schools meet regularly.
150 The assistant headteacher at Gateway Primary School recently returned to the school, having been seconded to the local authority as a literacy consultant. Her secondment was part of the authority’s contribution to succession planning by providing opportunities for secondment to potential headteachers.
Outstanding schools have much to offer other schools.
Local authority experience for potential headteachers
The school arranged for a potential headteacher to work for the local authority for a period as a literacy consultant. She brought skills to this work that she practised at Gateway School, particularly in relation to teaching children who spoke English as an additional language. The school needed to improve writing. Prior analysis had shown that pupils had:
- poor sentence structure
- poor development of ideas across sentences and paragraphs
- a lack of appropriate subject-specific vocabulary
- an inability to give the reader the necessary information so that pronouns could be used effectively across a text
- difficulties in giving succinct explanations
- a lack of awareness of the impact of writing on the audience.
Results were disappointing until the school incorporated ‘scaffolding’ in developing a whole-language approach to the teaching of literacy. Speaking, listening and reading were planned to inform writing and cross-curricular links were made.\(^{21}\) The school focused development in Year 5, using a multimedia study of Antarctica – already identified as a Year 5 geography project – and taking in literacy, science, ICT and speaking and listening. Teachers developed a plan for layering the skills needed, learning in one area supporting learning in another. The resulting material, a cross-curricular sequence of 32 lessons covering English, science, ICT and geography and supported by a book and CD-ROM was developed within Gateway School and has been supported and disseminated by the local authority, with a significant take-up.
Leading collaborative innovations
151 The teacher mentor at Ash Green Primary School gained funding from the Training and Development Agency for Schools to work with colleagues from her cluster group of schools on developing a handbook for assessment for learning. Her school has embedded assessment for learning in its teaching and learning, much of which is consistently outstanding. The handbook aims to give staff and newly qualified teachers an understanding of assessment for learning, organising it into five strands:
- the learning environment
- learning intentions/success criteria
- effective teacher feedback
- peer support and feedback
- self-assessment/evaluation.
The handbook provides very clear and useful training materials for each of these five strands, containing practical advice on how they can be implemented effectively in the classroom. It is in demand across the local authority and beyond.
152 Most of the schools have contributed expertise through lead teachers to local authority school improvement work, clusters, networks and partnerships. One headteacher acted as a consultant leader for two years on her local authority’s ‘support and progress initiative’, working with four schools as a consultant leader before School Improvement Partners took over this work.
153 Some schools provide training on behalf of the local authority, often on the school premises. One example of Gateway Primary School’s contribution is through showing teachers from other schools the potential of ICT in the curriculum and training them to use it. A week-long training programme for teachers has been developed in partnership with the suppliers of the technology and the local authority, with the headteachers of the participants’ schools joining the programme on the last day.
\(^{21}\) Vygotsky defined scaffolding instruction as the ‘role of teachers and others in supporting the learner’s development and providing support structures to get to that next stage or level’; see, for example, D Whitebread, *The psychology of teaching and learning in the primary school*, Routledge, 2000.
The local authority recognises the school as an influential partner in its school improvement strategy. Outreach work is rationed by the headteacher, mindful of the needs of the school, but he mentors other headteachers, supports members of his staff in undertaking development projects and constantly makes the expertise of the school available to others.
Cotmanhay Infant School is frequently used by the local authority, for both teacher training and National Professional Qualification for Headship placements, as the headteacher is a part-time tutor for the National College.\(^{22}\) For example, the school has excellent ‘nurture room’ provision for calming and supporting emotionally insecure or disturbed pupils and has places for children from other schools in the authority. The success of this and the Positive Play Programme (for children with behavioural and emotional difficulties) which runs alongside it is shared with other schools in the authority, and the advanced skills teacher and the two teaching assistants involved run courses for other schools. Another advanced skills teacher runs the workshops for parents and has shared these with other schools.
St Paul’s Peel Church of England Primary School is a lead school for the ‘Every child a writer’ programme; three of the school’s staff are lead teachers within this and work closely with other schools, in whatever way they need, to promote writing. They enjoy this, and have learned from it, expressing surprise that what they see as normal practice is seen as very good or innovative in other places. One of the schools with which they work has now become a lead school in its own right, freeing the staff at St Paul’s Peel to work with another two schools. This work, by middle leaders, along with other responsibilities and training in and through the school, illustrates very well the effective way in which staff are prepared for more senior roles within the school or elsewhere. Many staff at the school have moved to promotion elsewhere.
Leading and brokering extended services
All the schools work very closely with their children’s service partners in dealing with barriers to learning, building links with parents and the community and working with children and parents to reduce barriers to learning. Ash Green Primary School has moved a long way along the path of system leadership in relation to its leadership within the community. The school provides a ‘full offer’ extended day, with cover organised on a shift system. Having been granted responsibility for the neighbouring Sure Start provision, care is provided from 08.30 to 18.00 for 48 weeks of the year.
As well as establishing an inclusion and progress team, which links with families, Ash Green has brought in a qualified social worker to undertake family support work. This was initially an unpopular move with other headteachers who said it was not their job. But the social worker has made a vast difference in working with the headteacher and home-school liaison manager to deal with all sorts of concerns, including domestic violence. The local authority is taking a keen interest in the way this initiative is working and has based the local authority’s multi-agency assessment team in the school.
Leading improvement across a formal partnership of schools
In April 2006, St Sebastian’s Primary School and Nursery became one of the first schools in the North West to federate with another school – St Cuthbert’s – forming a ‘hard’ federation with one headteacher and one governing body, although the schools maintained their own individual staff and identities. The federation has provided many opportunities for sharing expertise, facilities and good practice so as to raise attainment. Staff at both schools feel the federation has broadened their experience and allowed them to develop. The inspections of the two federated schools in 2008 chart the progress and judged the success of this arrangement.
\(^{22}\) The National College for Leadership of Schools and Children’s Services.
The operation and benefits of federation
St Sebastian’s Catholic Primary School
‘Despite being judged an excellent school in the last inspection, the school has continued to improve standards… Some parents and staff were concerned that because the headteacher was asked in 2006 to lead two schools, St Sebastian’s might suffer as a result. However, his shrewd delegation and very effective training of other senior staff has meant that the school has maintained its excellence. Senior and middle leaders have developed their skills to ensure continuity. The deputy headteacher very ably manages the day-to-day running of the school where necessary. Other senior leaders contribute significantly to rigorous assessment practice, to improvements in literacy standards and as exemplary teachers…’ (Ofsted, 2008)
Federated school: St Cuthbert’s Catholic Primary School
‘St Cuthbert’s experienced a significant fall in roll and its future appeared uncertain until the decision was taken some two and a half years ago to federate under proven leadership of outstanding quality. As a result of the exceptional commitment of governors and staff, the initiative is a resounding success. Striking features are the beneficial effects of shared expertise through leadership and management, including governance. The work of the senior leadership team in this is exceptional. The best practice in one school, for instance the quality of its intervention strategies, has been successfully introduced into the other, and vice versa, for instance high-quality teaching of Spanish for younger pupils. Since the last inspection, the school has made excellent progress, improved the quality of the learning environment in classrooms and outdoors, and addressed all the areas for improvement noted in its last report. It has outstanding capacity to improve and provides good value for money.’ (Ofsted, 2008)
In terms of impact, the inspector found that ‘standards in Year 6 had improved overall since the inspection of the federated school in 2004. School data show this upward trend continuing thanks to challenging targets and the high expectations of staff. At the end of Year 2, standards are broadly average, with the highest standards in reading. This is because of intensive, individual support which makes sure that no pupils slip through the net. Indeed, achievement across the school in reading is exceptional.’
The Orion Primary School has become a very successful ‘fresh start’ school from the metaphorical ashes of the failing infant and junior schools it replaced. The headteacher took up his post in January 2000. The school was subject to monitoring visits by Ofsted and had an inspection in November 2001 which judged the school as good. The main challenges for the school in raising achievement and standards included poor behaviour, low self-esteem, and the disengagement of parents in a very disadvantaged area. Priorities included behaviour and a focus on teaching and learning. What the governors report as inspirational leadership and the establishing of an ethos of trust, high expectations and a focus on children and their needs and progress contributed strongly to the school’s improvement.
In late 2003, the headteacher of The Orion was asked by the local authority to move to a nearby school, Goldbeaters, a school with a very similar community to The Orion. The challenges were significant in terms of the decline in standards, behaviour and run-down premises. The Orion’s headteacher decided that, rather than move to Goldbeaters, he would lead both schools and share the practice from The Orion. This would also enable his senior leadership team to gain management experience when he was at Goldbeaters. The headteacher divides his time between The Orion and Goldbeaters. Staff across both schools share expertise, in-service training days, ICT, policies, joint meetings, events, and school councils. Both schools are now oversubscribed and claim to have raised expectations and aspirations for children in the community.
In terms of their impact, by 2008, St Cuthbert’s had become ‘a good school with many outstanding features’; Goldbeaters appeared in Ofsted’s ‘most improved schools’ list one year, and the contextual value added indicators of both schools in the Orion–Goldbeaters partnership are good.
**Leadership as an external agent of improvement in other schools**
Headteachers who have transformed their school and now lead consistently outstanding schools may have a great deal to offer other schools. Their schools may also have the capacity to act as support schools, working in partnership with another school to help it improve. About a third of the headteachers in the sample are local or national leaders of education. Others feel either that they need to continue to focus their energy on their own school while expanding the range of opportunities available to it or are ready to help schools when asked but do not necessarily want to make a continuing commitment to such work.
The headteacher of John Burns Primary School, for example, is a ‘local leader of education’ involved in supporting leaders of vulnerable schools within the London Challenge programme.\(^{23}\) This commitment normally takes her out of her school for one day each week. This helps to keep her thinking fresh and the ideas she gains can be used in her own school.
**Overcoming resistance to improvement**
The Local Leader of Education often finds some resistance to a focus on raising standards at the expense of what the schools see as caring for their pupils. Her approach is simple: ‘Why would they not want their children to be able to write well, read and add up quickly? I don’t understand it. What is that doing? If they’ve got Level 4s, they’re much more likely to get GCSEs in the first instance.’
She is very pragmatic. When one school said to her, ‘We can’t manage to monitor reading’, she said, ‘Yes you can. Here’s how.’ Within a few weeks they were doing so. This is typical of the very practical, undogmatic approach taken to improvement in her own school, with high expectations and no tolerance of failure.
Other John Burns staff are involved in supporting these links with other schools. This enables them to learn from others, take a wider view, and contribute to improvement. The headteacher can point to a good record of improvement in the schools she has worked with. Being out of school means she has learned to rely on and involve her senior staff much more. Her natural approach, she says, was to do too much herself initially. Now she is much more confident to delegate and does not expect to return to school with a ‘to do’ list waiting for her. Some outstanding London schools, such as Bonner, are also becoming involved in the London Challenge ‘Good to Great’ programme, supporting good schools locally to improve.
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\(^{23}\) London Challenge was launched in 2003. It is delivered through a partnership of schools, local authorities, and others working in education in London and has been extended to 2011. See Ofsted, *Improvements in London schools 2000* (HMI 2509), Ofsted, 2006.
Shiremoor Primary School is an example of a National Support School. The school has a record of contributing to school improvement in several spheres, through its Beacon status, taking a leading role in several networks and contributing to developments through the local authority, the National College and the National Association of Headteachers. The headteacher became a National Leader of Education and was asked to support another school.\(^{24}\)
Some headteachers and their schools become engaged with schools in difficulty simply because it is the right thing to do. This happened to St John the Divine Primary School in Lambeth which supported another primary school after the sudden departure of the school’s headteacher.
**School to school support**
Shiremoor was commissioned by the local authority to support a school a few miles away which had a Notice to Improve from Ofsted. The headteacher, a National Leader of Education, has found this work difficult as well as time-consuming. As an experienced and independently minded strategic leader, she admits that it was difficult having to work through others, rather than take the decisions herself – until, that is, she became the school’s acting headteacher. The partnership succeeded in supporting the school and it was removed from the Notice to Improve category. Many staff from Shiremoor were closely involved in working with their peers in the supported school. This included providing in-service training for staff on aspects such as scrutinising work and assigning National Curriculum levels to it, classroom management and organisation, challenge for the gifted and talented pupils, organisation in the Early Years Foundation Stage, and pace of working.
The experience opened the eyes of the Shiremoor staff to what a school working at a lower level is like and what the problems can be. The staff have learned much, which caused them to reflect on the question: ‘What could we have done in our school with those pupils (from the other school) who have higher attainment on entry than ours?’ Reflection on their own practice was one of the reciprocal benefits that invariably accrue from supporting another school, whatever the differences in effectiveness.
**Responding to need**
The headteacher was approached to take over for a period to support an unsettled staff. Several staff from St John the Divine supported the other school, including the literacy and mathematics coordinators and administrative staff. On one half-term day, the whole staff of St John the Divine – including teaching assistants – visited the school and helped with displays, recreating the learning environment. Systems were introduced, guidance was provided on developing reading and writing, the learning environment was improved and the quality of teaching and learning benefited. This support continued until a new headteacher was appointed.
The work of Ash Green Primary School and its leadership provides a fine example of emerging system leadership. The story starts when another primary school in the village of Mixenden faced closure after facing a number of problems, including moving in and out of special measures. After much negotiation with the local authority, the Ash Green governors were asked to take over the running of the other school. There were many challenges. The school had only two governors and very few governors’ meetings. There was strong opposition to closing the school across the estate. Eventually it was closed and reopened as part of Ash Green and has now been completely transformed. Numbers were very low to start with at the second site because parents opted for Ash Green School, but they quickly equalised. An associate headteacher was appointed. Most remarkably, there is now identical provision on both sites with joint curriculum planning and a consequent improvement in results.
\(^{24}\) This is a programme designed by the National College for Leadership of Schools and Children’s Services to help other schools improve.
More recently, a neighbouring school, Dean Field Primary School, got into difficulty. Ash Green was asked to help. The executive head then spent two days a week at Dean Field, mentoring and supporting the new headteacher. He is providing strategic leadership and the school is turning itself around. The schools are now loosely federated with an executive governing body as well as separate governing bodies.
The very experienced chair of the governing body at Ash Green describes the strategic headteacher as one who ‘leads by example and finds ways of doing things’. In fact, the story is one of building capacity and promoting improvement across a growing number of schools. The associate head at Ash Green is now a second or joint headteacher, giving the substantive head more scope for strategic leadership and outreach. He is now working with two capable heads who are rapidly gaining experience under his mentorship, with schools that are outstanding or rapidly improving. It is little wonder that the primary headteachers are seeking a greater voice in the proposed new North Halifax Academy, which their pupils will attend. They deserve continued access to excellence, a contrast to the past, which was blighted by the shadow of fragility cast by The Ridings School, since closed.
Executive headship support for Dean Field
Andrew Midgley, the deputy headteacher of an outstanding school in Halifax, was seconded by the local authority to Dean Field for a year. David Kirk, head of Ash Green, was his mentor and executive headteacher for the school. There was no school improvement plan, special educational needs policy or other systems. The behaviour of both children and parents was of great concern and there were 55 exclusions in the previous year. The school was second from the bottom in the national league table and the building was not fit for purpose.
The school is turning itself around but success has been won gradually. The number on roll has grown from 142 to 198. Ash Green has been very supportive. It has ‘skilled up’ a special educational needs coordinator, set up an inclusion team and introduced classroom observation, monitoring and a range of policies. David Kirk, now a strategic headteacher, supports future thinking, the development of policies and strategic development. Ash Green also mentored the new site manager and social worker. In turn, Ash Green has benefited from expertise at Dean Field, particularly in the use of phonics in Key Stage 1. There is shared planning, home school agreements and time for planning, preparation and assessment has been organised to allow teachers to meet their counterparts at the same time. Constant random notes to parents have been replaced with a weekly newsletter. The new headteacher has coordinated a restructuring of the staff, in which the support of the executive headteacher in handling grievance procedures and difficult disciplinary and employment matters has been indispensable.
From school to system leadership: the scaling up issue
The schools are generally ready and willing to share their expertise to a greater or lesser extent. Few schools in the sample beyond London had advanced skills teachers, either because there was little aspiration by teachers to become one within close-knit staff teams or because of little local authority encouragement. It also appears that headteachers in the most challenging and successful schools tend not to apply for recognition as National Leaders of Education and relatively few were School Improvement Partners. There is no doubt that some are so absorbed by their own school that a wider role holds little attraction; others are too modest to consider what they might have to offer. It is also easy to forget how much vigilance and energy are required. These are necessary to sustain the excellence that ensures that the often complex needs of every child are met.
The work in Calderdale, led by Ash Green, is a good example of the system leadership which is proving to be a reliable and effective approach to school improvement. Together with the other innovations recorded earlier, such as the appointment by the school of a qualified social worker as family liaison officer and a teaching mentor to ensure that teaching remains outstanding, the school is driving policy into new areas of professional autonomy. Such developments are reported to be watched with interest by the local authority and are reflected in the DCSF’s White Paper,\textsuperscript{25} which presents the Government’s view that ‘the school has responsibilities:
- first, to the pupils on its own roll
- second, to other children and young people in the wider area; and
- third, to the wider community which it serves.’
There is no doubt that these schools, by focusing on the first of these responsibilities, are excelling against the odds. The quality of their leadership, of and within the school, is critical to their success. The example of schools like St Sebastian’s and Ash Green also shows how such leadership can be used to the benefit of other schools without imperilling the quality and standards of the home school. Moreover, such partnerships provide an excellent incubator for growing school leadership skills at sub-headteacher level. There are different ways in which outstanding schools can reach out a hand to less successful schools and help them up. Should it not be an expectation that all should do this?
\textsuperscript{25} \textit{Your child, your schools, our future: building a 21st century schools system}, DCSF, TSO, 2009.
Pictures of success: the outstanding schools
These portraits of the 20 schools provide a brief introduction to each school.
The portraits are vignettes, compiled after visiting the schools and meeting their headteachers and others. The narratives give a flavour of some of the values as well as the strategies found in these schools. Inevitably they feature the headteachers, whose leadership is an important part of each story, although in every school there is extensive distribution of leadership and very strong teamwork.
The portraits do not seek to reproduce the schools’ latest inspection reports or their own web pages and documentation, as these are readily available online. Although the 20 headteachers have approved the profiles of their own schools, they did not choose or seek to influence the contents.
Note: In the tables of school data which follow, CVA denotes the Key Stage 1 to Key Stage 2 contextual value added indicator for the school, expressed within the range denoted by the 95% confidence limits. For example, the CVA indicator for Ash Green Primary School (next page), given as $100.8 \pm 0.5$ lies between 100.3 and 101.3. FSM denotes the percentage of pupils in the school eligible for a free school meal.
Key Stage 2 results for 2008 are derived from the DCSF Performance Tables; Key Stage 1 and other data are taken from validated RAISEonline 2008 Full Reports produced by Ofsted for each school, to which the school has access, and inspection grades are to be found in the most recent inspection reports published by Ofsted. (RAISEonline – reporting and analysis for improvement through school self-education – provides interactive analysis of school and pupil performance data.)
Ash Green Primary School, Calderdale
‘Ash Green is an outstanding school. There is a driving determination to ensure that pupils and adults in the school reach their full potential.’ (Ofsted, 2007)
Ash Green Primary School nestles in a hollow of the hills in a sprawling village with much social housing on the northern edge of Halifax. It serves a turbulent White British community where social disadvantage, low incomes, high unemployment and low aspirations make it hard for many families to cope. The school works tirelessly to support them and is prized and respected by the community, which is amazed by its effect on their children.
Nothing at Ash Green is quite what it seems. It is a double school, having taken over another nearby school which had been destined for closure. That school was in and out of special measures for nine years before Ash Green was asked to absorb it. The two school entities are led collaboratively by two headteachers: David Kirk and Mungo Sheppard, his erstwhile deputy at Ash Green. They have replicated Ash Green’s ‘DNA’ on both sites, providing the same curriculum, achieving similar high standards and mirroring the practices which make Ash Green so successful. The executive headteacher, David Kirk, is now supporting a third school which was struggling in this part of Calderdale. The DCSF has allowed Ash Green to take over the running of its neighbouring Sure Start Centre. This further increases the continuity of links with children and parents, as well as the extended day care that can be provided.
The school is highly focused in all it does. Teaching is consistently of the highest quality. Assessment for learning is well established as part of teaching and learning. Every child’s progress and well-being are monitored constantly and any wobbles are quickly stabilised. The school is staffed by a very strong team, many of whom are reluctant to work elsewhere, despite the unusually high expectations imbued by the school’s leadership. As to the secret of the school’s success, the Chair of Governors perhaps expressed it most passionately: ‘We don’t give up; our children, parents, community and the staff are driven to make sure the kids are achieving. They have the guts not to give up.’
School data
Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2
| 2008 data |
|-----------|
| Roll | 396 |
| Ages | 3 to 11 |
| CVA | 100.8 ± 0.5 |
| FSM | 51.1 |
| Ofsted report 2008 |
|---------------------|
| Judgements | Features |
| Outstanding | 23 |
| Good | 3 |
| Satisfactory | 1 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISeOnline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Banks Road Primary School, Liverpool
‘The high emphasis placed on “being a fully inclusive school where every child matters” is clear in all the school does… The school is extremely well led and managed with a strong focus on creating an exciting learning atmosphere in which pupils flourish.’ (Ofsted, 2007)
Sue Devereux OBE has been the headteacher of Banks Road Primary School for 10 years. Her long-term leadership, which has a number of distinctive features, underpins the school’s success. She is under no illusions at all about the background of many of the pupils, describing family and other circumstances, along with parenting skills in the area, as very poor. Many of the pupils have hardly ever gone beyond Garston, the school’s location. At the same time, she sees clearly the goodness in the children and the wish among the parents to do better by them. The ethos is characterised by ‘tough love’ – the children need to know their boundaries and experience success. This happens in school, which is why they like it.
When the headteacher took over, standards were too low and the teaching was weak and inconsistent. Teaching and planning were monitored; some staff left and more suitable replacements were recruited. High expectations of pupil behaviour were set, and significant improvements were achieved through positive reinforcement and reward systems, as well as a motivating curriculum. Annual Shakespeare productions are a notable feature. It has become the norm for pupils to behave and achieve well and have very positive attitudes. The school is now held in high regard within the community. Pupils take significant responsibility in school; for example, they have complete operational responsibility for the school library, which is theirs. As the school has developed, the headteacher has delegated many key functions to the deputy and subject leaders, including monitoring and lesson observations. The whole school is involved in self-evaluation.
Ten years ago, the school had a new, state of the art building to replace its Victorian building. This was carefully constructed so that, for example, ample space was given to the early years, which is the school’s highest priority. The opportunities offered by a new building to create a good learning environment were not wasted; judicious use of funding meant that corners were not cut; the project raised, and continues to raise, aspirations.
**School data**
**Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2**
| Year | School | England | Liverpool |
|------|--------|---------|-----------|
| 2006 | 280 | 230 | 220 |
| 2007 | 290 | 240 | 230 |
| 2008 | 280 | 230 | 220 |
**2008 data**
| Feature | Value |
|------------------|---------|
| Roll | 205 |
| Ages | 3 to 10 |
| CVA | 101.9 ± 0.6 |
| FSM | 49.6 |
**Ofsted report 2007**
| Judgement | Features |
|-----------|----------|
| Outstanding | 26 |
| Good | 0 |
| Satisfactory | 1 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISeOnline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Berrymede Junior School, Ealing
‘Berrymede Junior is an extremely happy place where pupils from a wealth of different faiths and cultures feel very much at home and make the most of their learning.’ (Ofsted, 2008)
Berrymede is a second home for its pupils, the great majority of whom live in the high-rise estate in Acton that surrounds the school. The pupils represent a wide and multilingual ethnic diversity, coming from homes in which 37 languages are spoken. A high proportion of the pupils are from Black African heritage and from refugee or asylum-seeking families. A common denominator is the relative poverty of the majority of the families.
The unusually high level of staff commitment to the school continues with the current headteacher, Mrs Lubna Khan, who took over the headship in 2008 from Robert Macfarlane, who retired after 28 years at the school. Staff are very committed to the school and its community. Although most remain at the school until retirement, there is no complacency. Standards are well above average and almost every child makes good progress from Year 3 to Year 6. The two Victorian buildings provide splendid facilities including specialist rooms for art, music and French. One of the four halls is a well-equipped gymnasium; there are two computer suites and an excellent library and resources. All parts of the school support learning and excite the enthusiasm of pupils.
Bob Macfarlane’s leadership was, from the start, very focused and visible. He spent his lunchtime with pupils with challenging behaviour, set an example in how to manage behaviour, and regularly taught mathematics to Year 6. Distributed leadership is a key strength and the headteacher gave staff the ‘trust and opportunities to develop their passions – they developed to the highest level’. This ethos has been continued by the new headteacher, Mrs Lubna Khan. The multicultural school community – pupils and staff – engages in new initiatives ‘often while others are still thinking about them’. Systems are robust, tried and tested, providing standard procedures for new staff and consistency for all.
**School data**
**Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2**
| Year | School | England | Ealing |
|------|--------|---------|--------|
| 2006 | 100 | 250 | 250 |
| 2007 | 100 | 250 | 250 |
| 2008 | 100 | 250 | 250 |
**2008 data**
| Feature | Value |
|------------------|---------|
| Roll | 280 |
| Ages | 7 to 11 |
| CVA | 102.5 ± 0.7 |
| FSM | 66.1 |
**Ofsted report 2008**
| Judgement | Features |
|-----------|----------|
| Outstanding | 21 |
| Good | 5 |
| Satisfactory | 0 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISeOnline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Bonner Primary School, Tower Hamlets
‘The dynamic and incisive leadership of the headteacher and an extremely effective leadership team have created a culture in which children believe in themselves and have the motivation to do their very best.’ (Ofsted, 2007)
About two thirds of the children attending Bonner Primary School, in the heart of Bethnal Green, are of Bangladeshi heritage, the next largest group being White British. Martin Tune says that his biggest challenge, when he became headteacher 14 years ago, was to raise standards in a community he knew well and in which, he believed, children could achieve more highly. There was a good foundation on which to build. At that time, it was a happy and hard-working school with strong values and principles which recognised the importance of individuals and their contribution.
The headteacher raised expectations through challenging everyone to think about the performance of the school, different groups, classes and individuals. The school began to make detailed use of the performance data which was becoming increasingly available, and now uses class, group and individual targets extensively. Recently the school has moved strongly towards personalised learning, in the context of a curriculum which is enriched by a range of experiences, many beyond the classroom, taught by enthusiastic teachers. Much is also done to involve parents in their children’s learning, to explain to them how progress is assessed and how individual children are supported to learn. The school’s results show the success of these different strategies.
A strength of the school is the commitment to building consensus. This provides a sense of direction and a structure within which the individual talents and inclinations of staff can be applied: ‘autonomy within a framework’. Everyone is committed to the school’s ethos and hard-working culture, dedicated to providing teaching and learning which is well informed and carefully tailored to the children’s needs.
**School data**
**Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2**
| Year | School | England | Tower Hamlets |
|------|--------|---------|---------------|
| 2006 | 300 | 250 | 200 |
| 2007 | 300 | 250 | 200 |
| 2008 | 300 | 250 | 200 |
**2008 data**
| Feature | Value |
|------------------|---------|
| Roll | 419 |
| Ages | 4 to 11 |
| CVA | 101.8 ± 0.5 |
| FSM | 51.3 |
**Ofsted report 2007**
| Judgement | Features |
|-----------|----------|
| Outstanding | 26 |
| Good | 1 |
| Satisfactory | 0 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISEonline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Cotmanhay Infant School, Derbyshire
‘The school is a happy and welcoming place where children’s enthusiasm for learning is very real… Children of all abilities make exceptionally good progress.’ (Ofsted, 2007)
The area serves a very challenged White British community in the village of the same name just north of Ilkeston. There is high unemployment and social disadvantage and many children are on the child protection register. Three staff are trained to deal with such concerns. The current headteacher, Jill Boyle – already an experienced headteacher – took over a good school from a long-serving predecessor and led it to become outstanding.
The school is a shining example of putting the child at the heart of all that takes place. Staff have to tackle the very low attainment on entry by building children’s self-esteem and showing them how to learn. The school has an excellent ‘nuture room’ for calming and supporting emotionally disturbed children and has places for other schools in the authority. Staff visit other schools to share their expertise. The staff are seen as the greatest resource and the head’s approach does not entertain failure. Whatever issue the children bring in through the door is dealt with and every step forward is reinforced and celebrated. There is a strong ‘can do’ culture and ethos for children, staff and parents. High expectations, coupled with positive recognition of staff and children, are the order of the day.
The head and senior leadership team are therefore determined in their quest to find ways of reaching yet higher standards, by raising their expectations and constantly asking: ‘What else can we give them?’ When the school was inspected in 2007 it was judged to be outstanding in all aspects. The school has the overwhelming support of parents, one of whom commented: ‘Our children are achieving beyond our expectations.’ Many others wrote of their confidence that the school was giving their children’s education a first-class start. The school has workshops for parents, helping them to promote basic skills in a ‘fun’ way.
School data
Percentage of pupils reaching Key Stage 1 standard:
Level 2B or over
| 2008 data |
|-----------|
| Roll | 234 |
| Ages | 3 to 7 |
| CVA | N/A |
| FSM | 42.3 |
| Ofsted report 2007 |
|---------------------|
| Judgements | Features |
| Outstanding | 25 |
| Good | 0 |
| Satisfactory | 2 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISeOnline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Cubitt Town Junior School, Tower Hamlets
‘The school’s motto, “Only the best is good enough”, signifies a determined belief that the children are entitled to the very best in education and sends a strong message to pupils that the school expects the highest endeavour from them… [The result is]... outstanding academic achievement and personal development.’ (Ofsted, 2007)
Cubitt Town Junior School has an interesting and unusual context. Situated in the south of the Isle of Dogs, the Canary Wharf towers are close by and some very rich people live close to areas of severe social deprivation. The community has changed radically in recent years. Previously a very white area with long-established families, the school’s intake is now ethnically diverse. It is also very slowly becoming more socially diverse, as workers from Canary Wharf move to the area and recognise the school’s undoubted quality.
The school is a very different place from the time in the 1990s when Ofsted judged it to have ‘serious weaknesses’. National test results have risen considerably since then and the school is now judged to be outstanding in all respects. These improvements have been made with few changes of staff: the school has always had very stable staffing. The headteacher, Ursula Rubery, who took over at this time, recently retired. She was very clear with staff about her main aims: to improve national test results, to ensure that pupils were happy at school, to improve the site and to boost staff morale and training.
The school has a welcoming, caring and very positive ethos. The day is very structured: all classes do English and mathematics at the same time and the whole school reads together. Leaders are not afraid to make bold changes. As the acting headteacher says: ‘We’ve gone our own way.’ This meant abandoning the National Literacy Strategy from Year 3 when they found that it didn’t meet their children’s needs and developing their own rigorous approach to literacy. The school also groups pupils by ability in each year group for mathematics and English. Everything the school does is carefully considered to ensure it is right for pupils.
**School data**
**Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2**
| 2008 data | |
|-----------|----------|
| Roll | 388 |
| Ages | 7 to 11 |
| CVA | 100.8 ± 0.5 |
| FSM | 62.7 |
**Ofsted report 2007**
| Judgements | Features |
|------------|----------|
| Outstanding| 24 |
| Good | 1 |
| Satisfactory| 1 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISeOnline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Gateway Primary School, Westminster
‘For three years running, Gateway pupils have achieved as well as those in the top one per cent of schools nationally… not least because of high expectations and the inspirational guidance of the headteacher and his senior team.’ (Ofsted, 2008)
This large school serves an immediate and densely populated catchment area with many homes in flats overlooking the school. The radius of the catchment area in this large and heavily oversubscribed school – once said to be ‘59 paces from the boundary if you were not a sibling’ – is a few hundred metres. The community is an ethnically rich mixture ranging from a Muslim Asian majority, with a sizeable group of Bangladeshi heritage, to a growing population of eastern European immigrants and refugee and asylum-seeking families.
Pupils make very rapid progress throughout the school, achieving outcomes that are well above national average, from a below-average base. Pupils’ behaviour, enjoyment and attitudes are of a high order. To achieve this, the school has been on a long journey, and has many long-standing staff and governors. The current headteacher, Keith Duggan, came to the school in 1990 as a school journey volunteer, eventually becoming the headteacher in 2004. Self-effacingly, Keith sees the development of the school as ‘largely based on serendipity: me and others being in the right place at the right time’. This belies a drive for doing the best for children which, together with skilful management and encouragement of people, and rigorous systems and approaches, has established an ethos, loyalty and commitment that give the school its professional identity. The headteacher and his predecessor, Philip Allen, have surrounded themselves with good people, by recruiting, inducting and developing staff well, in line with the school’s vision, and allowing them scope to develop their practice. Systems are strong and well honed. The use of information and communication technology is central both to management and to teaching and learning. Characteristically, the headteacher and governors are giving careful attention to succession planning as changes in the school’s leadership approach.
School data
Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2
| 2008 data |
|-----------|
| Roll | 609 |
| Ages | 3 to 11 |
| CVA | 102.2 ± 0.6 |
| FSM | 49.2 |
| Ofsted report 2007 |
|---------------------|
| Judgements | Features |
| Outstanding | 23 |
| Good | 2 |
| Satisfactory | 1 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISeonline 2008 Full Reports; the school’s most recent Ofsted inspection report.
John Burns Primary School, Wandsworth
‘An outstandingly successful school...the sustained improvements owe much to the inspirational leadership of the headteacher, the dedicated senior team and the very committed staff.’ (Ofsted, 2007)
John Burns is an oversubscribed one-form entry primary school in an area of dense but low-rise housing in Battersea, bounded by three major roads and a main railway line. The area is very mixed but the school tends to admit children from the poorer families locally, with more affluent families often using schools a little further away. The figures for the numbers of pupils who speak English as an additional language, who have special educational needs or who come from minority ethnic heritages are all high; social deprivation is also high. There are significant proportions of Black Caribbean, Black African and White British pupils.
This is a school which has achieved great success for its pupils and community by doing the important basic things very well. These include high expectations and excellent teaching, using well-tested methods. Detailed, shared knowledge of each child’s circumstances enables focused care and personalisation of provision for that child. Much of the school’s success is due to the leadership of the headteacher, Maura Keady, over the last 11 years. She knows the area well and has an immediate knowledge of the needs, aspirations, and challenges in the relatively disadvantaged school community.
She has moved gradually from undertaking a lot of teaching in the early days, which demonstrated good practice and tackled behaviour, to a much more strategic role. She coached staff personally, a process which still continues, although less intensively now. The job was tough. She dealt with several staff performance issues at that early stage. Many other staff also resigned once they realised what would be expected of them, opening the way to appoint new staff. They were chosen carefully: people who were enthused by Maura Keady’s vision and could subscribe to a culture of high expectations. The school is now a very successful, heavily oversubscribed and highly regarded school for local children.
**School data**
**Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2**
| Year | School | England | Wandsworth |
|------|--------|---------|------------|
| 2006 | 280 | 100 | 90 |
| 2007 | 290 | 110 | 100 |
| 2008 | 270 | 120 | 110 |
**2008 data**
| Feature | Value |
|------------------|---------|
| Roll | 218 |
| Ages | 3 to 11 |
| CVA | 100.7 ± 0.8 |
| FSM | 40.3 |
**Ofsted report 2008**
| Judgement | Features |
|-----------|----------|
| Outstanding | 26 |
| Good | 1 |
| Satisfactory | 0 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISEonline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Michael Faraday is situated on the Aylesbury estate in the heart of Walworth, London. The school serves an area of high social and economic deprivation. The pupils are from a very wide range of backgrounds, reflecting the area’s ethnic and cultural diversity. Over 80% of the pupils are from minority ethnic groups. About 29% of the school population is African and over 20 different languages are represented. Most pupils are from the local estate, where housing is provided for families with high social needs.
The school prides itself on its ethos of treating others as you would like to be treated. It teaches pupils to be proud of themselves and the school community. As well as academic achievement the school aims to give the children a sense of social responsibility and respect for others, developing confident children with lively, enquiring minds. Class sizes are kept deliberately small. The school has a policy of employing high-quality support staff throughout each year group. They are then given a school-based training programme, ensuring that all children can receive specialist adult support at all times. To finance this, all staff – excluding the headteacher, Karen Fowler – have class responsibilities, even though the school has over 350 pupils.
At the time of the visit, an extensive building programme had just begun to modernise Michael Faraday School into a state of the art primary school, with more pupil places, expanded community facilities and a new, integrated adult learning centre. The new school is scheduled to open in September 2010. The pupils have been involved in planning the building: there are windows in the wooden cladding around the playground for pupils to see the work in progress.
During the rebuilding the corridors are used as teaching spaces and for lunch: the walls display high-quality work by pupils, of which they are very proud. The focus on books and reading is very apparent. Teaching is currently in small rooms but spills into shared areas for each year group; as one pupil pointed out: ‘We don’t just learn in the classrooms.’
### School data
**Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2**
| Year | School | England | Southwark |
|------|--------|---------|-----------|
| 2006 | | | |
| 2007 | | | |
| 2008 | | | |
- **Level 4 and above**
- **Level 5 and above**
#### 2008 data
| Feature | Value |
|---------------|---------|
| Roll | 331 |
| Ages | 3 to 11 |
| CVA | 102.2 ± 0.6 |
| FSM | 45.9 |
#### Ofsted report 2007
| Judgement | Features |
|-----------|----------|
| Outstanding | 25 |
| Good | 2 |
| Satisfactory | 0 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISeOnline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Ramsden Infant School, Cumbria
‘Pupils achieve extremely well... because teaching, the curriculum and the care, guidance and support provided are outstanding and are carefully tailored to pupils’ learning needs.’ (Ofsted, 2007)
Ramsden is in the heart of the terraced streets of Barrow in Furness, overlooked by houses on all four sides. This has its advantages, for their occupants – newly united through the local residents’ association – can look out for the school. It is seen locally as the rock of the community. It serves a tough white working class environment where hardship is indigenous and the lives of many children are chaotic. The catchment area is in the lowest 5% of wards in terms of deprivation.
The school has had a good reputation for a long time. This draws families from beyond the catchment area and the roll is rising. Children attain better than the national average by the end of Key Stage 1 and those who are eligible for free school meals do as well as or better than the other pupils. The school has a very close relationship with homes, and there is direct contact with a parent or carer of virtually every child every day. Although the school does not have an extended day, a National Children’s Homes centre provides childcare before and after school. The school provides care before school and there are several after-school clubs. There is a pre-nursery, ‘Robins’, managed by the governors, and the spring- and summer-born children enter Robins rather than the nursery.
The headteacher, Nicky Brewerton, has been here for the last three highly positive inspections. The essence of the school’s success is committed leadership and seamless teamwork. Each member of staff knows every child. They are passionate about the children and about their education and well-being. The children feel safe, loved and secure. Parents who had bad experiences when at school themselves trust the school, and it is seen by them and their children as a place of safety.
School data
Percentage of pupils reaching Key Stage 1 standard: Level 2B or over
| 2008 data |
|-----------|
| Roll | 151 |
| Ages | 3 to 7 |
| CVA | N/A |
| FSM | 35.4 |
| Ofsted report 2007 |
|---------------------|
| Judgements | Features |
| Outstanding | 24 |
| Good | 3 |
| Satisfactory | 0 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISEonline 2008 Full Reports; the school’s most recent Ofsted inspection report.
St John the Divine Church of England Primary School, Lambeth
‘This is an outstanding school of which pupils and their parents are justifiably very proud. Outstanding teaching and an excellent curriculum are the reasons why pupils do so well academically and personally.’ (Ofsted, 2008)
This gem of a school, tucked away behind Kennington Road, could be mistaken at first sight for a Victorian workhouse. The literal description is not too misplaced, for the Victorian facade conceals an industrious school community, dedicated to the business of learning as well as the ethos of helping one another. The unpromising surroundings have been transformed into stimulating classrooms; derelict buildings have been turned into music and drama workshops, and displays at every turn demand attention, thought and a response.
The school has nursery provision and serves adjacent local authority housing estates where social and economic deprivation is severe. Attainment on entry to the school is generally and historically low, often very low. The school views the challenges of many children’s circumstances pragmatically and makes the most of the rich diversity of their cultures to ensure that, by the time pupils leave the school in Year 6, they achieve very highly. Value added at the end of Key Stage 2 is very good despite high scores at the end of Key Stage 1.
The headteacher, Chris Cosgrove, joined the school in 1995, at a time when it had been judged to require special measures. A London newspaper had labelled it as the ‘worst school in the country’. The headteacher recognised the skills and expertise of the staff who remained after the school was deemed to be failing its pupils. Even then, teamwork was a strength and staff were determined to tackle problems rather than saying: ‘This is not my problem’. The school came out of special measures two years later, when it was judged by Ofsted to be very good, and it has had two further outstanding inspection reports. In 2009, the deputy, Eileen Muresan, was leading the school temporarily. It is clear that, in the headteacher’s absence, there is no letting up in the mission to sustain the school’s success.
**School data**
**Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2**
| Year | School | England | Lambeth |
|------|--------|---------|---------|
| 2006 | 300 | 270 | 240 |
| 2007 | 290 | 260 | 230 |
| 2008 | 280 | 250 | 220 |
**2008 data**
| Feature | Value |
|---------------|---------|
| Roll | 234 |
| Ages | 3 to 11 |
| CVA | 101.5 ± 0.7 |
| FSM | 32.2 |
**Ofsted report 2008**
| Judgement | Features |
|-----------|----------|
| Outstanding | 27 |
| Good | 0 |
| Satisfactory | 0 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISEonline 2008 Full Reports; the school’s most recent Ofsted inspection report.
St Monica’s Catholic Primary School, Sefton
‘The headteacher provides strong and purposeful leadership. Staff, children and parents know exactly what is expected of them. The staff are committed to the school and keen to improve upon the very high standards that are achieved.’ (Ofsted, 2008)
The cachet of ‘outstanding’ provides motivation for this school, which strives to maintain this standard in all it does. The headteacher, Paul Kinsella, and the senior team have brought stability to the school since 2004, following a period when headteachers changed rapidly – although the staff carried on with their excellent work regardless.
The school’s intake almost entirely comprises children from White British families from an area in which social deprivation is high. The attainment of children arriving at the school is well below expectations, with children’s skills in language and communication being especially under-developed. A strong emphasis on language and literacy early on pays dividends later. Most children have developed early reading and writing skills by the end of the Early Years Foundation Stage and writing is a highly visible strength of the school thereafter.
The school is very well led and managed, with clear demarcation of responsibilities. The headteacher leads on strategic aspects and the staff on operational matters, although much of the headteacher’s time of late has been committed to the building programme for a new school. The disruptive three-year building programme has not been allowed to distract from the core purpose of providing outstanding education for all children.
Keys to success include high expectations, a significant investment in the teaching workforce to ensure that children are well supported by teachers and teaching assistants, and excellent analysis of assessment data for monitoring and tracking pupils’ progress. Working practices are highly consistent. The good links with families extend to excellent opportunities for family learning and the school has a number of staff who started as voluntary parent helpers.
### School data
**Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2**
| Year | School | England | Sefton |
|------|--------|---------|-------|
| 2006 | 250 | 120 | 130 |
| 2007 | 270 | 140 | 150 |
| 2008 | 290 | 160 | 170 |
#### 2008 data
| Feature | Value |
|------------------|-------------|
| Roll | 441 |
| Ages | 3 to 11 |
| CVA | 100.7 ± 0.5 |
| FSM | 27.8 |
#### Ofsted report 2008
| Judgement | Features |
|-----------|----------|
| Outstanding | 25 |
| Good | 2 |
| Satisfactory | 0 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISeOnline 2008 Full Reports; the school’s most recent Ofsted inspection report.
St Paul’s Peel Church of England Primary School, Salford
‘The excellent leadership and management help the staff to release the hidden potential in each pupil. As parents say, they go the extra mile to help children to do as well as they can.’ (Ofsted, 2006)
St Paul’s Peel is an inner-city school in an area of high disadvantage, serving mainly White British families. Despite its name, the school is a voluntary controlled primary school, its intake unrestricted by an admission criterion related to religious affiliation. In September 2004, the headteacher, Rose O’Gara, inherited what she felt was a good school in challenging circumstances.
Continuity is seen as a vital ingredient for the further development of the school. It enjoys unusual continuity of leadership, since two of its previous headteachers continue to be involved as supply teachers with the school, with the support of the current headteacher. Leadership is distributed well, with roles and accountabilities well-defined so as to maintain high standards and promote innovation. Children’s horizons are constantly broadened by experiences which range from performing with the Hallé Orchestra to making sushi.
The atmosphere in the school is highly positive, encouraging and affirming. The rarity of any misbehaviour is attributed largely to a very strong ethos based on mutual support and individual responsibility. There is little need to apply the behaviour policy, which is quite an achievement for a school serving a deprived estate with a high crime rate and many dysfunctional families.
All opportunities are taken to raise aspirations. English and mathematics benefit from much specialist teaching, and the exceptional results in the national tests speak for the success of the school’s beliefs and practices.
**School data**
Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2
| Year | School | England | Salford |
|------|--------|---------|--------|
| 2006 | 180 | 230 | 270 |
| 2007 | 150 | 220 | 260 |
| 2008 | 190 | 210 | 250 |
**2008 data**
| Feature | Value |
|------------------|---------|
| Roll | 305 |
| Ages | 3 to 11 |
| CVA | 102.0 ± 0.6 |
| FSM | 42.3 |
**Ofsted report 2006**
| Judgement | Features |
|-----------|----------|
| Outstanding | 23 |
| Good | 4 |
| Satisfactory | 0 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISeOnline 2008 Full Reports; the school’s most recent Ofsted inspection report.
St Sebastian’s Catholic Primary School and Nursery, Liverpool
‘This is an outstanding school that gives pupils an excellent all-round education. Central to its success is extremely effective leadership, high-quality teaching and a very rich and stimulating curriculum.’ (Ofsted, 2008)
St Sebastian’s serves an area of severe social disadvantage, exacerbated by problems of drugs, alcohol and poverty, with many pupils having limited language development when they join the school. A quarter of the pupils are from minority ethnic groups. Dennis Hardiman has been the headteacher of St Sebastian’s for 25 years. The school has been in federation with a smaller Catholic school, St Cuthbert’s, since 2006. The inspection of St Cuthbert’s in 2008 found ‘a school which provided a good education with many outstanding features’. Leadership and management of the two schools are excellent.
The Chair of Governors, who just predates the headteacher, describes the school as it was in 1983 as ‘a basic school, with a good spirit but standards that were much lower than today’. The headteacher, in his view, has ‘moved ahead of the times and inspired the unique community spirit’ which surrounds the school today. The staffing is unusually stable, providing a family atmosphere and much communal working, facilitated by the open-plan building.
As a full extended school, St Sebastian’s is a hub for the community, providing integrated, high-quality wrap-around day care from 0 to 11 years. The commitment to the community is embedded – parents took time off work to meet inspectors and to highlight the role the school plays in their lives. The school is involved not only in ensuring high academic success but also in the emotional well-being of the whole family. The pupils will do well if the family and community feel stable and secure. It will go the extra mile to ensure this.
**School data**
**Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2**
| Year | School | England | Liverpool |
|------|--------|---------|-----------|
| 2006 | 280 | 270 | 260 |
| 2007 | 270 | 260 | 250 |
| 2008 | 280 | 270 | 260 |
**2008 data**
| Feature | Value |
|------------------|---------|
| Roll | 237 |
| Ages | 3 to 11 |
| CVA | 101.5 ± 0.6 |
| FSM | 36.2 |
**Ofsted report 2008**
| Judgement | Features |
|-----------|----------|
| Outstanding | 24 |
| Good | 2 |
| Satisfactory | 1 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISEonline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Shiremoor Primary School, North Tyneside
‘The headteacher’s visionary and unremitting approach to continually improving teaching, learning and the care that pupils receive is at the heart of the school’s success.’ (Ofsted, 2008)
Formerly a mining village, this large Tyneside estate reflects considerable economic disadvantage and social issues. Most children who attend the school are of White British heritage, with fewer than 5% from minority ethnic groups. The school has the vision and commitment to make light of its many challenges, responding readily to the needs of its children – like providing a ‘second’ breakfast to provide the fuel for learning – and sustaining close links with both parents and the range of services which operate in the area, including police, fire brigade and health services and local businesses. Pupils love the school and know that the adults will sort out any problems they have.
Perhaps the most important vehicle for achieving success is the approach taken to managing behaviour, which began in 1990 when Helen Clegg became the headteacher. This involves strong moral purpose as well as being very practical. It is based on good manners, paying attention and mutual respect. The school has developed clear and well-established rules with the children, accompanied by rewards and sanctions. These are displayed prominently, explained to parents and demonstrated by staff. But the rewards are not what enable the pupils to behave so well so much as the school’s positive ethos and engaging curriculum.
The school has exceptionally well-organised management systems where what needs to be done, or adds value, is done efficiently by staff at the right level and what doesn’t, isn’t. Staff morale at all levels is very high; they see themselves as fortunate to work, with autonomy and enjoyment, in such a rewarding setting. The last inspection reported teachers’ enthusiasm for learning as infectious. Pupils like being expected to do things for themselves, which brings a sense of achievement and spurs them on to new challenges.
**School data**
**Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2**
| Year | School | England | N Tyneside |
|------|--------|---------|------------|
| 2006 | 273 | 256 | 260 |
| 2007 | 273 | 256 | 260 |
| 2008 | 273 | 256 | 260 |
**2008 data**
| Feature | Value |
|------------------|---------|
| Roll | 388 |
| Ages | 3 to 11 |
| CVA | 100.8 ± 0.6 |
| FSM | 37.2 |
**Ofsted report 2008**
| Judgement | Features |
|-----------|----------|
| Outstanding | 25 |
| Good | 2 |
| Satisfactory | 0 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISEonline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Simonswood Primary School, Knowsley
‘This outstanding school has considerable strengths, not least the inspirational leadership of the headteacher and pupils’ excellent personal development that reflects the outstanding quality of care, guidance and support they receive.’ (Ofsted, 2008)
Simonswood serves an urban area of very high social and economic disadvantage. Most pupils are from a White British background but a few Polish children speak English as an additional language. The headteacher, Phil Newton, joined the school eight years ago. He notes that teamwork is essential in this school, ‘working together with a shared vision for pupils and staff’. Despite a lot of staff changeover due to promotion, the school remains successful because systems are embedded and staff and children respect each other and work together as a team.
The school had organised non-teaching time for staff before the Government’s workforce reforms introduced planning and preparation time. Performance management has also been a feature of the school for a long time, setting targets for staff linked to pupils’ outcomes, with a rolling programme of continuing professional development which includes work-life balance. The monitoring of teaching and learning is linked to professional development, provided internally or through the local authority.
Enjoyment, confidence, challenge and support, respect, lifelong learning and quality are the values which underpin developments in the school. These are communicated through high expectations, which deal, for example, with standards, behaviour and relationships, and uniform. ‘The pupils are proud to wear the badge of the school, it gives them a sense of belonging.’
School data
Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2
| Year | School | England | Knowsley |
|------|--------|---------|----------|
| 2006 | 230 | 100 | 90 |
| 2007 | 270 | 100 | 100 |
| 2008 | 280 | 100 | 100 |
2008 data
| Feature | Value |
|------------------|---------|
| Roll | 217 |
| Ages | 3 to 11 |
| CVA | 100.8 ± 0.7 |
| FSM | 47.5 |
Ofsted report 2008
| Judgement | Features |
|-----------|----------|
| Outstanding | 24 |
| Good | 1 |
| Satisfactory | 2 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISEonline 2008 Full Reports; the school’s most recent Ofsted inspection report.
The Orion Primary School, Barnet
‘This is an outstanding school which is very successful in “recognising a star in everybody”.’ (Ofsted, 2006)
The Orion School serves an area of high social and economic deprivation. The pupils are from a very wide range of backgrounds, reflecting the ethnic and cultural diversity of the area the school serves. Approximately 69% of the pupils are from minority ethnic groups. About 61% of the school population is Black African, of which 26% are of Somalian heritage, and 21% is White British. Many families are refugees or seeking asylum. The school has a base on its site for re-integrating pupils who have been permanently excluded.
The Orion school is a ‘fresh start’ school formed by the amalgamation of two failing schools (infants and juniors). The headteacher, Chris Flathers, took up the post, his third headship, in January 2000. The main barriers included poor behaviour, low self-esteem and the disengagement of parents. He appointed the current deputy headteacher and the two schools were ‘rebranded’ and named the ‘The Orion’, a name chosen to reflect the ethos they wanted to create – ‘Recognising the star in everyone’. Priorities included focusing on behaviour, teaching and learning.
Establishing the ethos and raising expectations were two main challenges. Some staff needed to overcome an attitude which suggested: ‘You can’t do anything with these children.’ They were expected not only to instruct children but also to guide and motivate them. Members of the senior leadership team are a source of information, advice and support. A problem such as managing behaviour is everyone’s problem, not just the individual’s. Leaders encourage staff and pupils alike to approach every day as a fresh start. They visit classrooms daily, welcome parents daily and have an open door policy for staff, pupils and parents. ‘We have created a family; a family playing music, sharing breakfast (staff and pupils) and celebrating success’, with after-school events for staff and pupils.
School data
Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2
| 2008 data |
|-----------|
| Roll | 468 |
| Ages | 3 to 11 |
| CVA | 100.5 ± 0.5 |
| FSM | 47 |
| Ofsted report 2006 |
|---------------------|
| Judgements | Features |
| Outstanding | 21 |
| Good | 5 |
| Satisfactory | 1 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISeOnline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Welbeck Primary School, City of Nottingham
‘As a result of outstanding leadership and management, this is an outstanding school. The school communicates very well with parents and has developed many ways of supporting them in helping their children learn.’ (Ofsted, 2008)
This one-form entry primary and nursery school serves the Meadows, an area close to the centre of Nottingham. There is considerable ethnic diversity and over 20 home languages are spoken by children; 68% are from minority ethnic groups, a mixture of Black African, Black Caribbean, Asian and some Polish children. The school is popular and heavily oversubscribed. This is due both to the excellence of the school, which has an outstanding reputation, and to the recent reduction of five schools in the Meadows to three.
The Meadows is a vibrant and cohesive community, but has occasionally witnessed incidents involving drugs or guns. The headteacher, Carol Norman, and staff share a clear vision and determination that all children will succeed. They aim to give families the belief that their children can and will achieve. The school reflects high expectations by regarding every child as gifted and talented. It is changing, improving and reinventing itself. This is illustrated, for example, by espousing internationalism in the last few years, and the school now has links with countries as far apart as Sri Lanka and Spain. Staff, including teaching assistants, visit schools in these countries to pave the way for collaboration and exchanges.
None of this detracts from the very strong commitment to children, families and the community. The child is ‘at the core’ – the top priority in all of their work. Many of the children need nurture and support. There is stable staffing. Staff are highly committed to supporting children, parents and families. As usual, there is a small group of parents who are hard to engage, but in general all parents respect and support the school. As many as 97% of parents attended the school’s last open evening. The school follows up if parents don’t attend.
School data
Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2
| 2008 data |
|-----------|
| Roll | 240 |
| Ages | 3 to 11 |
| CVA | 100.3 ± 0.7 |
| FSM | 41.9 |
Ofsted report 2008
| Judgements | Features |
|------------|----------|
| Outstanding| 24 |
| Good | 2 |
| Satisfactory| 1 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISeOnline 2008 Full Reports; the school’s most recent Ofsted inspection report.
William Ford Church of England Junior School, Barking and Dagenham
‘This is an outstanding school in which pupils make excellent progress to reach exceptionally high standards [through] a combination of high-quality teaching, care and leadership.’ (Ofsted, 2006)
William Ford Junior School has been a highly successful school for many years. Recently, the school’s population has changed considerably, from almost all White British pupils to an intake which is much more ethnically mixed. Pupils from different communities get on well together. Levels of unemployment in the local area are high and parents have often had a negative experience of school themselves. Low aspirations can be a problem and staff work hard to persuade pupils that they can ‘be anything they want to be’. Successes are celebrated and much is done to enrich pupils’ lives and motivate them, but this is also a school where pupils are rigorously challenged. However low a pupil’s attainment is when they enter the school, staff expect them all to attain high standards by the time they leave.
There is a powerful culture of high expectations and challenge for both staff and pupils at the school. This begins with the headteacher, Mandy Short, and the governors, who question the school leaders rigorously about the performance of the school and progress of individual pupils on the basis of the data they receive. The outcomes of lesson observations are also shared and subject to critique. If a satisfactory lesson has been observed, the questions for leaders will be: ‘How did you follow it up? What did you do about it?’ Such high levels of rigour and consistency are keys to the school’s success. The quality of lessons is consistently high. The school invests in staff induction, training and development. This contributes to great job satisfaction and staff turnover is relatively low.
National test results remain impressively high, with substantial proportions of children exceeding Level 4 attainment. The relatively recent change of headship has sustained the school’s very high level of effectiveness.
**School data**
**Total of the percentages of pupils achieving Level 4 or Level 5 in each of English, mathematics and science at Key Stage 2**
| Year | School | England | Bar’ and D’ham |
|------|--------|---------|----------------|
| 2006 | 150 | 230 | 280 |
| 2007 | 130 | 240 | 290 |
| 2008 | 140 | 250 | 300 |
**2008 data**
| Feature | Value |
|------------------|---------|
| Roll | 335 |
| Ages | 3 to 11 |
| CVA | 102.0 ± 0.4 |
| FSM | 25.1 |
**Ofsted report 2006**
| Judgement | Features |
|-----------|----------|
| Outstanding | 25 |
| Good | 1 |
| Satisfactory | 0 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISEonline 2008 Full Reports; the school’s most recent Ofsted inspection report.
World’s End Infant and Nursery School, Birmingham
‘Children get off to an excellent start in the nursery and reception. Consistently strong teaching and high-quality support mean that pupils make excellent progress across the school.’ (Ofsted, 2007)
This school has achieved three outstanding Ofsted inspection reports and the present headteacher, Gillian Griffiths, who took over the school three years ago, has successfully maintained its high quality. The school serves a mixed area in the south-west of Birmingham. Levels of unemployment and social disadvantage are high, and there are problems with drug misuse and child protection. The school has a unit for visually impaired children, which it shares with the attached junior school. Levels of attainment on entry to the 52-place nursery are low, with poor language and social skills. A number of children have social and emotional problems. Children make exceptionally good progress in the Early Years Foundation Stage and, by the end of Key Stage 1, they achieve above the national and local authority averages in all aspects.
The keys to the school’s success are seen by one member of staff as ‘working together as a team; talking non-stop about and reflecting on teaching and learning in the staff room; the commitment and quality of the work of the teaching assistants; the leadership of the headteacher; and talking to parents – you’ve got to meet them face to face’. The school’s motto is: ‘In pursuit of excellence, we work together for all the children in our care.’ The headteacher sees the staff as the greatest resource because the high quality of teaching has an impact on learning and standards of achievement. She feels that the mix of experienced, enthusiastic staff, some of whom have been at the school for many years yet continue to take new initiatives in their stride, and less experienced but equally enthusiastic and talented teachers, is related to their continuing success. In addition, the large number of experienced and qualified support staff also contribute greatly to the life of the school. They add a wide variety of skills and talents that contribute significantly to the children’s learning.
School data
Percentage of pupils reaching Key Stage 1 standard: Level 2B or over
| 2008 data |
|-----------|
| Roll | 256 |
| Ages | 3 to 7 |
| CVA | N/A |
| FSM | 29.1 |
| Ofsted report 2007 |
|---------------------|
| Judgements | Features |
| Outstanding | 25 |
| Good | 2 |
| Satisfactory | 0 |
| Inadequate | 0 |
Sources of data: DCSF Performance Tables; RAISEonline 2008 Full Reports; the school’s most recent Ofsted inspection report.
Twenty outstanding primary schools – Excelling against the odds
Further reading
Ofsted publishes a wide range of reports on subjects and aspects of education. The following list features a selection of reports published since September 2005. These reports are available from Ofsted’s website, www.ofsted.gov.uk.
*An evaluation of National Strategy intervention programmes* (070256), January 2009
*Best practice in self-evaluation: a survey of schools, colleges and local authorities* (HMI 2533), July 2006
*Curriculum innovation in schools* (070097), October 2008
*Embedding ICT in schools – a dual evaluation exercise* (HMI 2391), December 2005
*English at the crossroads: an evaluation of English in primary and secondary schools 2005/08* (080247), June 2009
*Evaluation of the Primary and Secondary National Strategies 2005/07* (070033), February 2008
*Excellence in cities: managing associated initiatives to raise standards* (HMI 2595), December 2005
*Improving behaviour and attendance in primary schools* (HMI 2477), July 2005
*Learning from the best… Lessons from the outstanding providers identified by Ofsted in 2006/07* (080127), November 2008
*Learning outside the classroom: how far should you go?* (070219), October 2008
*Looked after children – good practice in schools* (070172), May 2008
*Mathematics: understanding the score* (070063), September 2008
*Parents, carers and schools* (070018), July 2007
*Race equality in education: good practice in schools and local education authorities* (HMI 589), November 2005
*Safeguarding children: the third joint chief inspectors’ report on arrangements to safeguard children* (080063), July 2008, www.safeguardingchildren.org.uk
*Sustaining improvement: the journey from special measures* (070221), June 2008
*The Annual Report of Her Majesty’s Chief Inspector of Schools 2005/06* (HMI 20060008), November 2006
*The Annual Report of Her Majesty’s Chief Inspector of Education, Children’s Services and Skills 2006/07* (20070035), October 2007
*The Annual Report of Her Majesty’s Chief Inspector of Education, Children’s Services and Skills 2007/08* (080196), November 2008
*The deployment, training and development of the wider school workforce* (070222), November 2008
*The exclusion from school of pupils aged four to seven* (090012), June 2009
*The impact of integrated services on children and their families in Sure Start children’s centres* (080253), July 2009
*The importance of ICT: information and communication technology in primary and secondary schools, 2005/08* (070035), March 2009
*Using data, improving schools* (070260), August 2008
*White boys from low-income backgrounds: good practice in schools* (070220), July 2008
The Office for Standards in Education, Children’s Services and Skills (Ofsted) regulates and inspects to achieve excellence in the care of children and young people, and in education and skills for learners of all ages. It regulates and inspects childcare and children’s social care, and inspects the Children and Family Court Advisory Support Service (Cafcass), schools, colleges, initial teacher training, work-based learning and skills training, adult and community learning, and education and training in prisons and other secure establishments. It rates council children’s services, and inspects services for looked after children, safeguarding and child protection.
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EFFECTS OF SPHERICAL FILLERS ON THE PROCESSABILITY AND MECHANICAL PROPERTIES OF PA613 AND PP-BASED LASER SINTERING DRY BLENDS
I. Kletetzka*, R. Gawlikowicz*, H.-J. Schmid*
* Direct Manufacturing Research Center (DMRC) and Particle Technology Group, Paderborn University, Germany
Abstract
Polymer materials filled with particles may show substantially altered mechanical properties. Therefore, it is an important aim to be able to tailor the mechanical properties of LS components by adding fillers and thus to create new application areas for additively manufactured components. In this work, the influences of spherical fillers on the processing properties and the resulting mechanical properties of laser-sintered components are investigated. For this purpose, micro glass spheres, hollow glass bubbles and mineral spheres are dry blended to the matrix polymers polyamide 613 and polypropylene with filling ratios of 20 and 40 vol%. First, relevant properties of the blends, such as powder flowability, thermal behavior and melt viscosity, are investigated. Based on the results, processing parameters are then developed for the laser sintering (LS) process and the mechanical properties of the components are investigated.
Introduction
Additively manufactured components are increasingly used as functional prototypes or as end user products [1, 2]. In the field of plastics, selective laser sintering appears to be particularly interesting for this purpose, as it enables the production of complex geometries without the use of support while offering a comparatively high productivity [3]. In selective laser sintering, thermoplastic powder is deposited in layers, preheated and selectively melted by a laser to form plastic components. For producing end user products, functional and mechanical properties of additively manufactured components are becoming more important. However, currently there is only a limited selection of LS materials available, meaning that not all customer-specific requirements can be met [2]. Particularly in the automotive and aerospace industries, filled plastics represent standard materials, as they can exhibit better mechanical properties, higher heat resistance or improved wear properties, depending on the filler [4, 5].
In order to create new fields of application for selective laser sintering, the material variety should be extended by filled variants (dry blends) of polypropylene (PP) and polyamide 613 (PA613) within this work. For this purpose, the influence of different fillers and the filling ratio on the mechanical properties will be analyzed, thus enabling application specific tailoring of material properties. The main goal here is an increase in component stiffness while maintaining reasonably good elongation at break and tensile strength. The aim is to not only increase the component stiffness in the dry state, but also after conditioning the test specimens.
The term filler covers a wide range of materials. Fillers are defined by various authors as natural or synthetic particles that do not dissolve in the base polymer and are not volatile [5–7]. Consequently, a matrix is formed of polymer and disperse filler particles with distinct interfaces. The particle shape of the filler can be either spherical, acicular, flakey, fibrous or irregular. At current state of the art, there are essentially three different methods for producing filled powders for the LS process. These methods differ significantly in the properties of the powders produced and in the effort required to produce the respective powders. So far, there are only relatively sparse data available comparing the powders and the resulting component properties of the different manufacturing methods and regarding the impact of different fillers in general. [4, 8–15]
The easiest method for creating filled SLS powders is dry blending. Polymer particles and filler particles are mechanically mixed, for example in a drum hoop mixer or a rotary mixer. Different authors used mixing times in the range of 30 min up to 24 h [10, 13]. With dry blending, a commercially available plastic powder can be quickly mixed with different fillers and filling ratios, allowing the material to be adapted to a specific build job. A possible disadvantage of dry blending is an inhomogeneous distribution of the filler in the polymer powder. Especially if polymer and filler particles differ strongly in morphology and density, the preparation of a homogeneous blend and preventing segregation upon processing is challenging. In addition, the adhesion of filler particles and polymer matrix is based solely on pressure less coalescence in the build process. [15]
An alternative method is the production of filled SLS powder by melt compounding and subsequent cryogenic milling to form a powder. The achievable particle size distribution is often wide and sieving or other classification processes are necessary after milling. Furthermore, the particles tend to have rough surfaces and a very irregular morphology leading to a poor powder flowability. An additional rounding process or the addition of flow improving additives might be necessary. Another challenge is that during the grinding process, separation of the polymer and filler, or comminution of the filler, can take place. [3, 11, 14, 16, 17]
The production of a filled LS powder via thermally induced phase separation (TIPS) aims to create particles in which the filler is completely coated with plastic. Advantages are, that the generated powder usually exhibits a good flowability. However, the process is complex and requires precise control of the process parameters to achieve the desired powder properties. Furthermore, the use of solvents at high temperatures can only be realized with considerable effort in terms of occupational safety and environmental protection. [8, 18]
**Materials**
The intended approach is to produce a filled material by dry blending various combinations of commercially available polymer powders and fillers. Consequently, the materials must already be available in powder form with an appropriate particle size distribution. Polypropylene (PP 01 nat by BASF) and Polyamide 613 (VESTOSINT 3D 8754HT1 by Evonik) are selected as base polymers for the dry blends. For these polymers, the properties of dry blends have not been studied systematically. Furthermore, PA613 offers better mechanical properties without a filler when compared to PA12. PP has the advantage, that it absorbs almost no moisture and the effects of moisture exposure on mechanical properties should therefore be minimal [19, 20].
This work focuses on spherical fillers, since fibrous fillers proved to cause high anisotropy when used in dry blends for laser sintering and can furthermore decrease the powder flowability [21–23]. Three different spherical fillers with suitable particle size distributions were chosen: glass beads manufactured by Sigmund Lindner (Silibeads 40-70 [24]), glass bubbles manufactured by 3M (iM16k [25]) and mineral beads manufactured by Itochu Ceratech (Naigai Cerabeads #1700 [26]). The Silibeads are made of recycled soda lime glass (A-glass) and have a density of 2.5 g/cm$^3$. 3M glass bubbles are also made from soda lime glass but due to being hollow, their apparent density is only 0.46 g/cm$^3$. The isostatic crush strength of iM16K is 110 MPa. Naigai Cerabeads are made of sintered mullite and have a density of 2.9 g/cm$^3$. Both glass fillers were ordered with a silane coating recommended by the manufacturer for the used polymers and without coating. For Silibeads a gamma-aminopropyltriethoxysilane coating with the designation Si-3 was selected, for iM16K the coating was not specified by the manufacturer.
The polymer powders and fillers were mixed using a drum hoop mixer. Each dry blend was mixed for 30 min at a rotational speed of 30 rpm. Since the selected fillers differ considerably in terms of density, the filler content is given in percent by volume. This allows the best possible comparability of the results between the individual filler types. PA613 und PP are blended with the different fillers (with and without silane coatings) in filling ratios of 20 vol% and 40 vol% as listed in table 1. Additionally, all tests are carried out with the unfilled polymers for comparison.
**Table 1:** Overview of the investigated dry blends
| Filler Type | Polyamide 613 (VESTOSINT 3D 8754HT1) | Polypropylene (Ultrasint PP 01 nat) |
|------------------------------------|--------------------------------------|-------------------------------------|
| **Glass beads (Silibeads)** | 0 / 20 / 40 vol% | 0 / 20 / 40 vol% |
| uncoated and silane coated | | |
| **Glass bubbles (iM16K)** | 0 / 20 / 40 vol% | 0 / 20 / 40 vol% |
| uncoated and silane coated | | |
| **Mullite beads (Cerabeads)** | 0 / 20 / 40 vol% | 0 / 20 / 40 vol% |
| uncoated | | |
**Experimental Methods**
Before the effect of the fillers on the mechanical properties of laser-sintered components can be identified, suitable parameters must first be developed in order to process the respective blends. For this purpose, the methodology shown in figure 1 was used.
Preliminary tests are carried out on the powder to characterize the impact of different fillers on the powder properties. Subsequently the parameter development on the SLS Systems was carried out. Here, the parameter sets for unfilled polymer powders were used as a starting point. The specimens built with varying laser energy are used to analyze the mechanical properties, part resolution and density. The results are used to determine a feasible laser energy density.
For studying the particle morphology, a Phenom World scanning electron microscope (SEM) was used, which allows magnification up to 24,000 times. Beforehand, the samples were sputtered to create the electrical conductivity required for SEM imaging.
The particle size distribution was analyzed using dynamic image analysis for moving particles according to ISO 13322-2. The measurements were carried out with a QICPIC manufactured by Sympatec, equipped with a dry dispersion unit. The set measuring range was M5, allowing the detection of particles with a size in between 1.8 and 3755 µm. [27]
The flowability of the powder and mixtures was evaluated by means of the Hausner ratio HR. The description of the Hausner ratio is given in VDI 3405 Sheet 1.1. The ratio is defined as the quotient of the tapped density and the bulk density. For measuring, a cylinder was filled up to the 250 ml mark with the powder mixture to be tested, before the powder was deagglomerated in a plastic bag. The measuring cylinder was then closed and tapped uniformly with low force onto a solid surface at a frequency of 0.5 Hz for a duration of two minutes. The process is then repeated with a duration of one minute until the tapping volume no longer changed. To improve the measurement accuracy, the Hausner factor was determined three times for each data point and the mean value was calculated. [28]
The thermal behavior of the dry blends was investigated by differential scanning calorimetry (DSC) according to DIN EN ISO 11357-3. A DSC 214 Polyma from Netzsch was used as the measuring instrument. In DSC analysis, small sample quantities (5±0.3 mg) are heated up to a defined temperature and cooled down again, whereby the heat flow between the sample and an empty reference crucible is continuously measured and recorded. During the investigations, the samples were heated up to 250 °C at a heating and cooling rate of 10 K/min. [29]
For the determination of the melt volume-flow rate (MVR), a capillary rheometer of the manufacturer Zwick Roell is used. The test procedure is described in DIN EN ISO 1133-1. Thus, the material to be tested is filled into a cylinder which is heated and melted with a duration of 5 minutes. A piston loaded with a weight generates a pressure which forces the melt through an extrusion nozzle. Before testing, the powder samples were dried in a laboratory oven for 30 min at 105°C to avoid bubble formation and hydrolysis. The test temperature for PA613 powder blends was 240 °C. For PP powder mixtures, the test temperature was set to 220 °C. For all MVR measurements, a weight of 5 kg was used. For each blend, a minimum of three tests was carried out and the average MVR value was calculated. [30]
For the **density measurement** of the sintered components, cubes measuring 20 x 20 x 20 mm were built and tested using the Archimedes principle, which is standardized by DIN EN ISO 1183-1. A sample attached to a wire is first weighed in air and then in ethanol. For this purpose, a precision scale from Sartorius with the model name CPA224S and the associated set for density determination with the name YDK01 was used. For each parameter set, the average density was calculated using three test specimens. [31, 32]
**Tensile tests** according to DIN 527 were performed to determine the mechanical properties such as modulus of elasticity, tensile strength and elongation at break. For this purpose, laser sintered specimens of type 1A and universal testing machines of type Instron 5569 and Zwick Roell Z2020 were used. The test speed for determining the modulus of elasticity is 1 mm/min and is then increased to 50 mm/min at an elongation at 0.25 % until fracture. In contradiction to the material standard for polyamide and polypropylene, both unreinforced and filled materials are tested at 50 mm/min to ensure the best possible comparability. For every parameter set, average mechanical properties were calculated using 5 test specimens. [33–35]
The mechanical properties of polyamides are strongly dependent on the moisture content in the material, therefore a precise adjustment of this value is necessary to obtain comparable measurements. Tensile properties were therefore evaluated in the dry state and after conditioning. Due to time constraints, accelerated conditioning according to DIN EN ISO 1110 was carried out in a climatic chamber at 70 °C and 62 % relative humidity. To prevent the absorption of moisture in the dry state specimens, they were kept dry in a plastic bag with silica gel pads after the build job until the tensile test was performed. [36]
**Powder Characterization**
The size, shape and the surface of powder particles have a decisive influence on the powder behavior during the SLS process. If the powder particles have an irregular shape or rough surfaces, the flowability of the powder decreases, since the adhesive forces between the individual particles increase. At the same time, the packing density of the powder decreases. Poorer powder flowability can lead to uneven coating during the powder application process, and reduced powder bed density can lead to pores and a decrease in the mechanical strength. Moreover, the particle size distribution has an influence on the surface quality and the detail resolution of the final part. A high proportion of large powder particles has a negative effect on both properties. An excessive fine powder content, however, has a negative effect on flowability and pourability [3, 37].
The first filler considered is uncoated glass beads named Silibeads. The SEM picture shows, that Silibeads have a very smooth particle surface (figure 2). Most of the particles have a spherical shape, but some irregular particles are present. In addition, some small particles are partially molten into the surface of larger particles. The average sphericity of the particles is 0.852. Silibeads have a relatively narrowly distributed particle size between about 25 µm and 100 µm. In terms of particle morphology and particle size distribution, the Silibeads should be suitable as a filler for the laser sintering polymer powders. Silibeads with a silane coating showed no obvious differences in terms of particle size distribution and particle morphology.
The surface of the Cerabeads is significantly rougher compared to the Silibeads, as can be seen in the SEM image in figure 3. However, the surface is free of cracks. The particle morphology can be classified as spherical to slightly "potato-shaped". This is reflected in a value for the average sphericity of 0.823. Cerabeads have a larger average particle size compared to Silibeads. The D90
value of Cerabeads is 120.13 µm, which means that 10% of the particles have a diameter which is bigger than the typical layer height of 120 µm. The high proportion of coarse particles potentially increases the surface roughness of laser-sintered components and could be problematic during processing.
The SEM images of the hollow glass spheres (iM16K uncoated) already show that they are much smaller than the other fillers (fig. 4). The $D_{50}$ is 18.4 µm. For the most part, the glass spheres have an almost perfectly spherical shape. Under the scanning electron microscope, some broken glass bubbles can be seen. These have an uneven, flakey morphology. Smaller particles adhere to the surface of the hollow glass spheres, which can be seen well under higher magnification. The mean sphericity measured in the QICPIC is 0.829. This value is at disagreement with the spherical particle shape that can be seen by SEM and is possibly caused by the percentage of fractured glass. Due to the small particle size the powder flowability could be degraded by the addition of iM16K. Glass bubbles with a silane coating showed no obvious differences in terms of particle size distribution and particle morphology.
In addition to the particle morphology and the particle size distribution, the flowability of the powder is another important parameter to ensure a good powder layer application and a high powder bed density in the LS process. As already described, there are correlations between flowability, particle size distribution and particle morphology. In the scope of the investigations, the Hausner ratio was used to describe the flowability of powders and blends. If the Hausner ratio is below 1.25, the powder is supposed to have good flowability. With a ratio above 1.4, cohesion dominates and it is assumed that the powder tends to be unsuitable for the SLS process. Between a ratio of 1.25 and 1.4, the powder is classified as having limited flowability. [28]
The results for the powder flowability of dry blends in dependence on the filling ratio is given by figure 5. Starting with the results for PP based dry blends, it can be noted, that the addition of a filler materials with a filling ratio of 20 vol% improves the powder flowability for all tested fillers. Even hollow glass spheres (iM16K) improve the flowability compared to unfilled PP although they exhibited a worse flowability when tested separately. In contrast, the addition of 40 vol% of uncoated iM16K worsens the flowability. The greatest improvements can be achieved with the addition of 40 vol% Cerabeads or silane coated Silibeads. These fillers also showed the best flowability when measured separately. The Hausner ratio of the blends is below 1.25 in both cases, therefore the powder achieves a good flowability in contrast to the unfilled PP powder.
The results for PA613 based dry blends show the same trends as the results for PP (fig. 5). However, unfilled Vestosint PA613 has a better flowability when compared to PP. The influence of a 20 vol% filling ratio on the flowability is minor. All blends still have a good flowability. For a filling ratio of 40 vol%, the impact on the flowability is more pronounced. Silibeads and Cerabeads can again be used to slightly increase the flowability. Uncoated iM16K worsen the flowability to the point, where the powder is classified as having a reduced flowability. Again, the silane coated fillers tend to perform slightly better.
In order to investigate the thermal behavior of the polymer powders and the powder blends, the respective temperature-process windows were determined by using DSC analyses. In addition to the effects on the temperature process window, other effects of the fillers on the heat capacity and the thermal conductivity of the powder bed are possible.
The temperatures at the start of recrystallization and the start of the melting process have been extracted from the DSC curves and plotted in figure 6. At first glance, it can be seen that a narrowing of the process window takes place for all PA613 powder blends compared to unfilled...
PA613. For all blends the start of the melting process remains unchanged compared to the unfilled material as expected. Only the recrystallization temperature is changed by the addition of fillers. Most likely fillers have a nucleating effect, which causes the PA613 crystals to grow earlier [14]. The process window for unfilled PA613 is around $\Delta T = 39$ °C. The largest impact on the process window is observed for PA613 + 40 vol.% Silibeads uncoated. The processing window of the dry blend is narrowed to $\Delta T = 23.8$ °C. The smallest impact on the processing window is observed for PA613 + Cerabeads 40 vol.%. The process window here has a span of $\Delta T = 31.1$ °C. In the comparison between the silane coated and uncoated Silibeads and iM16k, respectively, the silanization seems to have a slightly positive effect on the size of the temperature process window.
In addition to the impact on the processing window a reduction in heat capacity and a reduction of the measured melting and recrystallization enthalpy were observed for the PA613 powder blends. The area under the peaks of the DSC curve is correspondingly smaller, since the filler does not melt and thus the enthalpy of melting of the mixture is lower. Heat capacity and thermal conductivity of polymer and filler are summarized in table 2.
The thermal processing windows for unfilled PP as well as for PP powder blends are also given by figure 6. In contrast to PA613, the fillers have no significant influence on the process window. Accordingly, the fillers do not seem to influence the recrystallization. A comparison of the coated and uncoated fillers also shows no difference. All the processing windows are at about $\Delta T \approx 30$ °C. Similar to PA613, a decrease of the heat capacity as well as a reduction of the area under the peaks in the heating and cooling curves could be observed for the PP powder blends.
**Table 2: Thermal properties of base polymers and fillers**
| | Gravimetric Heat capacity [kJ/(kg*K)] | Volumetric heat capacity [J/(cm³*K)] | Thermal conductivity [W/(m²*K)] | Melting Enthalpy [kJ/kg] |
|------------------------|--------------------------------------|-------------------------------------|---------------------------------|--------------------------|
| PA613 (Vestosint) [6] | 1.70 | 0.82 | 0.23 | 106 |
| PP (Ultrasint) [6] | 2.00 | 0.82 | 0.20 | 78 |
| Glass beads (Silibeads) [38] | 0.75 | 1.09 | 1.00 | - |
| Glass bubbles (iM16k) [38] | 0.75 | 0.19 | 0.15 | - |
| Mullite (Cerabeads) [26] | 0.99 | 1.61 | 1.45 | - |
In summary, a clear influence of the filler on the thermal process window was found for PA613 blends. The reduction of the process window can correspondingly worsen the processing properties and cause build job failures due to curling. A new determination of the non-curl temperature is necessary in any case. At first glance, the addition of fillers has no effect on the thermal process window of PP blends. However, the addition of fillers changes the heat capacity and thermal conductivity of the powder. In laser sintering, the heat capacity of the powder in relation to its volume is particularly decisive, since the laser heats a volume element in order to melt it. The required laser power in the process is often specified as laser volume energy density. The relationship between volumetric $c_{Vol}$ and gravimetric heat capacity $c_{gra}$ is given by the powder bed density $\rho_{p,b}$.
$$c_{Vol} = c_{gra} * \rho_{p,b} \quad (1)$$
The energy required to melt a volume element $E_V$, neglecting heat losses to other volume elements, is given by the temperature difference before and after Laser interaction $\Delta T$ multiplied with the volumetric heat capacity of polymer $c_{Vol,P}$ and filler $c_{Vol,F}$ and the volumetric melting enthalpy $\Delta H_{M,vol}$. The filling ratio is accounted for by the factor $V_f$.
$$E_V = \Delta T * \left[ c_{Vol,P} * (1 - V_f) + c_{Vol,F} * V_f \right] + (1 - V_f) * \Delta H_{M,vol} \quad (2)$$
With the aid of this equation, it is possible to estimate how the required laser energy volume density changes when processing dry blends. Glass hollow spheres, for example, have only about a quarter of the heat capacity of polymer powders and also do not absorb any melting enthalpy. It can therefore be estimated, that the required volumetric energy density will be reducing for an increasing filling ratio $V_f$. Cerabeads on the other hand have almost double the volumetric heat capacity of the polymer powders. This means that the required volumetric energy density can either increase or decrease depending on the temperature difference $\Delta T$. In addition to the model-based differences in the required energy density, the differences in thermal conductivity have additional influences on the melting and cooling behavior of parts and therefore impact the processability.
The viscosity of the plastic melt is of great importance for the SLS process, since the molten particles must flow into each other without additional pressure being applied. Consequently, coalescence is based on surface tension, melt viscosity and gravitational force [3]. In order to characterize the flow behavior, MVR measurements were performed.
*Figure 7: MVR values for powder blends depending on the filler content; test temperature for PP 220 °C and 240°C for PA613; test weight 5 kg; sample conditioning: 30 min at 105 °C*
Figure 7 shows the impact of different fillers and filling ratios on the MVR-Value of PP and PA613 based dry blends. As expected, the addition of fillers generally lowers the MVR values since fillers do not melt and thus impair the flowability of the melt. For unfilled PP (mixed powder 60/40), the initial value at 220 °C test temperature and 5 kg test weight is 36.1 cm³/10min. By adding a volume fraction of 20 % filler, the MVR decreases to 14 – 20 cm³/10min. The MVR value further decreases to 4 – 10 cm³/10min if 40 vol% of filler is added. Cerabeads have the biggest
impact on the MVR value and the glass bubbles (iM16K) have the smallest impact. Furthermore, the silane coated variants of glass beads and glass bubbles tend to impact the MVR value slightly less compared to the uncoated variants. For PA12 powder, it is known that aged powder with a high viscosity tends to form surface defects such as “orange peel” [39]. In particular, for a high filling ratio a negative influence of the high MVR value on the component properties could be possible. However, it should be noted here, that the increase in viscosity observed in a nozzle flow for a filled polymer melt is not fully representative for the coalescence process upon laser sintering: This decrease in MVR, i.e. increase in macroscopic viscosity, is obtained while the viscosity of the matrix polymer is basically unchanged. Therefore, it is expected that the deterioration of the coalescence process is less than indicated by the reduced MVR.
For unfilled PA613 (virgin powder), the initial MVR value at 220 °C test temperature and 5 kg test weight is 39.6 cm³/10min. As already observed for PP blends, the melt volume flow rate decreases with increasing filler content. Again, glass bubbles (iM16K) had the smallest impact on the MVR values and Cerabeads had the largest impact at a filling ratio of 40 vol% decreasing the MVR value to only 5 cm³/10min. The differences between coated and uncoated variants of the same filler mostly fall in the range of the standard deviation for PA613 based blends and are therefore not significant. For both base materials, the influence of the filler on the MVR value decreases with decreasing filler diameter.
**Parameter Development and Processability**
The preliminary investigations on the powder have shown that the sintering window and the energy required to melt the powder can be changed by the addition of fillers. With regard to the powder flowability, only blends with hollow glass beads showed negative effects. Furthermore, the addition of fillers strongly reduces the MVR value. The essential parameters which are therefore adapted for the production of test specimens from dry blends are the build chamber temperature and the laser volume energy density.
*Figure 8: Build job layout for laser parameter development*
Since the preliminary powder characterizations showed that the variants with silane coatings performed slightly better regarding relevant powder properties and additionally should provide better mechanical properties, the decision was made to focus on the coated variants. For each blend, initially the same build job was built to find suitable process parameters. The layout of this build job is shown in Figure 8.
For each blend, the first step was the determination of the non-curl temperature. For this purpose, the curl cross method was used. The build chamber temperature for unfilled PP is 138°C and for unfilled PA613 206.5 °C. If curling is detected for multiple curl crosses, the parts are removed, the build chamber temperature is increased by 2°C and a new attempt is made to build curl crosses. If only slight curling occurs for curl crosses in the corners of the build area, the temperature is increased by 1°C and a new set of curl crosses is built until none of the crosses showed visible signs of curling.
After determining a feasible build chamber temperature with the curl cross method, different test specimens are built with varying laser energy densities. To limit the number of variables and achieve parameters for a good machine productivity, the laser energy density is only varied by varying the laser power. The layer height is kept constant at 120 µm and the distance between two hatch lines is kept at 0.25 mm. The scan speed is kept constantly high at 4750 mm/s.
The selection of the best laser energy density is based on tensile strength, elongation at break, density, and a subjective assessment of resolution and surface quality. The tensile properties were determined in the dry state without conditioning the test specimens. These are only used to compare the different parameters, so conditioning is not necessary. The final mechanical properties will be presented later in figures 11 and 12.
*Figure 9: Mechanical properties and part density of PA613 with 40 vol% glass beads (Silibeads silane coated) in dependence of the laser power*
Figure 9 plots tensile strength, elongation at break and density for different laser powers for a blend of PA613 with 40 vol% Silibeads with silane coating. It turns out that the mechanical properties of the blend remain almost the same for a relative wide range of laser powers. Looking at the mechanical properties only, laser energies ranging from 24 W to 40 W seem to be feasible for the given scan speed (4750 mm/s), hatch distance (0.25 mm) and layer height (0.12 mm). An optimal part density is achieved for 40 W laser power, however the value for 32 W is almost as good and showed less deviations.
The subjective evaluation of the component quality takes into account, among other things, the resolution of the marking, existing surface irritations, surface defects due to layer time jumps, but also the edge and corner quality. These variables were each given a quality rating of 1 to 5. Figure 10 shows the detail resolution and surface quality for PA613 blended with 40 vol% Silibeads Si3 coated. At first it can be noted that the addition of 40 vol% of glass beads gives the part a grayish color. Regarding the labeling, differences with increasing laser power are clearly visible. The letters and numbers are more precise at low laser power and degrade for the parameter set with higher laser power until they are barely recognizable at a laser power of 48 W. Furthermore, with increasing laser power, the effects of layer time jumps become visible, which negatively affects the resolution of the labeling (z-direction) of the density measurement cubes. The density cubes are particularly prone to surface defects in z direction since they have a relatively high volume and therefore cause a high local energy input. Additionally, with increasing laser power, a decrease in shape and dimensional accuracy with respect to corners and edges can be observed. In terms of component resolution, the parameters with a laser power of 24 W and 32 W were rated best.
Taking into account all the results (mechanical properties, density, resolution), it is found that the optimum laser energy for this blend is around 32 W. However, the results can be further optimized by varying other laser parameters and optimizing the contour exposure separately. Feasible exposure parameters were developed for all different dry blends using the same method.
Table 3: Processing parameters of PA613 based blends
| PA613 | unfilled | 20 vol% Silibeads | 40 vol% Silibeads | 20 vol% iM16k | 40 vol% iM16k | 20 vol% Cerabead | 40 vol% Cerabead |
|----------------|----------|-------------------|-------------------|---------------|---------------|------------------|------------------|
| Bed temp. [°C] | 206.5 | 206.5 | 206.5 | 207 | 208 | 206.5 | 209 |
| Laser energy [W]| 38 | 32 | 32 | 24 | 24 | 32 | 32 |
Table 4: Processing parameters of PP based blends
| PP | unfilled | 20 vol% Silibeads | 40 vol% Silibeads | 20 vol% iM16k | 40 vol% iM16k | 20 vol% Cerabead | 40 vol% Cerabead |
|---------------|----------|-------------------|-------------------|---------------|---------------|------------------|------------------|
| Bed temp. [°C]| 138.5 | 138.5 | 138.5 | 140 | 142 | 139.7 | - |
| Laser energy [W]| 27.5 | 22 | 22 | 16.5 | 16.5 | 37 | - |
Mechanical Properties
The results for the PA613 based blends built with optimized parameters as described above are displayed in figure 11. First of all, it can be seen that with all fillers used, the stiffness in the dry state could be increased. With increasing filler content, the stiffness also increases. The highest increase can be achieved with the addition of 40 vol% Cerabeads. Here, the stiffness could be increased from 2162 MPa to 7550 MPa. The smallest increase in stiffness was obtained with the addition of the hollow glass beads. It can be assumed that the stiffness of the hollow spheres themselves is significantly lower than that of solid spheres, which means that the increase in Young's modulus is correspondingly lower.
At the same time, however, the elongation at break of PA613 blends decreases sharply with increasing filler content. Even at a filler volume fraction of 20%, the elongation at break for blends with hollow glass beads (iM16K) and Cerabeads is below 4% in the dry state. The addition of fillers has a less pronounced effect on the strength of PA613 blends in the dry state. While the strength remains almost constant with the addition of glass beads, it decreases slightly with increasing filler content of hollow glass beads and Cerabeads.
Comparing these results to the result after conditioning the samples, a massive impact of the moisture absorption especially for blends with PA613 and glass can be noticed. During conditioning, unfilled PA613 absorbs approx. 1.05 mass percent water. Depending on the filler, the blends absorb between 0.35 and 0.95 mass percent water. Due to the plasticizing effect of the water in PA613, the stiffness of the matrix decreases from 2162 MPa to 1507 MPa. The addition of 20 vol% Silibeads increases the modulus marginally to 1594 MPa. Increasing the filler content to 40 vol%, however, lowers the stiffness again. The addition of iM16K also causes only a slight increase in stiffness. The effect of conditioning on Cerabeads filled PA613 appears to be considerably less. Although the stiffness of these blends also decreases after conditioning, an increase in stiffness to 4850 MPa can be achieved with a filler content of 40 vol% Cerabeads.
Looking at the elongation at break after conditioning, it is first noticeable that there is an increase to almost 30% for unfilled PA613. This effect is also known and can be explained by the plasticizing effect of the water. The influence on the elongation at break of the blends is, however, even more pronounced. The elongation at break of PA613 with 40 vol% Silibeads with Si3 coating increases almost by a factor of 10 to 14% compared to the dry state. The elongation at break of the blend with Silibeads without coating increases even further.
*Figure 11: Mechanical properties of PA613 based dry blends build in X-direction*
While the addition of 20 vol% Silibeads with Si3 coating had a positive effect on the strength of PA613 components, the strength of this blend drops significantly after conditioning. In
fact, the addition of 20 vol% Silibeads reduced the tensile strength of conditioned PA613 from 49.8 MPa to 31.2 MPa. As a simplification, it can be assumed that a filler content of 20 vol% reduces the cross-sectional area of the matrix by an average of 20%. Due to the spherical shape of the fillers, however, this value fluctuates locally. Since the reduction in tensile strength due to the addition of 20 vol% glass beads is 35%, it can be assumed that the glass beads transmit almost no forces and that almost exclusively the matrix transmits the forces. The addition of 40 vol% glass beads deteriorates the tensile strength by approx. 60%. There is no significant difference between uncoated glass beads and glass beads with silane coating. The tested silane coating therefore does not appear to be suitable for improving the adhesion between the glass beads and PA613 in laser-sintered components, especially since also no significant differences were found between the coated and uncoated glass beads. The tensile strength for blends with Cerabeads and iM16K decreased also after conditioning, but not to the same degree as the Silibeads. The adhesion was probably not degraded as much by conditioning. Potentially, the surface structure of the Cerabeads help to maintain better adhesion by providing some mechanical interlocking.
The only filler that can be classified as reasonable in combination with PA613 after the investigation of the mechanical properties are Cerabeads. At least if the components are to be used in a humid environment, dry blends of PA613 and glass lose their stiffness and strength. In addition to the plasticizing effect on the matrix, a degradation of the adhesion between polymer and filler was identified as the cause by analyzing SEM Images of the crack surfaces.
The results for the PP based blends are displayed in figure 12. Although the DIN EN ISO 1110 standard is actually only intended for polyamides and PP hardly absorbs any water, the PP tensile specimens were also tested in the dry state and after storage in a climatic chamber at 70°C and 62% relative humidity for 7 days. Even if the base polymer of the blend is hardly affected by the conditioning, the properties of the composite can still change if the fiber matrix adhesion is changed. Due to the poor processability of PP with Cerabeads as filler on EOS P3 systems, hardly any reliable data are available for this material combination.
Unfilled PP is significantly more ductile compared to PA613. The strength in the dry state is 28.9 MPa and the modulus of elasticity is 1316 MPa. The material achieves a nominal elongation at break of 41%. Again, the stiffness in the dry state can be increased by adding any of the fillers tested and, as for PA613, increases with increasing filler content. The largest increase in stiffness was obtained with 40 vol% Silibeads with Si3 coating. However, the elongation at break decreases strongly with increasing filler content. PP blends with a filler content of 20 vol% achieved good elongation at break between 8.7% and 13.5%, but they do not achieve the desired stiffness.
In contrast to PA613 blends, the strength of PP blends decreases significantly with increasing filler content even in the dry state. With the addition of 20 vol% filler, the hollow glass spheres achieve the best strength. For both glass hollow spheres and glass solid spheres, the strength drops to approx. 17 MPa at a filler volume fraction of 40%. This corresponds to a decrease of 40% in strength and indicates that only low forces can be transmitted by the filler. The filler reduces the effective force-transmitting cross-section of the matrix under tensile load accordingly. The strength of all PP blends is below the values of PA613 blends. It has been shown that the lower strength of the PP cannot be increased by the addition of spherical fillers. This would require fillers with a large aspect ratio, which can achieve a corresponding strengthening effect.
The results after conditioning show that PP blends are also affected by moisture even though hardly any moisture absorption could be measured (< 0.02%). The influence on component stiffness is not as significant as for PA613. The Young's modulus of the blend with 20 vol% Silibeads drops from 1910 MPa to 1620 MPa after conditioning. At the same time, the strength decreases from 20.7 MPa to 16.5 MPa and the elongation at break increases from 11.5% to 25%.
**Figure 12: Mechanical properties of PP based dry blends build in X-direction**
SEM images of the fracture surfaces of the tensile specimens are used to evaluate the adhesion between the filler and matrix. Ideally, the composite should fail in the matrix and not at the interfaces of filler and matrix. Accordingly, hardly any exposed filler without remaining plastic adhesions should be visible in the fracture surface. Exemplary, the fracture surfaces of PA613 with 20 vol% Silibeads with Si3 coating are investigated before and after conditioning (Figure 13).
The fracture surface after the tensile test in dry condition is shown on the left side. Only a few exposed glass spheres can be seen, and most glass spheres still have adherent plastic after the tensile test. The fracture surfaces of the polymer matrix show little deformation and an overall brittle fracture pattern. The glass beads are well embedded in the matrix, wetting with plastic in the LS process is consequently sufficiently good.
After the specimens have been conditioned at 70°C and 62% relative humidity for 7 days, their fracture pattern changes fundamentally. There are more exposed glass spheres to which no more plastic adheres. A gap to the plastic is clearly visible at the edge of the glass spheres. Since it could be concluded from the fracture surfaces of the specimens before conditioning that good wetting takes place in the LS process, it can be concluded that the plastic detaches from the glass during the tensile test. The glass spheres actually act as a defect. Obviously, almost no forces are transmitted by them. This also explains why the strength drops so significantly when glass beads are added in the conditioned state compared to the unfilled material. The polymer is stretched around the glass beads and has a more ductile failure mode. The silane coating of the glass beads does not seem to be suitable to ensure sufficient adhesion between matrix polymer and filler on laser sintered samples after conditioning until breakage. One assumption for explaining this effect is that water diffusing into the polyamide collects at the interfaces between filler and polymer. Due to its polarity, it can detach dipole interactions between polyamide molecules and the glass surface.
**Summary**
The investigations showed that dry blending of spherical micro fillers into LS powder can influence the relevant processing properties. In addition to an increased melt viscosity, the change in the thermal properties of the powder is particularly relevant to the process. For this purpose, a concept was presented to adapt the laser power and the build chamber temperature specifically for different powder mixtures. Furthermore, it was shown that the component stiffness can be deliberately increased by the addition of spherical fillers. However, the elongation at break
decreases in the process. When testing conditioned tensile specimens, it was found that the mechanical properties of PA613 blends with glass in particular are strongly influenced by moisture absorption. Besides the plasticizing effect of moisture on the PA, a deterioration of the filler-matrix adhesion was identified as the cause. Adhesion between PA and Cerabeads was affected less by the influence of water. Accordingly, the silane coatings of the glass fillers could not effectively prevent the loss of adhesion. Further investigations on the improvement of the adhesion between filler and plastic in the LS process will be carried out at the DMRC in the future.
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Guidelines for Application for Permanent Residence Permit
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B1. Criteria for Eligibility for Permanent Residence Permit:
A holder of an Occupation Permit or Residence Permit as a Retired non-citizen is eligible to apply for a 20-year Permanent Residence Permit provided the following specific conditions are met:
1. **Investor**: Holder of an Occupation Permit for at least 3 years, immediately preceding the date of application for the Permanent Residence Permit, with:
- a minimum annual gross income of at least MUR 15M for 3 years preceding application; or
- an aggregate turnover of MUR 45M for any consecutive period of 3 years during his/her current permit
2. **Professional**: Holder of an Occupation for at least 3 years, immediately preceding the date of application for the Permanent Residence Permit, with a basic monthly salary of at least MUR 150,000 for 3 consecutive years
3. **Self-Employed**: Holder of an Occupation Permit for at least 3 years, immediately preceding the date of application for the Permanent Residence Permit, with an annual business income of at least MUR 3 million for the 3 consecutive years.
4. **Retired Non-Citizen**: Holder of a Residence Permit as a Retired Non-Citizen for at least 3 years with transfer of at least USD 54,000 or its equivalent in freely convertible foreign currency during the period of 3 years preceding the application
5. An investor who invests at least USD 375,000 in a qualifying business activity:
- *Qualifying business activities*: Agro-based industry, Audio-visual, Cinema and Communication, Banking, Construction, Education, Environment-friendly and green energy products; Financial Services, Fisheries and Marine Resources, Freeport, Information Technology, Infrastructure, Insurance, Leisure, Manufacturing, Marina development, Tourism and Warehousing, Initial Public Offerings.
B2. Criteria for Eligibility for Permanent Residence Permit for existing Occupation Permit/Residence Permit Holder
1. A non-citizen who has been a holder of an Occupation permit or Residence permit as a Retired Non-Citizen for at least 3 years immediately before 1 September 2020 and who satisfies the condition as specified above, may on application, be granted the status of permanent resident for a period of 20 years.
2. Holder of an Occupation Permit or Residence Permit as a Retired Non-Citizen need not wait for expiry of their 10-year permit to apply for a Permanent Residence Permit. They can apply for Permanent Residence Permit after holding their permit for 3 years, provided they meet the Permanent Residence Permit eligibility criteria.
i. **Investor**: Holder of an Occupation Permit before 1 September 2020, with Cumulative turnover of at least MUR 12 million during the 3 years preceding the application.
ii. **Self-Employed**: Holder of an Occupation Permit before 1 September 2020, with cumulative business income of at least MUR 2.4 million during the 3 years preceding the application
iii. **Professional**: Holder of an Occupation Permit before 1 September 2020, in:
a) the information and communication technologies (ICT) sector and business process outsourcing (BPO) sector with a monthly basic salary of at least MUR 30,000 during the 3 years preceding the application
b) any other sector with a monthly basic salary of at least MUR 60,000 during the 3 years preceding the application
iv. **Retired non-citizen:** Holder of a Residence Permit before 1 September 2020, with
(1) Monthly transfer of at least USD 1,500 or its equivalent in freely convertible foreign currency, during the period of 3 years;
Or
(2) Cumulative transfer of at least USD 54,000 or its equivalent in freely convertible foreign currency, during the period of 3 years.
**Note:**
i. Existing Permanent Residence Permit holders (10 years) may apply for a new Permanent Residence Permit (20 years) immediately after the expiry of their existing Permanent Residence Permit.
ii. A holder of a Permanent Residence Permit should, during the validity period of his/her respective permit, continue to satisfy the conditions/criteria specified in the Economic Development Board Act and/or the requirement of section 5A(5AA) of the Immigration Act.
iii. A Permanent Residence Permit may be cancelled at any time without giving any reason if the holder no longer satisfies the criteria and conditions of Permanent Residence Permit or has acted in contravention to any law of Mauritius, or has given any false or misleading information at the time of application.
**C. Application for Permanent Residence Permit**
An application for Permanent Residence Permit should be made to “Residence Permit Section”, Prime Minister’s Office (Defence and Home Affairs Division), 4th Floor, New Government Centre, Port Louis on the “Application for Permanent Residence Permit” form.
▶ **Documents required:**
- Presentation of passport and submission of copy of bio-data page.
- Four recent passport size photographs (not older than three months)
- A sworn affidavit to the effect that the applicant has not been convicted in his country of origin or residence of any criminal offence for the past 10 years.
- In case of Investor/Self-employed non-citizen/Professional, a certificate of income from the Mauritius Revenue Authority, covering the last three years preceding his application, plus copy.
- In case of investor in the USD 375,000 category, the applicant must submit the registration certificate issued by the Economic Development Board.
- In case of Retired non-citizen, documentary evidence from bank to the effect that the applicant has transferred from abroad to Mauritius an amount of money of USD 54,000 or its equivalent in convertible currency, during each of the preceding three years.
- A medical certificate issued by a doctor in Mauritius, accompanied by test results and chest X-ray report. (see Section F below)
Note:
- Original documents, such as, passport, birth and marriage certificate will be returned to the applicant immediately after verification, except for the medical certificate, sworn affidavit and certificate of income from Mauritius Revenue Authority or for Retired Non-Citizen documentary evidence from Bank which will be retained for Office Use.
D. Permanent Residence Permit for accompanying spouse and dependents
Only married spouse and dependent children (unmarried) under 24 years, are eligible for a permanent residence permit. In case a dependent child intends to take up employment in Mauritius, he/she should apply and obtain a work permit or an Occupation permit.
Common law partners are also eligible for residence permit for 20 years as dependent, provided they are not of same sex and they produce documentary evidence that they live together.
The main holder of a Permanent Residence Permit who sponsors his/her common-law partner as dependent should imperatively notify the Prime Minister’s Office and the Passport Immigration Office as soon as they cease to be common-law partner.
Details of each dependent must be included in Section 3 of the “Application for Permanent Residence Permit” form. The following documents are required:
- Presentation of passport of each dependent plus bio-data page and visa page
- Four recent passport size photographs of each dependent (not older than three months)
- A sworn affidavit to the effect that the applicant has not been convicted of any criminal offence in his/her country of origin or residence for the past 10 years. Children under 18 are not required to submit the sworn affidavit
- A medical certificate issued by a doctor in Mauritius (see Section F below)
E. Fees for Application and Issue of Permanent Residence Permit and Bank Guarantee
- A non-refundable processing fee of Rs 1,000 per person should be accompanied with each application. The fee must be paid by crossed cheque drawn to the order the Government of Mauritius at the Cashier’s office of the Prime Minister’s Office, New Government Centre, Port Louis. A receipt will be issued and should be produced to the Residence Permit Section with the application.
- A fee of MUR 75,000 is payable for the issue of the Permanent Residence Permit to the principal beneficiary upon approval of the application. The fee must be paid by crossed cheque drawn to the order of the Government of Mauritius at the Cashier’s office at the Passport and Immigration Office, Ground Floor, Sterling House, 9-11 Lislet Geoffroy Street, Port Louis
- A fee of MUR 50,000 is payable for each his/her dependent spouse or common-law partner and children. The fee must be paid by crossed cheque drawn to the order of the Government of Mauritius at the Cashier’s office at the Passport and Immigration Office, Ground Floor, Sterling House, 9-11 Lislet Geoffroy Street, Port Louis
A complete application is determined by the Prime Minister’s Office within three months of its date of submission.
F. Important notes
- Original passport should be produced. For birth and marriage certificate, copies are accepted if they are certified true copies. Copies may be certified by diplomatic missions, attorneys or notaries. If copies are not in English or French, official translation is required.
- To obtain a medical certificate from a doctor in Mauritius, a test for HIV, Hepatitis B and a chest X-ray should be done at any private medical laboratory/clinic/hospital in Mauritius. Tests results and Chest X-ray report should be submitted. Children under 12 years old are exempted from doing the tests and X-ray, but should get a medical certificate.
- A permanent residence permit is valid for a period of 20 years. It exempts the holder from visa requirement when entering Mauritius. Upon expiry of the permit a fresh application may be made for a new permit for another 20 years.
- A permanent residence permit holder, except a Retired non-citizen, is free to take up employment without any work or occupation permit.
- Only the principal permanent residence permit holder may acquire only one apartment in a building with at least two floors above ground floor for his/her personal residence. An application to acquire the apartment for residential purposes has to be made to the Economic Development Board. Dependents are not entitled to purchase an immovable property.
- In case of Retired non-citizen, the beneficiary of the Permanent Residence Permit should submit every 3-years to the Residence Permit Section of the Prime Minister’s Office documentary from his/her bank of the transfer from abroad to Mauritius of an amount of money not less than USD 54,000 or its equivalent in convertible currency documentary evidence.
Application forms, guidelines and other useful information may be obtained from the:
Residence Permit Section
Prime Minister’s Office (Home Affairs Division)
4th Floor, New Government Centre, Port Louis
9-11 Lislet Geoffroy Street, Port-Louis
Tel: +(230) 201 1244, 201 1019, 201 1187 or 201 3449 ● Fax:+(230) 201 1082
Email: email@example.com
Website: https://dba.govmu.org/Pages/Services/Residence_Permit_and_Visa.aspx
Other useful address
Permanent Residence and Occupation Permit Section
Passport and Immigration Office
4th Floor, Sterling House,
9-11 Lislet Geoffroy Street, Port-Louis
Tel: +(230) 211 5830 ● Fax:+(230) 210 9322
Email: firstname.lastname@example.org
Website: http://passport.gov.mu
DISCLAIMER: These guidelines may be subject to changes without notice and should not, in any circumstances, be treated as a legally binding document. Please contact the Residence Permit Section for any clarification.
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Ten Cases from the Past Year that May Change Your Company’s Employment Practices in 2011
The past year ushered in a host of cases that expand the scope of employer liability in numerous areas. Whether your company is big or small, these recent decisions compel a reexamination of the company’s employment law practices for compliance with the ever-changing landscape of California employment law.
1. Employer may be liable for disability and age discrimination where, among other things, employee’s performance reviews undermine employer’s stated basis for terminating employee.
*Sandell v. Taylor-Listug, Inc.*, 188 Cal. App. 4th 297 (2010)
Facts: The defendant guitar manufacturer hired the plaintiff as its VP of sales at the age of 57. Soon thereafter, the plaintiff suffered a stroke. After his return to work, he required a cane to walk, and his speech was noticeably slower than it had been prior to the stroke. A few days after the plaintiff’s 60th birthday—and a couple of years after the stroke—the defendant terminated the plaintiff’s employment, maintaining that it was dissatisfied with his job performance. The plaintiff sued, alleging disability and age discrimination. The defendant obtained summary judgment on both claims, but the Court of Appeal reversed, finding sufficient evidence of discriminatory intent for the case to be heard by a jury. In reviewing the evidence submitted by the plaintiff in support of his claims, the court focused partly on the plaintiff’s performance reviews. Although the defendant maintained the plaintiff was terminated for poor performance, many of the reviews were generally favorable, and the court dismissed the critical portions as based merely on “subjective” criteria.
What it means for employers: Accurate, detailed, and regularly-completed performance reviews are an effective means of managing employees’ performance and can help employers defend against wrongful termination claims. As the *Sandell* case highlights, however, performance reviews can undermine an employer’s defense if they do not accurately reflect problems an employer has with an employee’s performance. Moreover, the *Sandell* case suggests that subjective criticisms of an employee can provide additional evidence of discrimination if such criticisms are made by the manager accused of discrimination. Employers should consider their performance review practices. If company managers do not complete reviews regularly and accurately, with detailed objective criticisms, the company may be better off not using performance reviews at all.
2. Employer does not have to allow employee to use paid sick time to care for ill family members where employer’s policy provides employees an uncapped number of paid sick days.
*McCarther v. Pacific Tel. Grp.*, 48 Cal. 4th 104 (2010)
**Facts:** The plaintiffs sued the defendant employers for violation of Labor Code section 233, commonly referred to as the “Kin Care” statute. The Kin Care statute requires employers who provide paid sick leave to allow employees to use some of that paid sick leave to attend to the illness of a child, parent, spouse, or domestic partner. The defendants’ sick-leave policy was dictated by a collective bargaining agreement, which provided workers with an uncapped number of paid sick days per year, so long as the absences did not exceed five consecutive days. The policy did not provide for any “banking” of sick days. The defendants refused to pay the plaintiffs for time they took off to care for their ill children. Although the Court of Appeal found the statute applied to the defendants’ policy, the California Supreme Court reversed. The court found the statute only applied to employers who provide a measurable, banked amount of paid sick leave, which was not the case here.
**What it means for employers:** Employers should carefully review their sick-leave policies to determine the best means for achieving corporate goals regarding attendance. While policies that do not provide a cap on paid sick leave can leave employers exposed to potential abuse by employees, if drafted properly, such policies could limit the total amount of sick time paid to an employee, as the employee will only be able to use paid sick leave for his or her own illnesses. Employers wishing to capitalize on the ruling in *McCarther* should take care in drafting their sick-leave policies to ensure they meet all of the criteria set forth in *McCarther*.
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3. Employer liable for penalties for failing to provide “suitable seating” to employees.
*Bright v. 99¢ Only Stores*, 189 Cal. App. 4th 1472 (2010); *Home Depot U.S.A., Inc. v. Superior Court*, 191 Cal. App. 4th 210 (2010)
**Facts:** In both *Bright v. 99¢ Only Stores* and *Home Depot U.S.A., Inc. v. Superior Court*, the plaintiff cashiers sued their retail employers for Private Attorney General Act (“PAGA”) penalties for their employers’ failure to provide “suitable seating.” The IWC Wage Orders require employers to provide all employees with “suitable seats when the nature of the work reasonably permits the use of seats.” PAGA penalizes employers $100 for each aggrieved employee per pay period for the initial violation, and $200 per pay period for each subsequent violation. In both cases, the trial court sustained the defendant’s demurrer, and in both cases the Court of Appeal reversed, finding the PAGA penalties provided by Labor Code section 2699 were applicable to a violation of the IWC Wage Order “suitable-seating” requirement.
**What it means for employers:** While it is clear from *Bright* and *Home Depot* that employers will be on the hook for failing to provide “suitable seating,” the cases do not, unfortunately, shed any light on what type of seating employers must provide to comply with the IWC Wage Orders. This may be particularly worrisome for employers
who have workers whose jobs require a significant amount of standing. More alarming, however, is the pathway the *Bright* and *Home Depot* cases have cleared for claims for PAGA penalties for violations of any of the basic working-condition requirements of the IWC Wage Orders—e.g., changing rooms, resting facilities, locker rooms, workplace temperature, etc. Plaintiffs will argue the *Bright/Home Depot* courts’ rationale extends to all such violations. Employers should review their compliance with not only the suitable-seating requirements of the wage orders but also all of the working-conditions requirements of the wage orders to ensure compliance and avoid litigation.
4. **Whether worker is considered employee or independent contractor is determined by California law, not agreement in contract.**
*Narayan v. EGL*, 616 F.3d 895 (9th Cir. 2010)
**Facts:** The defendant transportation company, headquartered in Texas, attempted to avoid compliance with California wage-and-hour laws by having its California drivers execute a contract agreeing to work as “independent contractors.” The contract further provided that Texas law would govern any disputes regarding its terms. The plaintiff drivers sued for violation of California wage-and-hour laws, including unpaid overtime, expenses, and meal and rest periods. The trial court granted the defendant summary judgment based on the attestations in the agreements that the workers were independent contractors. The Ninth Circuit reversed. The Ninth Circuit found Texas law applied only to disputes over the terms of the contract and not to the plaintiffs’ claims, which were based on violations of California statutory law. The court, therefore, analyzed whether the workers were independent contractors or employees under California common law, which applies a multifactored test. Finding the majority of the factors weighed in favor of the existence of an employment relationship, the court ruled the plaintiffs could pursue their wage-and-hour claims against the defendant.
**What it means for employers:** Independent contractor agreements provide little assistance to employers hoping to avoid compliance with laws in California that are designed to protect California workers. While the existence of such an agreement is one factor the courts may consider in their analysis of whether a worker is an independent contractor or an employee, it is not a determining factor. The *Narayan* case makes clear that courts will determine employee/independent contractor status based on a factual inquiry into a multitude factors regarding the nature of the working relationship between the parties. Before classifying any worker as an independent contractor, employers should carefully analyze all of the relevant factors set forth in *Narayan*, as well as the California Supreme Court’s decision in *Borello & Sons, Inc. v. Dep’t of Indust. Relations*, 48 Cal. 3d 341 (1989), on which the *Narayan* court heavily relied.
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**Independent contractor agreements provide little assistance to employers hoping to avoid compliance with laws designed to protect California workers.**
5. **Employee properly classified as exempt executive and administrative employee not subject to overtime laws.**
*In Re United Parcel Serv. Wage and Hour Cases*, 190 Cal. App. 4th 1001 (2010)
**Facts:** The plaintiff, a manager of various operations at UPS, brought suit against UPS for unpaid overtime and other wage-and-hour violations. UPS maintained the plaintiff was
properly classified as an exempt executive and administrative employee and therefore not entitled to overtime payments or other benefits afforded nonexempt employees. The trial court agreed and granted UPS’s summary judgment motion. The Court of Appeal affirmed. In reaching its conclusion, the Court of Appeal relied heavily on the job descriptions offered by UPS, which the plaintiff admitted accurately reflected his duties. The plaintiff also admitted to performing a host of others duties supporting his classification as an exempt executive and administrative employee. The court rejected the plaintiff’s argument that his authority was so constrained by UPS’s detailed guidelines, procedures and “decision trees” as to render him without the independent judgment and discretion necessary for both exemptions. The court concluded: “where government regulations or internal employer policies or procedures simply channel the exercise of discretion and judgment, as opposed to eliminating it entirely or otherwise constraining it to a degree where any discretion is largely inconsequential, the executive exemption may still apply.”
What it means for employers: Wage-and-hour suits remain hugely popular and often entangle the unwary employer. The UPS case illustrates how critical it is that employers classify employees as exempt from the overtime laws based solely on the criteria for the exemptions set forth in the wage orders and federal law and how helpful detailed, accurate, and well-drafted job descriptions can be in defending against wage-and-hour claims. Employers should regularly review job descriptions to ensure they are consistent with an employee’s duties, and, if the employee is classified as exempt, the duties in the job description and those performed by the employee should be consistent with the exemption.
6. Failing to provide employee with copy of AAA Arbitration Rules renders arbitration agreement procedurally unconscionable and unenforceable.
Trivedi v. Curexo Tech. Corp., 189 Cal. App. 4th 387 (2010)
Facts: The plaintiff in Trivedi filed a complaint against his former employer for, among other things, race and national origin discrimination. The defendant employer moved to compel arbitration, based on an arbitration clause in the plaintiff’s employment contract. The trial court denied the motion, and the Court of Appeal affirmed. In reviewing the “fundamental fairness” requirements of Armendariz, the Court of Appeal found the arbitration provision both procedurally and substantively unconscionable. To support the finding of procedural unconscionability, the court relied on just two facts: (1) the agreement was presented to the plaintiff on a “take it or leave it basis” (as is the very nature of all mandatory pre-dispute arbitration agreements) and (2) although the agreement referenced and incorporated AAA’s employment dispute resolution rules, the plaintiff was not given a copy of them. The court found the agreement substantively unconscionable because it provided a mandatory attorneys’ fee award to the prevailing party, which “put the plaintiff at greater risk” than if he had retained the right to bring the discrimination claim in court. The court also found the provision allowing a party to seek injunctive relief in court unfairly favored the defendant, who was the party most likely to benefit from such a provision.
What it means for employers: In general, the *Trevedi* case shows that employers continue to face an uphill battle in enforcing mandatory pre-dispute arbitration agreements. More disturbing, however, is the court’s finding that mandatory pre-dispute arbitration agreements that adopt rules from a particular arbitral forum (such as JAMS or the American Arbitration Association) are procedurally unconscionable if the plaintiff is not given a copy of those rules. While many employers have traditionally incorporated the employment dispute rules of AAA or JAMS into their mandatory pre-dispute arbitration agreements, few employers provide copies of those rules to their employees. *Trevedi* provides impetus for employers to reconsider the pros and cons of incorporating arbitral forum rules into their mandatory pre-dispute arbitration agreements. Given how rapidly the law on mandatory pre-dispute arbitration agreements is evolving post-*Armendariz*, it is the prudent for the company to have such agreements reviewed regularly by counsel to ensure they remain enforceable under current law.
7. **Emails between employee and her attorney are not privileged when sent via employer’s email.**
*Holmes v. Petrovich*, 2011 WL 117230 (Cal. Ct. App. Jan. 13, 2011)
Facts: The plaintiff communicated with her attorney about potential legal action against her employer and supervisor using her employer’s email system. She subsequently sued both, and the emails were admitted into evidence at trial, over the plaintiff’s objection that the emails were attorney-client privileged communications. The defendants used the emails to counter the plaintiff’s allegations that she suffered severe emotional distress. The Court of Appeal found no error in the admission of the emails. The Court of Appeal ruled that no privilege attaches to email communications between an employee and her employer where: (1) “the electronic means used for the communications belongs to the defendant; (2) the defendant has advised the plaintiff that communications using electronic means are not private, may be monitored, and may be used only for business purposes; and (3) the plaintiff is aware of and agrees to these conditions.” The Court of Appeal likened the plaintiff’s email communications with her attorney under these circumstances to “consulting with her lawyer in her employer’s conference room, in a loud voice, with the door open, so that any reasonable person would expect that their discussion of her complaints about her employer would be overheard by him.”
What it means for employers: The *Holmes* decision underscores the importance of having a well-crafted electronic communications policy. Employers should carefully explain in such policy what emails are permitted and not permitted on the employer’s email system. Such policy should, at a minimum, explicitly inform employees that the email system belongs to the company; the company may monitor any emails sent or received via the company’s email system; and employees have no right of privacy with respect to information sent via the company’s email system. Employers also should obtain employees’ written acknowledgement of and agreement to the policy. While not implicated in the *Holmes* case, blogging and social networking are starting to give rise to a number of problems for employers. Those who have not revised their electronic communications policies since before the advent of Facebook should consider updating their policies in light of
the rapidly developing law regarding blogging and social networking in the workplace.
8. **Unlawful for employer to terminate employee in deference to unenforceable non-compete agreement employee entered into with prior employer.**
*Silguero v. Creteguard, Inc.*, 187 Cal. App. 4th 60 (2010)
**Facts:** The sales representative plaintiff signed a confidentiality agreement with a prior employer before working for the defendant. The agreement included an unenforceable non-compete clause that prohibited her from engaging in any sales activity for a period of 18 months following her termination or resignation. That employer terminated the plaintiff, and she quickly found employment as a sales representative with the defendant. When the prior employer learned of her new employment with the defendant, the prior employer sent a letter to the defendant requesting its cooperation in enforcing the non-compete. Shortly thereafter, the defendant informed the plaintiff it was terminating her because, although it believed that “non-compete clauses are not legally enforceable here in California,” it desired “to keep the same respect and understanding with colleagues in the same industry.” The trial court granted the defendant’s demurrer, but the Court of Appeal reversed, holding that the plaintiff had stated a cause of action for wrongful termination in violation of public policy. The court noted: “the interests of the employee in his own mobility and betterment are deemed paramount to the competitive business interests” of employers.
**What it means for employers:** Most California employers are aware that non-competes are generally unenforceable in California and have learned of the liability associated with attempting to enforce them. *Silguero* indicates that liability now extends not just to employers attempting to enforce such unenforceable provisions but also to employers who simply do not want to become involved in a dispute between an employee and her or her former employer over the enforceability of such provisions. *Silguero* potentially puts employers in the unenviable position of having to pay for litigation over restrictive covenants they had no involvement in preparing or enforcing. Employers who receive “cease and desist” letters like the one the defendant received in *Silguero* should carefully review the letters and the agreement at issue before making any decisions that would affect an employee’s employment (or applicant’s potential employment) with the company.
9. **Employer liable for retaliation based on reprisals against fiancé or close associates of complaining worker.**
*Thompson v. North Amer. Stainless*, 2011 WL 197638 (U.S. S.Ct. Jan. 24, 2011)
**Facts:** In *Thompson*, the plaintiff’s fiancé filed a sex discrimination charge with the EEOC. Three weeks later, the plaintiff was fired. The plaintiff filed suit, alleging his termination was in retaliation for his fiancé filing her EEOC charge. The employer obtained summary judgment on the ground that third-party claims—like the plaintiff’s—were not permitted under Title VII. The Court of Appeals affirmed *en banc*, and the U.S. Supreme Court reversed. The Court drew heavily from its decision in *Burlington N. & S.F.R. Co. v. White*, 548 U.S. 53 (2006), in which the Court found Title VII’s anti-retaliation provisions prohibited any employer action that “well might have dissuaded a reasonable worker from making or supporting a charge of discrimination.” The Court found it “obvious that a reasonable worker might be dissuaded from engaging in protected
activity if she knew that her fiancé would be fired.” The Court declined to articulate the type of relationship the coworker must have with the complainant to be covered by Title VII’s anti-retaliation prohibitions: “We expect that firing a close family member will almost always meet the *Burlington* standard, and inflicting a milder reprisal on a mere acquaintance will almost never do so, but beyond that we are reluctant to generalize.”
**What it means for employers:** Statistics suggest that it is easier for plaintiff employees to win a retaliation case than a discrimination case. Savvy employers have always kept their antennae up once an employee makes a complaint or otherwise engages in protected activity, knowing that any adverse action subsequently taken against such an employee could be construed as retaliation. The *Thompson* case indicates that employers now should extend the same caution to those close to the complainant. While the *Thompson* case involves retaliation under Title VII, the holding likely will be extended to other federal laws prohibiting retaliation, as well as the anti-retaliation provisions of California’s Fair Employment and Housing Act (“FEHA”).
10. **Employee may not have assigned rights to his “ideas” in executing typical employee invention assignment agreement.**
*Mattel, Inc. v. MGA Entm’t, Inc.*, 616 F.3d 904 (9th Cir. 2010)
**Facts:** While employed by Mattel in the “Barbie Collectibles” department, Carter Bryant conceived of and began designing the “Bratz” dolls. Although Bryant had entered into an invention assignment agreement with Mattel in connection with his employment, which assigned to Mattel all “inventions” he created during his employment with Mattel, he pitched his Bratz idea to Mattel’s competitor, MGA. MGA agreed to hire Bryant as a consultant. After giving notice to Mattel but before leaving its employ, Bryant continued to work with MGA to develop the Bratz dolls. MGA kept Bryant’s involvement on the Bratz dolls a secret, but eventually Mattel found out and sued. Mattel argued that Bryant violated his employment agreement by offering MGA his Bratz idea instead of disclosing and assigning it to Mattel. The jury returned a $10 million verdict in favor of Mattel, and based on the jury’s findings, the court ordered MGA to return to Mattel the entire Bratz portfolio. The Ninth Circuit reversed, finding error in the trial court’s assumption that Bryant assigned to Mattel the “idea” of the Bratz dolls. The Ninth Circuit noted that, although Bryant had assigned to Mattel all of his “inventions” (which were defined included a whole host of intellectual property, including “discoveries, improvements, processes, developments, designs, [and] know-how”), “ideas” were not specifically identified in the assignment agreement and therefore not necessarily assigned to Mattel. The court remanded the case for a trial on that issue and others.
Employee invention assignment agreements should be carefully tailored to each employee’s job and his or her anticipated creative inventions.
What it means for employers: California law allows employers to require employees to assign to them nearly all inventions employees create during their employment. The invention assignment agreement Mattel used was fairly typical of such agreements. However, because it was not tailored to the type of creative work the employee was performing, a jury will now decide who owns the intellectual property. A more detailed assignment provision might have avoided this result. Employers who have employees engaged in the development of intellectual property should be sure to have those employees execute a carefully-drafted invention assignment agreement that is tailored to each employee’s work and specifically covers all intellectual property an employer anticipates the employee might create. To maximize ownership of employee inventions, employers also should be certain the invention assignment agreement complies with Labor Code requirements.
For additional information about any of the matters discussed in this article, please contact Pennington Lawson Co-Founder, Lisa Lawson:
firstname.lastname@example.org
To continue to receive PL Employer Alerts, follow Pennington Lawson on LinkedIn.
Pennington Lawson LLP is a women-owned boutique law firm formed in 2010 with the goal of providing sophisticated, “big-firm” legal services at rates designed to help clients control their costs. Our specialties include real estate law and all aspects of state and federal employment law. We have extensive experience in employment litigation (in state and federal court, as well as arbitration); counseling; training; workplace investigations; negotiation of employment and separation agreements; and preparation of employment-related policies and documents.
The information in this article is for informational purposes only and is not intended to, and does not, constitute legal advice or a solicitation for the formation of an attorney-client relationship. No attorney-client relationship is created through the reading of this article.
© Pennington Lawson LLP
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Kenorland Minerals Reports 2021 Drill Results from the Healy Project, Alaska
Vancouver, British Columbia, April 1, 2022 – Kenorland Minerals Ltd. (TSXV: KLD) (OTCQX: NWRCF) (FSE:3WQ0) (“Kenorland” or “the Company”) is pleased to announce results from the 2021 maiden diamond drill program at the Healy Project (“the Project”), located within Alaska’s prolific Goodpaster Mining District, and held under joint venture (“the Joint Venture”) with Newmont Corporation (“Newmont”) (NYSE:NEM). Wide-spaced drilling was designed to test three target areas (Bronk, Thor, and Spike) defined by extensive gold-in-soil geochemical anomalies. Assays from all 14 drill holes completed during the program, including 5,247 meters, are reported herein.
- Along the southern end of the Bronk target area, **21HDD011** intersected multiple intervals of broad low-level gold mineralisation within a steeply dipping shear zone including **37.68m at 0.12 g/t Au**, **36.80m at 0.33 g/t Au**, **20.55m at 0.16 g/t Au**, and **21.90m at 0.22 g/t Au**. **21HDD024** stepped out 800 meters along strike to the north of **21HDD011**, also intersecting multiple intervals of low-level gold mineralisation along the same structure including **11.82m at 0.12 g/t Au**, **32.76m at 0.13 g/t Au**, **35.56m at 0.26 g/t Au**, and **26.41m at 0.19 g/t Au**. **21HDD012** stepped out a further 600 meters along strike to the north of **21HDD024**, intersecting **53.64m at 0.16 g/t Au** and **21HDD013**, a further 300-meter step-out along strike to the north of **21HDD012**, intersected **34.86m at 0.19 g/t Au**, extending the total strike length of mineralisation at Bronk to over 1700 meters with a mineralised footprint of up to 500 meters wide, open in multiple directions.
- At Thor, located approximately two kilometers to the west of Bronk, **21HDD017** intersected **11.90m at 1.29 g/t Au** within the hanging wall of a low angle structure along the contact between the augen gneiss and paragneiss units. **21HDD019**, a 250-meter step out along strike to the south of **21HDD017**, intersected **13.38m at 1.22 g/t Au** within the hanging wall of a similar low angle structure within the augen gneiss unit. **21HDD015** drilled along the same fence as **21HDD019**, intersected **24.16m at 0.25 g/t Au**, also within the hanging wall of a low angle structure on the contact between the augen gneiss and paragneiss units. The known mineralised footprint at Thor is currently 500 meters by 500 meters and remains open.
- Broadly disseminated and vein-hosted low-level gold mineralisation encountered in all targets areas confirm the presence of a kilometer-scale gold system. The alteration, mineralisation, and geochemical signature suggest a distal environment of an intrusion related system with widespread fluid flow permeating along low angle thrust faults and high angle shear zones.
- High-power Titan™ IP and MT surveys completed towards the end of the drill program support the geological interpretation and highlight significant untested geophysical anomalies associated with mineralisation, controlled by structural and lithological traps.
Zach Flood, CEO of Kenorland states, “The maiden diamond drill program confirmed the presence of a large-scale gold system at Healy evidenced by broad mineralisation encountered throughout the wide-spaced drilling across multiple target areas. While there are many indications that Healy represents a significant greenfields gold discovery within Alaska’s prolific Goodpaster Mining District, it will require additional drill testing to fully evaluate the economic potential. We will provide an update on our
exploration plans going forward after we have completed a detailed review of the results and targets with Newmont Corporation, who currently holds a 30% participating interest in Healy.”
**Figure 1. Plan map of 2021 Healy diamond drill program**
**Discussion of Results**
The 2021 diamond drill program was designed to test three target areas; Bronk, Thor, and Spike, all defined by kilometer-scale coherent Au-As+/-Sb soil geochemical anomalies within a package of dominantly metamorphic rocks including schist, paragneiss and augen gneiss. All drill holes intersected broad low-level gold mineralisation with associated widespread disseminated sulphides, alteration and veining. Mineralisation is controlled by both early, low-angle east-verging thrust faults, high-angle northeast striking shear zones and major lithological contacts. The structural setting of the Healy gold system is analogous to other major deposits in the region including Pogo in the Goodpaster District (greater than 8 million ounces of Au endowment), as well as Naosi located in the Richardson District (1.5 million ounces Au inferred resource). Geochemical associations of gold with silver, antimony and arsenic indicate an overall distal intrusion-related setting for the Healy gold system.
Geophysical imaging of the Healy property was achieved with deep-seeing Titan™ IP and MT surveys (induced polarization and magnetotellurics), transecting five kilometers across the three target areas where drilling was conducted. The surveys were carried out towards the end of the field season due to contractor availability. The IP and MT surveys, which imaged up to 800 meters and 4 kilometers depth respectively, support the presence of shallowly dipping, east-verging architecture with mineralisation occurring along low angle thrust faults and steeper cross-cutting fault corridors. Broad zones of disseminated sulfide and strong alteration are well-defined in the chargeability and resistivity data with zones of combined high chargeability and low resistivity (high conductivity) correlating well with mineralised intercepts from the 2021 drill program. The imaging of additional strongly conductive and
chargeable zones, between drilled prospects, highlight significant exploration targets which warrant follow-up drill testing.
**Figure 2. Stacked cross section showing (from top to bottom: geological interpretation, IP (induced polarization) chargeability, DC (direct current) resistivity, MT (magnetotelluric) resistivity)**
- **Highlighted Intercepts**
- **Au Assay > 0.1 g/t**
- **Mineralisation Target**
- **Alteration**
**Augen Gneiss**
**Hornblende Paragneiss**
**Quartz-Mica Schist**
**Paragneiss**
**Chargeability**
- High: 109.3
- Low: 0.0
**DC Resistivity**
- High: 4.8
- Low: 1.0
**MT Resistivity**
- High: 4.4
- Low: 1.1
**Strong Chargeability**
**Strong Conductivity**
Discussion of Results (continued)
Mineralisation styles at Healy include disseminated sulphide, vein-hosted sulphide, and breccia-fill sulphide including arsenopyrite, pyrite, and stibnite with rare sphalerite. Pervasive alteration is dominantly sericite, carbonate with lesser fuchsite associated with structural features. Veins typically occur as sheeted to stockwork cm-scale quartz-carbonate. Gold-silver and arsenic-antimony ratios are highest within disseminated mineralisation at the Thor prospect in the west while the sulphide breccia-fill mineralisation at Bronk has distinctly higher silver and antimony, representing a broad geochemical zonation from more proximal to distal setting. Gold mineralisation and alteration occurs over a four-kilometer by two-kilometer footprint demonstrating extensive fluid flow associated with a significant gold system.
Figure 3. Complete table of results
| Hole ID | From (m) | To (m) | Length (m) | Au (g/t) |
|---------|----------|----------|------------|----------|
| | | | | |
| 21HDD011| 232.30 | 238.32 | 6.02 | 0.21 |
| | 246.20 | 283.88 | 37.68 | 0.12 |
| | 340.20 | 377.00 | 36.80 | 0.33 |
| | 384.00 | 404.55 | 20.55 | 0.16 |
| | 416.30 | 438.20 | 21.90 | 0.22 |
| | 448.40 | 456.90 | 8.50 | 0.22 |
| 21HDD012| 83.52 | 137.16 | 53.64 | 0.16 |
| 21HDD013| 224.20 | 237.45 | 13.25 | 0.20 |
| | 389.64 | 424.50 | 34.86 | 0.19 |
| 21HDD015| 73.34 | 97.50 | 24.16 | 0.25 |
| | 80.70 | 92.10 | 11.40 | 0.22 |
| 21HDD016| 154.38 | 161.65 | 7.27 | 0.22 |
| | 331.90 | 335.08 | 3.18 | 0.47 |
| | 343.63 | 351.25 | 7.62 | 0.26 |
| 21HDD017| 118.95 | 150.00 | 31.05 | 0.71 |
| | 121.50 | 133.40 | 11.90 | 1.29 |
| 21HDD019| 20.20 | 33.58 | 13.38 | 1.22 |
| | 35.89 | 46.00 | 10.11 | 0.21 |
| 21HDD020| 160.13 | 190.45 | 30.32 | 0.24 |
| | 245.33 | 250.78 | 5.45 | 0.26 |
| 21HDD021| 32.58 | 37.43 | 4.85 | 0.26 |
| 21HDD022| 87.60 | 103.93 | 16.33 | 0.10 |
| | 225.35 | 230.18 | 4.83 | 0.22 |
| 21HDD023| 315.31 | 325.53 | 10.22 | 0.10 |
| | 8.73 | 16.76 | 8.03 | 0.18 |
| 21HDD024| 108.48 | 120.30 | 11.82 | 0.12 |
| | 167.04 | 199.80 | 32.76 | 0.13 |
| | 284.64 | 320.20 | 35.56 | 0.26 |
| | 335.87 | 362.28 | 26.41 | 0.19 |
Figure 4. Drill collar table
| Hole ID | Easting (NAD83) | Northing (NAD83) | Elevation (m) | Depth (m) | Dip | Azimuth |
|-----------|-----------------|------------------|---------------|-----------|-----|---------|
| 21HDD011 | 632413 | 7117559 | 1088 | 476.7 | -45 | 288 |
| 21HDD012 | 632614 | 7118836 | 1273 | 400.81 | -45 | 106 |
| 21HDD013 | 632893 | 7119104 | 1134 | 453.24 | -50 | 286 |
| 21HDD014 | 630093 | 7118824 | 937 | 226.77 | -45 | 112 |
| 21HDD015 | 630092 | 7118824 | 937 | 214.88 | -65 | 248 |
| 21HDD016 | 629746 | 7118720 | 932 | 369.88 | -45 | 112 |
| 21HDD017 | 630077 | 7119108 | 919 | 318.36 | -55 | 108 |
| 21HDD018 | 633782 | 7117902 | 1329 | 349.45 | -45 | 108 |
| 21HDD019 | 630230 | 7118773 | 960 | 509.78 | -45 | 112 |
| 21HDD020 | 632027 | 7117691 | 977 | 344.73 | -45 | 288 |
| 21HDD021 | 632027 | 7117691 | 977 | 393.8 | -70 | 288 |
| 21HDD024 | 632134 | 7118458 | 1078 | 403.86 | -45 | 109 |
| 21HDD022 | 631943 | 7118546 | 1052 | 297.79 | -45 | 108 |
| 21HDD023 | 632708 | 7118219 | 1170 | 486.77 | -45 | 290 |
Figure 5. Claim map of the Goodpaster District
About the Healy Project
Located in the prolific Goodpaster Mining District of Alaska, home of the Pogo gold mine, the Healy Project covers 18,470-hectares of Alaska state mining claims. The Healy Project was first identified and staked by Newmont Corporation in 2012, following a two-year regional stream sediment sampling program in eastern Alaska. Follow-up prospecting, mapping and systematic soil sampling defined multiple kilometer-scale gold, arsenic and antimony in soil geochemical anomalies. The Project is located along a major northeast trending fault system, as well as the prospective regional contact between metasedimentary rocks and Cretaceous intrusive rocks, similar to the neighbouring Pogo and Tibbs areas. The property scale structural geology is defined by numerous low-angle thrust faults cut by steeply dipping northeast trending faults. Gold anomalism is spatially associated with both steeply dipping faults and low angle thrust faults. No recorded exploration work had been done on the Healy Project prior to Newmont in 2012 and 2013. In 2018, Kenorland Minerals (formally Northway Resources Corp.) entered into an option agreement with Newmont and has now completed its Phase 1 Earn-in minimum work expenditures of US$4m for which it has earned a 70% interest in the Healy Project. Joint funding has commenced whereby Kenorland and Newmont are participating on a pro-rata basis of 70% and 30%, respectively.
Figure 6. Location of the Healy Project
QA/QC and Core Sampling Protocols
All drill core samples were collected under the supervision of Kenorland employees. Drill core was transported from the drill platform to the logging facility where it was logged, photographed, and split by diamond saw prior to being sampled. Samples were then bagged, and blanks and certified reference materials were inserted at regular intervals. Groups of samples were placed in large bags, sealed with numbered tags in order to maintain a chain-of-custody, and transported from Delta Junction to a Bureau Veritas Commodities laboratory in Fairbanks, Alaska. Samples were prepared for analysis according to BV
method PRP70-250 where samples were crushed to 2mm and a 250g split was pulverized for analysis and then assayed for Gold. Gold in samples was analyzed by fire assay with AAS finish and over-limits re-analyzed gravimetrically. In zones with macroscopic gold the samples were first screened, and the fine fraction was fire assayed with AAS finish. Multi-element geochemical analysis (45 elements) was performed on all samples using BV method MA200 where a 0.25g split is heated in HNO3, HCIO4, and HF to fuming and taken to dryness. The residue is dissolved in HCl and analyzed by a combination of ICP-ES/MS. All results passed the QAQC screening at the lab, all company inserted standards and blanks returned results that were within acceptable limits.
**Qualified Person**
Mr. Jan Wozniewski, B. Sc., P. Geo., OGQ (#2239) is the “Qualified Person” under National Instrument 43-101, has reviewed and approved the scientific and technical information in this press release.
**About Kenorland Minerals**
Kenorland Minerals Ltd. (TSX.V KLD) is a mineral exploration Company incorporated under the laws of the Province of British Columbia and based in Vancouver, British Columbia, Canada. Kenorland’s focus is early to advanced stage exploration in North America. The Company currently holds four projects in Quebec where work is being completed under joint venture and earn-in agreement from third parties. The Frotet Project is held under joint venture with Sumitomo Metal Mining Co., Ltd., the Chicobi Project is optioned to Sumitomo Metal Mining Co., Ltd., the Chebistuan Project is optioned to Newmont Corporation, and the Hunter Project is optioned to Centerra Gold Inc. In Ontario, the Company holds the South Uchi Project under an earn-in agreement with a wholly owned subsidiary of Barrick Gold Corporation. In Alaska, USA, the Company owns 100% of the advanced stage Tanacross porphyry Cu-Au-Mo project as well as a 70% interest in the Healy Project, held under joint venture with Newmont Corporation.
Further information can be found on the Company’s website [www.kenorlandminerals.com](http://www.kenorlandminerals.com)
---
**Cautionary Statement Regarding Forward Looking Statements**
*This news release contains forward-looking statements and forward-looking information (together, "forward-looking statements") within the meaning of applicable securities laws. All statements, other than statements of historical facts, are forward-looking statements. Generally, forward-looking statements can be identified by the use of terminology such as "plans", "expects", "estimates", "intends", "anticipates", "believes" or variations of such words, or statements that certain actions, events or results "may", "could", "would", "might", "will be taken", "occur" or "be achieved". Forward looking statements involve risks, uncertainties and other factors disclosed under the heading "Risk Factors" and elsewhere in the Company's filings with Canadian securities regulators, that could cause actual results, performance, prospects and opportunities to differ materially from those expressed or implied by such forward-looking statements. Although the Company believes that the assumptions and factors used in preparing these forward-looking*
statements are reasonable based upon the information currently available to management as of the date hereof, actual results and developments may differ materially from those contemplated by these statements. Readers are therefore cautioned not to place undue reliance on these statements, which only apply as of the date of this news release, and no assurance can be given that such events will occur in the disclosed times frames or at all. Except where required by applicable law, the Company disclaims any intention or obligation to update or revise any forward-looking statement, whether as a result of new information, future events or otherwise.
Neither the TSX Venture Exchange nor its Regulation Services Provider (as that term is defined in the policies of the TSX Venture Exchange) accepts responsibility for the adequacy or accuracy of this release.
|
October 14, 2016
UNIVERSITY CURRICULUM COMMITTEE – 2016-2017
Dr. William K. Vencill, Chair
Agricultural and Environmental Sciences – Dr. Elizabeth Little
Arts and Sciences – Dr. Sujata Iyengar (Arts)
Dr. Rodney Mauricio (Sciences)
Business - Dr. Myra L. Moore
Ecology – Dr. Sonia Altizer
Education - Dr. Seock-Ho Kim
Engineering - Dr. Sudhagar Mani
Environment and Design - Mr. David Spooner
Family and Consumer Sciences - Dr. Patricia Hunt-Hurst
Forestry and Natural Resources - Dr. John C. Maerz
Journalism and Mass Communication - Dr. Alison F. Alexander
Law - Ms. Elizabeth Weeks Leonard
Pharmacy – Dr. Robin Southwood
Public and International Affairs - Dr. Robert Grafstein
Public Health – Dr. Anne Marie Zimeri
Social Work - Dr. David O. Okech
Veterinary Medicine - Dr. Kira L. Epstein
Graduate School - Dr. Timothy L. Foutz
Ex-Officio - Provost Pamela S. Whitten
Undergraduate Student Representative – Ms. Gabrielle Roth
Graduate Student Representative – Ms. Ashley E. Fallaize
Dear Colleagues:
The attached proposal for a new Engineering Education Transformations Institute will be an agenda item for the October 21, 2016, Full University Curriculum Committee meeting.
Sincerely,
William K. Vencill, Chair
University Curriculum Committee
cc: Provost Pamela S. Whitten
Dr. Rahul Shrivastav
OVERVIEW
Name: Engineering Education Transformations Institute (EETI)
Need: Capitalize on timely internal and growing external opportunities for engineering education work to inform the growth and continued improvement of our engineering programs and garner extra-mural support and visibility.
Purpose: Promote and sustain a culture of engineering education scholarship and innovation that reaches across all programs in the College of Engineering and promotes educational excellence and institutional diversity.
VISION
The Engineering Education Transformations Institute (EETI) will serve to infuse a culture of engineering education (ENED) scholarship, research, and innovation throughout all administrative units and the fifteen degree programs in the College of Engineering (CENGR). Appendix D provides a letter of support from Dean Leo describing the college’s commitment to establishing and supporting this institute. Through building capacity and social capital around engineering education innovation and engineering education research, this approach offers a unique way to integrate and advance the research and teaching missions of the university while embedding principles of diversity and inclusion in all aspects of operation.
In the engineering context, the creation of an innovative, embedded engineering education institute responds to national calls for increasing the number and diversity of engineering students combined with the recognized need for novel and creative ways to educate engineering students to adequately prepare them for the complex, global challenges of the 21st century¹.
Reaching across multiple engineering disciplines and positioned at the nexus of educational practice and research², EETI will leverage synergies between a vibrant culture of local educational innovation and extramurally funded engineering education development, diversity, and research projects to improve the educational experience of our students and promote diversity in our programs. Figure 1 below illustrates the mutually beneficial relationships between the described aspects of the institute vision.
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¹ National Academy of Engineering. (2005). *Educating the Engineer of 2020: Adapting Engineering Education to the New Century*. Washington, DC: National Academies Press.
² Jamieson, L. H., & Lohmann, J. R. (2009). *Creating a Culture for Scholarly and Systematic Innovation in Engineering Education: Ensuring US Engineering Has the Right People with the Right Talent for a Global Society*. Washington, DC: American Society for Engineering Education.
NATIONAL CONTEXT AND OPPORTUNITY
The proposed institute will capitalize on a range of current opportunities that emerge from the national STEM discourse and from the developments in the growing engineering education research community.
STEM education has been identified as a national priority\(^3\) as reflected in a range of significant funding opportunities through the National Science Foundation\(^4\), other national agencies (e.g., DOE), and foundations (e.g., SLOAN). In the engineering context, this recognition of the importance of STEM education parallels national and international discussions around the need to substantially transform engineering education systems to respond to the rapidly shifting demands that the grand challenges of the 21\(^{st}\) century place on the profession\(^5\).
Accordingly, the NSF provides substantial funding sources for engineering education research (see Appendix A for a description of the RFE program) that is expected to provide the empirical evidence base to inform and underpin the educational transformation. Other programs that have traditionally focused on educational innovation (see Appendix A for a description of the TUES program) are, without exception, increasingly emphasizing fundamental educational research as a component of engineering education innovation projects. This development requires that project teams possess significant educational research expertise and limits the potential funding success of engineering educators who do not have a collaborative network to provide this expertise. In response, a recent focus of funding programs has been on expanding the engineering education research community to integrate a broader range of engineering educators in this shared endeavor (see Appendix A for a description of the RIEF program). Building such shared capacity will, through the proposed institute, in the long-term, enable CENGR to successfully compete for larger scale educational transformation projects (see Appendix A for a description of the RED program).
Leveraging prior, distributed ENED work in CENGR, EETI will foster these collaborative structures and build shared research capacity to make use of the full range of funding opportunities spanning educational innovation, fundamental engineering education research, and research initiation efforts. These activities will leverage prior local investments (e.g., UGA STEM mini grants, CENGR learning technology grants) and further develop such local projects to lead to competitive extramural funding applications across the above described programs.
PRINCIPLES AND ASSOCIATED GOALS
The following articulates the three core principles that guide the implementation and subsequent operation of the EETI. These principles underpin specific institute goals and are subsequently mapped to measures of success that provide the basis for evaluation of the institute.
**Promote CENGR Mission**
The institute is strategically positioned to support a number of key areas of the college’s mission. More specifically, EETI will leverage existing efforts to:
1. Expand and promote engineering scholarship of teaching and learning (SOTL) efforts.
2. Increase extramurally funded engineering education development and research projects.
3. Improve our growing programs and the educational experiences of our students.
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\(^3\) Committee on STEM Education, National Science and Technology Council. (2013). Federal science, technology, engineering and mathematics (STEM) education: 5-year strategic plan (www.whitehouse.gov/sites/default/files/microsites/ostp/stem_stratplan_2013.pdf)
\(^4\) See Appendix A for examples of relevant programs and solicitations.
\(^5\) National Academy of Engineering. (2008). Grand Challenges for Engineering.
Promote People
With its integrated and embedded approach, EETI will focus on building capacity and social capital around engineering SOTL. More specifically, the institute will support diverse activities and programs to:
4. Create a community around engineering SOTL in the college and empower engineering faculty to improve and conduct research on their own teaching.
5. Promote a cadre of research active or research engaged lecturers that currently play a key role in the instructional delivery of our programs.
6. Engage graduate students and future faculty in engineering SOTL as a key aspect of their preparation for the professoriate.
Promote Culture
Aligned with its mission and goals, EETI will explicitly pursue and foster the following aspects of its collaborative culture. The activities in the institute will be underpinned by:
7. A focus on impact where educational research and development concretely improve educational practice locally and nationally.
8. Collaboration and interdisciplinarity as a mode of operation that purposefully engages all partners in CENGR, across UGA, and at other institutions.
9. A shared commitment to the principles of diversity and inclusiveness to inform daily operations and underpin work conducted in the institute.
GOALS AND MEASUREABLE IMPACT
| | Goal | Measure |
|---|----------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 1.| Increased SOTL activity within CENGR | Number and diversity (in terms of focus, scale, and scope) of engineering education activities in the college. |
| 2.| Increased ENED funding | Number of ENED funding proposals submitted and funded. Number and range of faculty (core, affiliate) to submit ENED proposals. |
| 3.| Improve educational programs in CENGR | Number of courses impacted by ENED innovations and diversity of the scope of projects (part of course, course-level, curriculum level). Impacts on overall curriculum development. |
| 4.| Faculty engagement and professional development | Number and range (rank, discipline, etc.) of faculty engaged in ENED activity. Number of professional development activities offered by the institute. |
| 5.| Research-active or engaged lecturers | Number of lecturers actively engaged in ENED activities at various scales. Level of ENED activity located in the context of core engineering courses. |
| 6.| Graduate engineering SOTL education | Number and disciplinary range of graduate students engaged in ENED activities or programs offered by the institute. Impacts on career paths of engineering graduate students. |
| 7.| Focus on impact | Degree to which ENED projects are linked to innovations in engineering courses or impact on the field nationally. |
| 8.| Collaboration and interdisciplinary | Number and diversity of partnerships to pursue ENED projects. |
| 9.| Diversity and inclusiveness | Diversity of faculty and student members of the institute. Number of projects and initiatives directly related to diversity. Degree to which principles of diversity and inclusiveness are integrated in ENED activities and projects. Internal and external recognition of diversity work and impact. |
TABLE 1: INSTITUTE GOALS AND SUCCESS METRICS
MEETING INSTITUTE REQUIREMENTS
The following details how EETI contributes to the mission of the university in ways that cannot be accomplished through existing administrative units alone.
UNIVERSITY MISSION-RELATED ACTIVITIES
Interdisciplinary research
The proposed institute is positioned to reach across all administrative units in the College of Engineering. In the context of our growing undergraduate programs, core and member faculty will represent all administrative units in the college as well as our fifteen degree programs and infuse a culture of engineering education innovation and research into educational and curriculum development. In the context of research in the college, EETI is, through its expertise in educational and social methods of inquiry, ideally positioned to support and augment research projects in other CENGR institutes\(^6\) whose foci inherently contain social and educational facets. In addition to infusing educational or engagement components into technical engineering research projects, the institute will also offer all engineering faculty opportunities to initiate engineering education research or innovation activities in the context of their own teaching.
Continuing education and professional development
The focus on promoting individuals and on building shared capacity offers unique opportunities for continuing education and professional development of our graduate students and faculty. The institute activities will provide graduate students across our programs with avenues to develop expertise in engineering education, a qualification that is increasingly recognized as crucially important in the competitive academic job market. The focus on developing engineering education opportunities for lecturers, who are significant contributors to our core undergraduate courses, provides exciting avenues for professional growth and for more broadly framing their increasingly important role at a research university.
Expand extramural funding
As detailed above, the formation of the proposed institute will enable the College of Engineering to capitalize on significant funding opportunities in the engineering education and STEM education areas while, at the same time, adding significant value to the development and improvement of our engineering programs. This unique way of integrating our research and teaching mission across units and engineering disciplines stands to significantly benefit both our research mission and our students.
VALUE ADDED TO CENGR
Integrated efforts across engineering units and reach beyond CENGR
The proposed institute responds to two key challenges in the development of the College of Engineering. First, as the number of faculty continues to grow, administrative sub-units become necessary to organize scholarly activities, but do not inherently promote broadly collaborative and cross-cutting activities. Engineering education offers an opportunity for cross-cutting work to engage faculty and graduate students across disciplinary or administrative lines. The proposed institute will purposefully promote these activities and serve as their recognized home. This recognition and level of visibility will also strengthen and continue to grow partnerships between CENGR and other
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\(^6\) New Materials Institute, Institute for Resilient Infrastructure, Informatics Institute
units on campus. Examples of prior collaborative efforts between engineering and social work\(^7\) or engineering and art\(^8\) provide the basis for the institute to expand collaborative educational efforts across campus.
**Focal point for distributed ENED activity**
In line with the needs, opportunities, and goals discussed above, EETI will provide a crucial focal point for existing, distributed ENED work in the College of Engineering. A wide range of faculty are currently engaged in ENED-related activities, some of which are supported by local funding. The impacts and growth potential of these activities are currently limited by their distributed nature that risks a lack of connection between related efforts. Through building social capital and shared capacity around ENED activities, EETI will focus and purposefully connect existing activities with a view to elevating efforts to a nationally competitive level.
**Cross-cutting graduate education offerings**
Drawing on the expertise and activities of its members, the proposed institute will develop educational offerings that infuse engineering education content into the graduate experiences of students across the college. These educational program and initiatives will co-evolve with the forming structures and needs of CENGR. Plans for an integrated initiative to infuse engineering SOTL into all aspects of the graduate experience in the college are outlined in the section on educational programs below.
**Integrated structure to support diversity efforts**
With the shared capacity in educational research and development and the core principle of promoting diversity, the EETI can serve as a key home for purposeful efforts to promote diversity at all levels in the college. Engineering education as an emerging discipline inherently focuses on attracting and retaining underrepresented groups in a field that is characterized by persistent challenges in the diversity area. Building on activities in the college, EETI can serve as a contact point and conduit to link to and integrate with larger efforts to promote diversity across UGA. In developing this strand, EETI can leverage prior ENED efforts in the college that focus on both investigating diversity issues in engineering\(^9\) and infusing the engineering perspective in larger diversity efforts in the STEM context\(^10\). To promote this focus in context of diversity efforts across campus, the institute will build on existing collaborations with the Office of Institutional Diversity (see letter of support from Dr. Cook in Appendix D) and the Graduate School (see letter of support from Dean Barbour in Appendix D). Dr. Cook and Dean Barbour have agreed to support the formation of the institute by serving on its advisory board during this crucial phase of formation.
**DELINEATION OF INSTITUTE FOCUS FROM EXISTING EFFORTS AT UGA**
The proposed institute will be formed within and supported by the College of Engineering to address specific internal educational, professional development, and research needs in an integrated fashion. As such, the center of gravity of institute activities will lie in the college with promising opportunities to connect to and leverage synergies with ongoing efforts at UGA. The following provides some additional context of the vision for engineering education work proposed here that will help to delineate the proposed efforts from the work of other units on campus.
**Need to foster local ENED community that connects educational research to practice**
As outlined above, the proposed institute responds to specific local needs and opportunities within the college. The vision outlined herein promises to connect discipline-based educational research in engineering to the practice of engineering instruction to achieve a sustained cultural and organizational transformation in our college. As such the activities proposed are synergistic with the focus of UGA’s STEM Office on the quality of undergraduate instruction
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7 NSF Award 1463829: “The Empathy Project: An Interdisciplinary Research Effort to Develop a Transferable Theory of Empathy in Engineering” ($340k) – collaboration with UGA School of Social Work.
8 NSF Award 0837173: “The Synthesis of Engineering and Art for Innovative Education” ($150k) and NSF Award 1025190: “Making Connections: A Theory of Synergistic Learning in Engineering” ($400k) – collaborations with UGA Lamar Dodd School of Art
9 NSF Award 1531947: Understanding and Reshaping Systemic Communication Patterns in Engineering Education ($338k).
10 Dr. Walther serves in various functions on the UGA teams for the NSF INCLUDES, AGEP, ADVANCE efforts.
in the STEM fields and the mission of the Center for Teaching and Learning (See letter of support from Dr. Watson in Appendix D) that provides instructional leadership and professional development. In its focus on discipline-based educational research, the institute’s activities also offer synergies with activities in the College of Education (see letter of support from Dean Kennedy in Appendix D) as evidenced by prior collaborative, nationally funded work\textsuperscript{11}.
However, the institute’s focus on building local and contextual community and capacity within the college and addressing specific graduate education needs can inherently not be addressed by the aforementioned units.
\textit{Engineering education and its relationship to other disciplinary education}
Engineering education builds on a long-standing tradition of discipline-specific scholarship of teaching and learning\textsuperscript{12} and has more recently developed as a research discipline in its own right\textsuperscript{13}. This discipline-specific orientation of the field that is also reflected in the vision for the proposed institute is owed to the specific location of engineering education at the nexus of other educational fields.
More specifically, engineering as part of the STEM disciplines shares a body of educational knowledge with the sciences through its grounding in the engineering sciences. These educational interests around the engineering fundamentals courses provide fertile ground for collaboration with other science educators as represented in the SEER Center at UGA (see letter of support from Dr. Lemons, the Director of SEER in Appendix D).
At the same time, the focus of engineering as a professional degree with the aim of preparing practitioners puts the field in relationship to other professional education endeavors in disciplines such as medicine, social work, or nursing. Such educational research and development focuses on the role of the practitioner in society, educating for professional ethics or, more broadly, aspects of professional socialization. The prior nationally funded engineering education work that this institute builds on\textsuperscript{14} reflects this focus on inter-professional education. The proposed institute, in collaboration with the School of Social Work (see letter of support from Dean Scheyett in Appendix D), will work on strengthening and broadening the inter-professional education efforts at UGA. A framing of the institute’s efforts through the lens of STEM education only would thus be limiting the scope of impact and synergistic activities in the inter-professional education space.
In addition to the engineering science and professional formation foci, engineering education also comprises significant components of design that are based on a distinct body of knowledge and research. Some of the educational considerations in this domain are shared with disciplines such as landscape architecture, architecture, or art. Prior interdisciplinary engineering education efforts at UGA have explored such interdisciplinary efforts focused on aspects of creativity and disciplinary identity\textsuperscript{15}.
In summary, engineering education shares features with \textbf{STEM education}, \textbf{professional education}, and \textbf{design education} that are the focus of other activities at UGA. The proposed institute will pursue these three aspects of engineering education in an integrated fashion within the specific engineering context and within the setting of CENGR. This context-specific combination of the above-described educational facets can inherently not be supported comprehensively by either the Center for Teaching and Learning, the UGA STEM Office, or the SEER Center. The Engineering Education Transformations Institute provides, and will pursue, the mutually beneficial
\begin{footnotesize}
\textsuperscript{11} NSF Award 1542531: “A Long Way Coming”--Understanding Engineering Educators’ Transformations to Student-Centered Teaching ($344k) – collaboration with UGA College of Education.
\textsuperscript{12} Froyd, J. E., Wankat, P. C., & Smith, K. A. (2012). Five major shifts in 100 years of engineering education. Proceedings of the IEEE, 100 (Special Centennial Issue), 1344-1360.
\textsuperscript{13} Radcliffe, D. F. (2006). Shaping the discipline of engineering education. Journal of Engineering Education, 95(4), 263.
\textsuperscript{14} NSF Award 1463829: “The Empathy Project: An Interdisciplinary Research Effort to Develop a Transferable Theory of Empathy in Engineering” ($340k) – collaboration with UGA School of Social Work.
\textsuperscript{15} NSF Award 0837173: “The Synthesis of Engineering and Art for Innovative Education” ($150k) and NSF Award 1025190: “Making Connections: A Theory of Synergistic Learning in Engineering” ($400k) – collaborations with UGA Lamar Dodd School of Art
\end{footnotesize}
synergies with these units (see letters of support in Appendix D) while promoting the comprehensive and college-internal vision of engineering education outlined in this proposal.
IMPLEMENTATION
The following describes the implementation plan for the proposed institute and outlines administrative structures and processes.
STRUCTURE AND POLICIES
INSTITUTE HOME AND REPORTING
The Integrated Engineering Education Institute will be housed in the College of Engineering and will report to the Dean. CENGR commits to providing the infrastructure, funding, and personnel support as outlined in this proposal (see letter of support from Dean Leo in Appendix D).
ORGANIZATIONAL STRUCTURE
Figure 1 illustrates the organizational structure of the institute. The positions described in the organizational structure will be created and filled according to the growth of the institute and responding to strategic opportunities. The following details each role and outlines the composition and function of the advisory board. For appointment, evaluation, and membership procedures see the respective section below.
The institute will be led by the director in consultation with the advisory board. Due to the nature and goals of the institute, two assistant director positions will be created to (i) generate and promote local impacts on our educational programs and on faculty development and (ii) initiate educational research and development projects to enable faculty and instructors from technical backgrounds to establish extramurally funded engineering education initiatives. As the institute grows and more tenure-track faculty lines in engineering education research are established, those faculty members will serve as leads to facilitate activities under each of the distinct pillars of the institute. These pillars indicate the strategic growth direction of the institute and will provide the necessary shared expertise and capacity to become competitive in pursuing large-scale educational transformation projects in the STEM education area (NSF RED, TUES type 2, ADVANCE, INCLUDES, AGEP, etc.).
FIGURE 2: ORGANIZATIONAL STRUCTURE AND FUTURE GROWTH AREAS
1. **Director**
The director of the institute will report to the dean of the College of Engineering and will be responsible
for all initiatives, operations, budgets, and strategic planning associated with the institute. The director will be a tenured faculty member appointed by the dean. The director will serve as a point of contact for all relationships and partnerships with other entities and act as a liaison between its members and the leadership team in the college in matters related to institute activities. Dr. Joachim Walther will serve as the founding director for an initial five-year renewable term.
2. **Assistant Director for Educational Innovation and Impact**
This staff position promotes the institute’s focus on impacts and local transformations through the propagation and broad implementation of educational innovations and research outcomes. To achieve systemic and cultural impacts across all academic units and degree programs in the college, the assistant director will lead and support purposeful efforts to adopt and implement (rather than merely “disseminate”) educational innovations in our programs. Activities to achieve this goal will include programmatic and strategic development of related institute goals, professional development programming for faculty, instructors, and graduate students, and project support for teaching and learning projects. Such activities will be coordinated or collaboratively implemented with key partners across campus. The Assistant Director for Educational Innovation and Impact will report to the director of the institute.
3. **Assistant Director for Research Initiation and Enablement**
This part-time staff position promotes the institute’s focus on expanding externally funded engineering education or innovation work that specifically includes engineering instructors and engineering faculty from technical research areas. To this end, the assistant director will support engineering faculty in establishing a funded engineering education research or innovation program that builds on their experience in and passion for instruction and complements their technical research areas. This strategic direction is aligned with national funding trends\(^{16}\) and institutional needs to provide faculty with opportunities to round out their existing research portfolios. The necessary support for research initiation needs to be centered around relevant educational theory, educational research methods, and the substantial body of education and engineering education literature and may take the form of content development and delivery of professional development activities for faculty or collaboration with individual faculty during project or program initiation phases. This effort to empower faculty and instructors to embark on a disciplinary transition can only in very limited ways be supported by tenure-track engineering education research faculty. Research initiation projects are often, and need to be, early explorations around a technical faculty member’s teaching interest and are thus likely to be limited in their potential to contribute to the fundamental research programs tenure-track engineering education research faculty need to build at the national level.
4. **Lead: Teaching, Learning and Educational Technology**
This pillar of the institute focuses on engineering education research and innovations in the context of teaching and learning in the classroom. Examples of potential foci include novel instructional strategies, student learning and conceptual understandings, strategies to innovate and integrate the middle years of engineering science courses, and student motivation and retention in engineering programs. This area also includes research and development activities in the context of educational technology. Work conducted in this context could focus on instructional technology, remote learning in engineering courses and laboratories, use of virtual or augmented reality in engineering teaching, or the use of learning analytics to support student development.
---
\(^{16}\) See overview of NSF Research Initiation in Engineering Formation program (RIEF) in Appendix A
5. **Lead: Diversity Engagement and Inclusiveness**
This key thrust of the institute will focus on fundamental research to underpin efforts to promote diversity in engineering programs and create learning environments that foster inclusiveness and value the multiple perspectives that students and faculty from all backgrounds bring to the engineering context. Areas of focus could include research on attracting and retaining groups of students traditionally underrepresented in engineering; consideration of race, gender, ethnicity, first-generation status, age, disability, sexual orientation, or socio-economic status in the context of students’ choices and experiences in pursuing an engineering career; and novel approaches to broadening participation in engineering through engaging the community and other stakeholder groups in the educational process.
6. **Lead: Educational Research and Methods**
The focus of this research area is to provide and further develop the shared methodological competence of the engineering education institute through complementing existing strengths. The work conducted in this area would focus on the development, integration, and application of rigorous methods of inquiry in the engineering education context. Specific foci could include quantitative or mixed methods approaches to investigating student learning in engineering, integrating methods of inquiry across diverse methodological and epistemological perspectives to address the diverse needs and contexts of engineering education research. The application context of these methodological developments should be broad and could include questions of student learning and formation, faculty development, or investigations of engineering practice to inform novel educational approaches.
7. **Future Growth Areas**
The above areas and faculty leads capture the initial areas of expertise developed through the institute to ideally leverage ongoing and prior work in the college. Beyond the three-year time frame outlined in the section “Growth Targets and Budget” below, the development of further pillars of expertise and activity is envisaged. More specifically, future faculty hires will occur in the area of **K-12 Engineering Education and Outreach**, a growing sub-discipline of engineering education that is concerned with improving and broadening the avenues for early participation in engineering education. A fifth pillar would comprise research in **Engineering Epistemologies and Professional Practice**. This area of investigation applies social and educational research methods to various areas of engineering practice to generate a fundamental understanding of engineering ways of knowing and practicing that can ultimately significantly inform educational content and approaches in engineering programs.
**ROLES AND RESPONSIBILITIES OF PARTICIPATING UNITS**
The institute is primarily located in the College of Engineering, and a majority of activities are centered on educational activities in the college. Accordingly, the college will serve as the administrative and physical home of the institute. With its interdisciplinary focus and the history of prior interdisciplinary engineering education efforts, the institute will collaborate extensively with other units across campus. An initial set of these partners with preexisting relationships is listed below with a view to expanding the circle of partners as the institute grows.
**COLLEGE OF ENGINEERING**
The Institute will be established and operate under the authority of the College of Engineering, with the college providing support in form of personnel, operating resources, and physical infrastructure as outlined in the budget plan below.
PARTNERS
The members of the institute will engage in collaborative efforts with other units across campus. F&A return to the institute is not mandated but can be negotiated in individual cases. The founding partners of the institute are:
- School of Social Work (see letter of support from Dean Scheyett in Appendix D)
- College of Education (see letter of support from Dean Kennedy in Appendix D)
- Office of Institutional Diversity (see letter of support from Dr. Cook in Appendix D)
- CTL - Center for Teaching and Learning (see letter of support from Dr. Watson in Appendix D)
- SEER – Scientists Engaged in Educational Research (see letter of support from Dr. Lemons, the SEER Director, in Appendix D)
- Graduate School (see letter of support from Dean Barbour in Appendix D)
STANDING EXECUTIVE COMMITTEE
This standing committee will be comprised of all core faculty and two member faculty. Core faculty will serve on a permanent basis, and member faculty will serve for renewable two-year terms. New rotating membership of the Standing Executive Committee will occur by nomination from institute members or self-nomination by the candidate and confirmed by majority vote of the present committee.
The Executive Committee will provide guidance, oversee, and develop institute activities with respect to personnel hiring, strategic planning, maintaining institute by-laws, managing membership, and planning of courses or instructional programs offered by the institute. As the institute grows, the executive committee can form further standing committees or appoint ad-hoc committees for specific purposes.
ADVISORY COMMITTEE
The strategic planning and operations of the institute will be guided by an integrated advisory board comprised of internal and external members. Faculty and administrators from within UGA will advise on internal organizational and strategic matters. National engineering education leaders and representatives from industry will guide the development of the institute from their respective perspectives. Members of the advisory board will be invited and appointed by the director for renewable multi-year terms.
Proposed internal Advisory Board members:
- Dr. Michelle Cook, Associate Provost & Chief Diversity Officer, Office of Institutional Diversity (see letter of support in Appendix D)
- Dr. Anna M. Scheyett, Dean, School of Social Work (see letter of support in Appendix D)
- Dr. Lawrence Hornak, Associate Dean for Research, College of Engineering
- Dr. Suzanne Barbour, Dean, Graduate School (see letter of support in Appendix D)
Proposed external Advisory Board members:
- Dr. Mave Houston (Director Capital One User Labs)
- Dr. Bevlee A. Watford, Associate Dean for Academic Affairs, College of Engineering at Virginia Tech and Director of the Center for the Enhancement of Engineering Diversity at Virginia Tech
- Dr. Wendy Newstetter (GA Tech, Director of Educational Research and Innovation for College of Engineering)
ADMINISTRATIVE PROCEDURES
APPOINTMENT OF INSTITUTE MEMBERS
Director
The director of the institute will be appointed by the dean of the College of Engineering initially for a period of five years to oversee the formation and growth of the institute. Subsequent terms are for three years and renewable.
Core faculty
Faculty members with primary research responsibility in engineering education will be core faculty of the institute. The appointment and tenure home will be in the College of Engineering, and faculty will be evaluated by the dean in consultation with the institute director. Core faculty are expected to serve on the standing executive committee and contribute to the operation of the institute as part of their service expectation in the college. In addition, core faculty will participate in a majority of institute meetings and events and actively link their research program to the dissemination and integration efforts pursued by the institute.
Member faculty
UGA personnel of all ranks and appointment types can become members of the institute on a voluntary basis. Benefits of the membership include participation in the intellectual community around engineering SOTL, access to resources through the institute, and participation in institute professional development activities. While all institute activities are open and inclusive, members will receive priority when resources or participation are restricted.
Membership implies active participation and contribution to the goals and operation of the institute. Levels and scope of participation are expected to vary across individuals and over time. This diversity and openness of participation is a desired feature of the institute and no minimum expectations for membership are stated. For the purposes of providing opportunities for all members to participate in meaningful ways and to support assessment of institute impacts and reach, membership is renewable annually.
The renewal process will collect the following input from current or prospective members:
- Level and nature of participation in institute activity and perceived benefit over the past year.
- Outcomes, products, or initiatives related to institute activity over the past year.
- Intention to be/remain a member of the institute for another year.
- Individual goals and plans for the next year to inform institute strategic planning.
- Individual needs and potential support from the institute over the next year to inform institute strategic planning.
- Planned or potential individual contributions (of all levels and scales) to institute activities over the next year to inform institute strategic planning.
The executive committee will base the yearly strategic plan on this input and confirm individual memberships. New members will be able to join the institute at any point.
REVIEW PROCESS
The institute will be reviewed every three years by the dean of the College of Engineering on the basis of the goals and measures of success defined in this proposal. The review will be based on the annual data collected for the success metrics in Table 1 and input from the director regarding the achievements and future directions of the institute.
GROWTH TARGETS AND BUDGET
Through its focus on cross-college integration, the institute, its activities, and number of members is expected to grow substantially over the next three years after an initial phase of building capacity and social capital around engineering SOTL in the college\(^{17}\). The institute goals presented in Table 1 have a substantive focus on qualitative measures around, for example, the range and diversity of participation and a variation in the scope and stage of ENED projects. These measures are intended to lead to the formation of a diverse and thus robust ecosystem of engineering education activities in the college with rich synergies and continuing opportunities for faculty or instructors to engage at various points or levels of expertise.
For the purposes of providing a sense of the scope of the intended institute development, the following provides a selection of quantitative targets for the first three years that outline levels of participation and activity:
- **Core faculty**: 3 additional core faculty with primary research assignments in engineering education (5 over the next five years)
- **Member faculty**: active participation of 8-12 faculty and instructors across schools and degree programs
- **Courses impacted**: Member activity is expected to have an impact (of varying scope) on 12-15 course sections.
- **Research active lecturers**: A group of 3-5 lecturers is expected to actively participate ENED activities within the institute
- **Funding proposals**: The institute activity is expected to lead to the submission of 7-9 competitive engineering education proposals at the national level (NSF) and a total of 10-12 smaller, local or regional funding applications.
The College of Engineering provides initial and ongoing support for the institute formation and operation in the form of personnel, infrastructure, and funds for operating, travel, and professional development, with an anticipated portion of overhead return to supplement the operating budget. Overhead return for members appointed in the College of Engineering will be negotiated in line with existing policy. There is no mandatory overhead return from non-CENGR members, and the partner units across campus are not expected to contribute funds to the institute.
INSTRUCTIONAL PROGRAMS AND INITIATIVES
The status of a UGA institute is sought to enable future development of instructional programs and initiatives. The following provides a number of examples of planned developments that will be updated and further shaped as the institute and the structures of the College of Engineering co-evolve. In line with the overall aim to foster a cultural change around the scholarship of teaching and learning within the College of Engineering, a focus of the educational programs and initiatives is on adding significant value to the graduate programs of the college and provide students with a wide range of opportunities to engage in professional development activities in the context of engineering education.
Figure 3 illustrates how the infrastructure, activities, and capacity of the proposed institute support a variety of graduate ENED experiences for a diverse range of students.
---
\(^{17}\) This effort is presently supported through a College of Engineering Strategic Research Initiative ($25k per year) through June 2018.
The following provide a more detailed description of the educational programs that may be offered by the proposed institute.
**STRUCTURED TEACHING EXPERIENCE FOR GRADUATE RAs**
This program addresses a need in the college to provide meaningful and structured teaching experiences to graduate students from technical engineering areas who are supported by and predominantly contribute to extramurally funded engineering research projects. The institute could develop and offer a course-based experience for those students to gain an introduction to engineering teaching and learning and prepare for a structured and defined contribution to a portion of a course under the additional mentorship of the faculty member teaching the course.
**ENGINEERING TA COURSE AND LEARNING COMMUNITY**
This program addresses a need in the college to provide graduate TAs with engineering context-specific pedagogical knowledge and techniques. Building on general pedagogical instruction, this program also draws on the considerable body of pedagogical knowledge and best practice that has been developed in the engineering context. The proposed program is built around a college-specific version of the GRSC 7770 offering listed as ENED 7010 in the UGA bulletin. Such a discipline-specific course would not only address the instructional needs of engineering fundamentals courses, but also the specific learning contexts of, for example, team-based design courses that are integrated as experiential learning opportunities throughout the College’s engineering curricula. Building on participation in the course, a structured TA program would also include a professional learning community experience for engineering TAs to engage in regular debriefing, structured reflection, and a formal presentation of their contribution to and personal insight from their teaching assistantship.
**DEAN’S ENGINEERING EDUCATION FELLOWSHIP**
This fellowship program supported by the College of Engineering would provide a mentored professional development experience to prepare selected engineering graduate students for substantive teaching experiences in the college. The program would include alternating semesters of mentored teaching experiences (TA support by
CENGR) and SOTL project work (RA support by CENGR) under the guidance of members of the institute and with a view to benefiting CENGR instructional programs. In combination with selected educational course offerings, this program would prepare graduate students for a culminating substantive teaching role in the CENGR undergraduate programs (e.g., instructor of record).
**PH.D. IN ENGINEERING WITH AREA OF EMPHASIS IN ENGINEERING EDUCATION RESEARCH**
The growing research program in engineering education is expected to lead to a significant increase in graduate students in this area. To adequately prepare these graduate students for dissertation research in engineering education, an area of emphasis in engineering education may be developed under the umbrella of the Ph.D. in Engineering program offered by the College of Engineering. Such a program would provide students with the theoretical and methodological foundation to pursue fundamental engineering education research projects. The program of study would comprise a number of specific engineering education courses previously established\(^{18}\) and draw broadly on UGA’s rich graduate offering in the education area\(^{19}\). Such an area of emphasis would uniquely position the institute to attract high-quality graduate students. Drawing on course offerings from within the college and across UGA, the Ph.D. area of emphasis would offer a high level of flexibility and disciplinary depth compared to other institutions that either offer specific graduate programs in engineering education with limited in-house offering of courses or other institutions where students pursue Ph.D.s in engineering education under the umbrella of other disciplinary graduate programs.
---
\(^{18}\) See Appendix B for overview of and rationale for ENED courses.
\(^{19}\) See Appendix C for example program of study.
APPENDICES
APPENDIX A: TARGET NSF PROGRAMS AND SOLICITATIONS
RESEARCH INITIATION IN ENGINEERING FORMATION (PFE: RIEF)
The NSF Engineering (ENG) Directorate has launched a multi-year initiative, the Professional Formation of Engineers, to create and support an innovative and inclusive engineering profession for the 21st century. Professional Formation of Engineers (PFE) refers to the formal and informal processes and value systems by which people become engineers. It also includes the ethical responsibility of practicing engineers to sustain and grow the profession. The engineering profession must be responsive to national priorities, grand challenges, and dynamic workforce needs; it must be equally open and accessible to all.
Engineering faculty possess both deep technical expertise in their engineering discipline and the primary responsibility for the process of professional formation of future engineers. As such, engineering faculty are in a unique position to help address critical challenges in engineering formation. The Professional Formation of Engineers: Research Initiation in Engineering Formation (PFE: RIEF) program enables engineering faculty who are renowned for teaching, mentoring, or leading educational reform efforts on their campus to initiate collaborations with colleagues in the social and/or learning sciences to address difficult, boundary-spanning problems in the professional formation of engineers.
http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=503603&org=EEC&from=home
RESEARCH IN THE FORMATION OF ENGINEERS (RFE)
The NSF Engineering (ENG) Directorate has launched a multi-year initiative, the Professional Formation of Engineers, to create and support an innovative and inclusive engineering profession for the 21st century. Professional Formation of Engineers (PFE) refers to the formal and informal processes and value systems by which people become engineers. It also includes the ethical responsibility of practicing engineers to sustain and grow the profession in order to improve quality of life for all peoples. The engineering profession must be responsive to national priorities, grand challenges, and dynamic workforce needs; it must be equally open and accessible to all.
As part of this initiative, the Research in the Formation of Engineers (RFE) program welcomes proposals that consider the construction of engineering knowledge, engineering identity, and the engineering profession, as well as interventions that expand the boundaries of each of these. Ultimately RFE aims to transform the engineering formation system, and thus the impact of proposed projects on this system must be described. PIs should provide a roadmap detailing how they envision the proposed research will eventually broadly impact practice within the engineering formation system, even if these activities are not within the scope of the submitted proposal.
Competitive proposals advance understanding in engineering formation by grounding the proposed work in theory as well as relevant prior work. Proposals should clearly address why the proposed research fills gaps in existing knowledge and address how evaluation will inform the research effort and allow assessment of the project's impact and effectiveness.
http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=503584&org=EEC&from=home
BROADENING PARTICIPATION IN ENGINEERING (BPE)
The Broadening Participation in Engineering (BPE) Program is a directorate-wide initiative dedicated to supporting the development of a diverse and well-prepared engineering workforce. Across every educational juncture (e.g.,
elementary, secondary, and postsecondary levels), efforts to improve engineering interests, preparation, connections, experiences, and opportunities among underrepresented groups is of major importance to BPE.
In FY 2016, aligned with NSF-wide INCLUDES, BPE is interested in funding projects that bring together multiple groups (e.g., school districts, community colleges, engineering schools, industry, philanthropy, government) and offer the greatest return on investment by producing outcomes that are scalable, sustainable, and applicable to various contexts, settings, and demographics within the engineering enterprise. For example, it is interested research projects that help us to analyze and understand the problem of insufficient interest and poorly sustained participation in engineering across underrepresented demographic groups; insignificant preparation and scarce opportunities for members of underrepresented demographic groups to learn meaningful, relevant engineering and other STEM-related content; insufficient access to support systems and social networks that raises career awareness about different engineering pathways among underrepresented groups; and structural inequalities and biases within educational and workforce systems that may influence engineering persistence.
For FY 2016, BPE is equally interested in funding demonstration projects that focus on issues associated with diversity within the engineering professoriate, with a particular interest in proposals concentrating on racial and ethnic minorities. Such projects should be informed by the current theoretical and scientific literature as well as add to the extant knowledge base. Given the breadth of targeted groups, it is expected that all institutions of higher learning (i.e., 2-year and 4-year) have at least one if not more targeted demographics that they could propose a strategy for improving diversity (e.g., creation of a professoriate preparation program for graduate students, development of a postdoctoral program, or creation of a mentoring program for early career faculty). A successful proposal should, therefore, provide appropriate data to support selection of the targeted group(s), with specific and applicable objectives, demonstrate applicable knowledge of the relevant literature on underrepresentation, and describe a clear strategy for improving representation. These demonstration projects should also integrate assessment and evaluation protocols capable of measuring how well they achieve their stated objectives as part of the project management plans. The effectiveness of the proposed evaluation is one aspect of a project’s intellectual merit. Similarly, there should be evidence of clear, measurable outcomes and consideration of how the strategy will work for disparate institutions. It is expected that proposed projects would advance our knowledge of this field in many ways.
http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=504870&org=EEC&from=home
IUSE/PROFESSIONAL FORMATION OF ENGINEERS: REVOLUTIONIZING ENGINEERING AND COMPUTER SCIENCE DEPARTMENTS (RED)
In FY 2016, the Directorates for Engineering (ENG), Computer and Information Science and Engineering (CISE) and Education and Human Resources (EHR) are continuing a program aligned with the Improving Undergraduate STEM Education (IUSE) framework: REvolutionizing engineering and computer science departments (herein referred to as RED). This funding opportunity enables engineering and computer science departments to lead the nation by successfully achieving significant sustainable changes necessary to overcome longstanding issues in their undergraduate programs and educate inclusive communities of engineering and computer science students prepared to solve 21st-century challenges.
In 2014, ENG launched an initiative, the Professional Formation of Engineers (PFE), to create and support an innovative and inclusive engineering profession for the 21st century. At the same time, in 2014, NSF launched the agency-wide Improving Undergraduate STEM Education (IUSE) framework, which is a comprehensive effort to accelerate improvements in the quality and effectiveness of undergraduate education in all STEM fields. The RED program was first offered in FY 2015 as a PFE initiative aligned with the IUSE framework. Additional programs have been created within the IUSE framework across NSF, such as the IUSE: EHR program within EHR.
Even as demographic and regional socio-economic factors affect engineering and computer science departments in unique ways, there are certain tenets of sustainable change that are common across institutions. For instance, the development and engagement of the entire faculty within a department are paramount to the process, and they must be incentivized. Departmental cultural barriers to inclusion of students and faculty from different backgrounds must be identified and addressed. Finally, coherent technical and professional threads must be developed and woven across the four years, especially (1) in the core technical courses of the middle two years, (2) in internship opportunities in the private and public sectors, and (3) in research opportunities with faculty. These and other threads aim to ensure that students develop deep knowledge in their discipline more effectively and meaningfully, while at the same time building their capacities for 21st-century and “T-shaped” professional skills, including design, leadership, communication, understanding historical and contemporary social contexts, lifelong learning, professional ethical responsibility, creativity, entrepreneurship, and multidisciplinary teamwork. It is expected that, over time, the awardees of this program will create knowledge concerning sustainable change in engineering and computer science education that can be scaled and adopted nationally across a wide variety of academic institutions. The research on departmental change that results from these projects should inform change more broadly across the STEM disciplines.
http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=505105&org=EEC&from=home
**TRANSFORMING UNDERGRADUATE EDUCATION IN SCIENCE, TECHNOLOGY, ENGINEERING, AND MATHEMATICS (TUES)**
The Transforming Undergraduate Education in Science, Technology, Engineering, and Mathematics (TUES) program seeks to improve the quality of science, technology, engineering, and mathematics (STEM) education for all undergraduate students. This solicitation especially encourages projects that have the potential to transform undergraduate STEM education, for example, by bringing about widespread adoption of classroom practices that embody understanding of how students learn most effectively. Thus transferability and dissemination are critical aspects for projects developing instructional materials and methods and should be considered throughout the project’s lifetime. More advanced projects should involve efforts to facilitate adaptation at other sites.
The program supports efforts to create, adapt, and disseminate new learning materials and teaching strategies to reflect advances both in STEM disciplines and in what is known about teaching and learning. It funds projects that develop faculty expertise, implement educational innovations, assess learning and evaluate innovations, prepare K-12 teachers, or conduct research on STEM teaching and learning. It also supports projects that further the work of the program itself, for example, synthesis and dissemination of findings across the program. The program supports projects representing different stages of development, ranging from small, exploratory investigations to large, comprehensive projects.
http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=5741
**OVERVIEW: ADDITIONAL FUNDING PROGRAMS FOR ENED ACTIVITIES**
**NSF – Directorate for Engineering – Division of Engineering Education & Centers**
- Improving Undergraduate STEM Education (IUSE): Exploration, ($150k over 2 yrs.)
- Improving Undergraduate STEM Education (IUSE): Deployment, ($300k over 3 yrs.)
- Improving Undergraduate STEM Education (IUSE): Transformation, ($3M over 5 yrs.)
- Nanotechnology Undergraduate Education (NUE) in Engineering ($200k over 2 yrs.)
- Research Initiation in Engineering Formation (PFE: RIEF), ($150k over 2 yrs.)
- Research in the Formation of Engineers (RFE), ($300k over 3 yrs.)
- Broadening Participation in Engineering (BPE), ($300k over 3 yrs.)
• Research Experience for Undergraduates (REU), ($330k over 3 yrs.)
• Research Experience for Teachers (RET) in Engineering and Computer Science, ($600k over 3 yrs.)
• Revolutionizing Engineering and Computer Science Departments (RED), ($2M over 5 yrs.)
NSF – Directorate for Education & Human Resources – Division of Research on Learning (DRL)
• EHR Fundamental Research in STEM Education: Level 1, ($500k over 3 yrs.)
• EHR Fundamental Research in STEM Education: Level 2, ($1.5M over 3 yrs.)
• EHR Fundamental Research in STEM Education: Level 3, ($2.5M over 5 yrs.)
• Advanced Technological Education (ATE): Planning, ($150k over 2 yrs.)
• Advanced Technological Education (ATE): Exploratory Research & Development, ($300k over 2 yrs.)
• Advanced Technological Education (ATE): Full Scale Research & Development, ($800k over 3 yrs.)
• Advancing Informal STEM Learning (AISL): Planning, ($150k over 1 yr.)
• Advancing Informal STEM Learning (AISL): Exploratory, ($300k over 2 yrs.)
• Advancing Informal STEM Learning (AISL): Practice, ($2M over 5 yrs.)
• Advancing Informal STEM Learning (AISL): Development, ($3M over 5 yrs.)
• Advancing Informal STEM Learning (AISL): Implementation, ($3M over 5 yrs.)
• Discovery Research PreK-12 (DRK-12): Level 1, ($450k over 3 yrs.)
• Discovery Research PreK-12 (DRK-12): Level 2, ($3M over 4 yrs.
• Discovery Research PreK-12 (DRK-12): Level 2, ($5M over 5 yrs.)
• Innovative Technology Experience for Students and Teachers (ITEST): Strategies, ($1.2M over 3 yrs.)
• Innovative Technology Experience for Students and Teachers (ITEST): Strategies, ($2M over 3 yrs.)
• Innovative Technology Experience for Students and Teachers (ITEST): Center, ($3.5M over 3 yrs.)
• STEM + Computing Partnerships (STEM+C): Exploratory, ($1.25M over 2 yrs.)
• STEM + Computing Partnerships (STEM+C): Development, ($2.5M over 3 yrs.)
• STEM + Computing Partnerships (STEM+C): Broadening Participation, ($600k over 3 yrs.)
• STEM + Computing Partnerships (STEM+C): CS-10k, ($1M over 3 yrs.)
NSF – Directorate for Education & Human Resources – Division of Undergraduate Education (DUE)
• Scholarships in STEM (S-STEM): Institutional Capacity, ($650k over 5 yrs.)
• Scholarships in STEM (S-STEM): Design & Development, ($1M over 5 yrs.)
• Scholarships in STEM (S-STEM): Multi-Institution, ($2M over 5 yrs.)
APPENDIX B: ENED COURSES AND RATIONALE
The contributions of engineering education to the graduate program/teaching mission of the College of Engineering can be examined by defining the following target groups of students.
1. **Effective teachers**: Graduate teaching assistants with a basic understanding of the scholarship of teaching and learning in the context of engineering and the ability to apply effective teaching strategies in the classroom.
2. **Future scholarly educational practitioners**: Graduate students and future faculty members in traditional engineering disciplines with an interest in developing their teaching practice through sustained engagement with the scholarship of teaching and learning and educational research in engineering. A component of the goals for this group would be the ability to meaningfully conceptualize educational evaluation approaches in the context of the educational component of federal funding proposals.
3. **Future educational researchers**: Graduate students in the area of engineering research who pursue a career of engineering education research and engineering teaching.
Given these types of participants, two strands of engineering education graduate courses are proposed:
1. **Effective teaching techniques course (ENED7010)**:
This course provides a basic introduction to engineering education as a field and the notion of the scholarship of teaching and learning in the context of engineering. The main part of the course would be devoted to exploring the theoretical foundations and acquiring the practical abilities that will allow students to employ effective and innovative instructional strategies in the classroom. This course addresses the needs of **effective teachers** and serves as an entry point for **future scholarly educational practitioners** into the field. The course would be recommended for graduate teaching assistants.
2. **Engineering education SOTL and research courses (ENED 8010 – 8040)**:
This group of four courses explores the relationship between fundamental research and the scholarly educational practice with respect to (1) the foundations and language of the field as well as the landscape of research and innovation activity (ENED 8010: Eng Ed Research), (2) the underlying theoretical foundations of human learning and development (ENED 8040: Eng Ed Theory), current issues and future trends in the field (ENED 8020: Eng Ed Issues) and methods of educational evaluation and research (ENED 8030: Eng Ed Methods). This group of courses beneficially integrates the needs and goals of both **scholarly educational practitioners** and **educational researchers**.
APPENDIX C: EXAMPLE PLAN OF STUDY
When proposed at a later stage, the Ph.D. in Engineering with an emphasis in engineering education is intended to provide students with the foundations necessary to pursue a thesis or dissertation in engineering education research. These courses provide both the fundamental educational research core and a core in the emerging discipline of engineering education research. The Ph.D. in Engineering with an emphasis in engineering education requires a minimum of 36 credit hours (in addition to research hours).
Ph.D. Course Requirements
Required Courses for all Ph.D. Engineering Students (9 hours):
| Course | Title | Credit Hours |
|----------|------------------------------|--------------|
| ENGR 8910 | Research & Design Methods | 3 |
| ENGR 8103 | Computational Engineering | 3 |
| GRSC 8100 | Technology Commercialization | 2 |
| ENGR 8950 | Seminar | 1 |
Required Courses for Engineering Education Ph.D. Students (24 hours)
| Course | Title | Credit Hours |
|----------|------------------------------|--------------|
| ENED 8010 | Engineering Education Research | 3 |
| ENED 8020 | Engineering Education Issues | 3 |
| ENED 8030 | Engineering Education Research Methods | 3 |
| ENED 8040 | Engineering Education Theory | 3 |
| QUAL 8400 | Qualitative Research Traditions | 3 |
| QUAL 8410 | Designing Qualitative Research | 3 |
| QUAL 8420 | Analyzing Qualitative Data | 3 |
Elective Courses (choose one from the following):
| Course | Title | Credit Hours |
|----------|------------------------------|--------------|
| QUAL 8520 | Interviewing in Qualitative Research | 3 |
| QUAL 8530 | Case Study Research | 3 |
| QUAL 8540 | Participant Observation | 3 |
| QUAL 8525 | Narrative Analysis | 3 |
APPENDIX D: LETTERS OF SUPPORT
APPENDIX D1: LETTER OF SUPPORT FROM DEAN LEO (CENGR)
APPENDIX D2: LETTER OF SUPPORT FROM DR. WATSON (CTL)
APPENDIX D3: LETTER OF SUPPORT FROM DEAN KENNEDY (COE)
APPENDIX D4: LETTER OF SUPPORT FROM DR. LEMONS (SEER)
APPENDIX D5: LETTER OF SUPPORT FROM DEAN SCHEYETT (SSW)
APPENDIX D6: LETTER OF SUPPORT FROM DR. COOK (DIVERSITY OFFICE)
APPENDIX D7: LETTER OF SUPPORT FROM DEAN BARBOUR (GRADUATE SCHOOL)
October 6, 2016
Dr. Joachim Walther
Associate Professor, College of Engineering
Driftmier Engineering Center
University of Georgia
CAMPUS
Dear Dr. Walther,
It is my pleasure to provide this letter of support from the College of Engineering for the proposed *Engineering Education Transformation Institute* (EETI). Your vision, and that of your faculty team who helped define its mission, have established a framework and roadmap for EETI that will result in impact both across the College of Engineering as well as campus-wide. For the reasons and in the ways outlined in this letter of support, the College of Engineering enthusiastically commits to its role as administrative home of EETI and looks forward to helping to shepherd the institute’s growth and serve as an effective steward for the crosscutting programs EETI develops.
EETI’s vision to become an innovative, embedded engineering education institute is timely in that it responds to the national need for increasing the number and diversity of engineering students combined with the recognized need for novel and creative ways to educate engineering students to adequately prepare them for the complex, global challenges of this century. This vision of EETI is strongly consistent with that of the College of Engineering. The College views the Institute as a critical cross-cutting organization for us as we continue to grow and can serve to further differentiate our programs and our students.
The College of Engineering will strongly support the EETI in its role as EETI’s home administrative unit. The College will provide the necessary faculty time and staff support for Dr. Walther to undertake the responsibilities of leading the institute. CENGR will provide the initial support and work to maintain and grow a diversity of support for institute programs that are central to achieving its mission including proactive publication and proposal writing activities, developing partnerships, travel for program development and outreach, and workshops. The College will provide existing space for operation of EETI. Through the membership of Dr. Hornak, CENGR Associate Dean for Research on EETI’s Internal Advisory Board, we will work with other collaborating units to facilitate EETI’s operation.
I look forward to the establishment of EETI as a formal UGA Institute. The College is committed to working with you and your team for the benefit of the College and campus as you bring EETI national recognition.
Sincerely,
Donald J. Leo, Ph.D.
Dean
UGA Foundation Professor in Engineering
September 14, 2016
Joachim Walther, Ph.D.
Associate Professor
University of Georgia
College of Engineering
609 Driftmier Engineering Center
Athens, GA 30602
Dear Dr. Walther,
It is a pleasure to provide this letter in support of your exciting effort to form the Engineering Education Transformations Institute as a vehicle to build a community of educators and scholars engaged in efforts around teaching and learning in the College of Engineering. I was excited to learn about this unique way of combining the scholarship of teaching and learning, instructor professional development and explicit community building as a way to transform the culture around engineering education in your college.
This effort leverages and will further expand prior connections that exist between the Center for Teaching and Learning (CTL) and the College of Engineering in the form of, for example, Learning Technology Grants and teaching consultations with individual faculty. I am enthusiastic about the opportunities we discussed to utilize the CTL structures and programs around promoting teaching excellence to support your integrated efforts in the institute. The CTL College/Department Partnership program offers a great opportunity to tailor our program offerings to the engineering education context and contribute to the excellence in engineering teaching in a purposeful and sustained fashion.
I am looking forward to continuing our conversations and am committed to building a closer, long-term connection between CTL and the College of Engineering through the infrastructure afforded by the Engineering Education Transformations Institute.
I strongly support this exciting effort and am happy to provide help in any way I can.
Yours Sincerely,
C. Edward Watson, Ph.D.
Director, Center for Teaching and Learning
Fellow, Institute of Higher Education
6 September 2016
Joachim Walther, PhD
Associate Professor
Driftmier Engineering Center, Room 609
University of Georgia
Athens, GA 30602
Dear Dr. Walther:
I am pleased to write this letter of support for the formation of the Engineering Education Transformations Institute in the College of Engineering. I am excited about the institute’s focus on connecting innovative improvement of educational practice with educational research to transform the culture around teaching and learning in the College of Engineering.
The institute will assist in encouraging innovation between our colleges creating collaborative efforts to structure and strengthen educational work in this important STEM discipline. This initiative will also continue to enhance students’ research and its effectiveness in the engineering education field.
The College of Education looks forward to working with you and exploring future ways for interdisciplinary collaborations with the formation of the Engineering Education Transformations Institute.
Sincerely,
Craig H. Kennedy, PhD
Dean and Professor
Dear Jo,
Thank you for the opportunity to discuss the vision and plan for the Engineering Education Transformations Institute to be established within the College of Engineering. I was excited to hear about this effort to create and foster a local community and shared capacity around the scholarship of teaching and learning in the engineering context.
I appreciate your broad vision for engineering education that includes aspects of STEM education but also emphasizes the notion of professional education, which is significant for the engineering discipline. In the context of STEM education work, I see numerous promising opportunities to connect educational efforts in the context of the engineering sciences with the work in discipline-based education research pursued by the SEER Center.
I foresee that the Engineering Education Transformations Institute will provide a recognizable structure and support for educational work in your college and thus provide a crucial point of contact for establishing interdisciplinary collaborations in areas of shared interest. I am looking forward to the exciting, new opportunities that will arise from these synergies between SEER and EETI and am confident that participation in shared activities will be extremely beneficial for the mission of both units.
Please let me know if there are any other ways in which I can support this exciting effort.
Best,
Paula P. Lemons, Ph.D.,
Associate Professor
Director, SEER (Scientists Engaged in Education Research) Center
seercenter.uga.edu
September 6, 2016
Jo Walther, PhD
Assistant Professor
College of Engineering
University of Georgia
Dear Dr. Walther,
I am very pleased to provide this letter in support of your initiative to form the Engineering Education Transformations Institute in the College of Engineering. This is an exciting development for engineering at the University of Georgia and will provide significant opportunities to expand the collaborative relationship between the School of Social Work and your college. Your collaborative work with Dr. Shari Miller that was funded by the National Science Foundation is a great example for the potential of collaborative educational research in this inter-professional space.
In my role as the Dean of the School of Social work I am committed to promoting and further expanding this innovative interdisciplinary collaboration and am confident that the proposed institute will prove the necessary structure and intellectual home for these activities to reach their full potential. In this context, I appreciate your broad vision of engineering education and feel that the inclusion of the discipline of engineering in the emerging discourse around inter-professional education has the potential to significantly advance your field and, at the same time, provide important impulses to further the broader conversation.
In a prior deanship at the University of South Carolina I was part of the development of a collaboration among social work, engineering, and the health sciences to create a center of gerontechnology called SmartHOME. This collaboration was immensely successful, with innovative initiative such as an R25 training grant for underrepresented students interested in STEM fields to use technology to improve care for older adults. I believe this Engineering Transformation Institute provides a similar opportunity for innovation and collaboration among seemingly disparate fields in the service of solving the grand challenges of the day.
Given my interest in and the significance of this effort I would be delighted to serve as an advisory board member for the Engineering Education Transformations Institute and provide input and support in this crucial phase of its formation.
Sincerely,
Anna Scheyett, MSW, PhD
Dean and Professor
Dr. Joachim Walther
University of Georgia
College Of Engineering
0609 Driftmier Engineering Center
Athens, GA 30602
Dear Dr. Walther,
I am very pleased to provide this letter of support for the Engineering Education Transformations Institute. The institute will provide a great focal point for activities around diversity in the College of Engineering and I was excited to learn about the central role that diversity and inclusiveness play in your compelling vision for the institute.
I recognize the particular need for and specific context of diversity work in the engineering setting and am excited about the many opportunities to establish beneficial connections between the work of my office and the efforts of the institute. Diversity in the STEM area, and particularly in engineering, are of key importance for the development of these fields and through the strategic partnership between the Office of Institutional Diversity and your institute, I feel we can make contributions to these crucial efforts in ways that can overcome the persistent challenges that diversity efforts still face in the engineering context.
For these reasons, I strongly support the formation of the Engineering Education Transformations Institute and am also excited to serve as a member of your advisory board. Through this role I hope to contribute my perspective and expertise to this crucial phase of establishing the structures and the culture of this exciting, new unit.
Please let me know if there are other ways that I, or my office can assist with this project moving forward.
Sincerely,
Michelle Cook, Ph.D.
Associate Provost & Chief Diversity Officer
Peach State LSAMP Lead Co-PI
August 27, 2016
Dr. Joachim Walther
Associate Professor, College of Engineering
University of Georgia
Athens, GA 30602
Dear Dr. Walther:
I am pleased to provide this letter of support for your proposed Engineering Education Transformations Institute (EETI). This is a timely proposal that addresses the critical need to enhance recruitment and retention of underrepresented individuals into the field of engineering. I am familiar with your work in the field of engineering education research and applaud your efforts to infuse “humanity” into the strategies we use to train the next generation of engineers. Your proposed plans to engage underrepresented students, engage engineering faculty in the scholarship of teaching and learning, provide comprehensive training for graduate students, and increase scholarship in engineering education are timely and appropriate for the University of Georgia to undertake at this time. I view the EETI as a model for STEM educators in other disciplines at the University of Georgia. In this regard, I hope you will continue to reach out to those individuals, build bridges with their units, and consider broadening the mission of EETI to include other STEM disciplines as well.
I am happy to serve on the Internal Advisory Board of the EETI. In my role as graduate dean, I am also happy to facilitate your interactions with other STEM units, with the ultimate goal of incorporating your innovative strategies into their instructional methods.
Please do not hesitate to contact me if you have questions or concerns about the contents of this letter. You can reach me at 706-542-6392 or firstname.lastname@example.org.
Best regards
[Signature]
210 South Jackson Street • Athens, Georgia 20602-1633
grad.uga.edu
An Equal Opportunity/Affirmative Action/Veteran/Disability Institution
|
Examiners’ Report
June 2010
GCE Music 6MU03
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For further information, please call our GCE line on 0844 576 0025, our GCSE team on 0844 576 0027, or visit our website at www.edexcel.com. If you have any subject specific questions about the content of this Examiners’ Report that require the help of a subject specialist, you may find our Ask The Expert email service helpful.
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June 2010
Publications Code US024503
All the material in this publication is copyright © Edexcel Ltd 2010
Introduction
This unit tests several diverse skills of aural perception, essay writing and analysis of prescribed works, harmonic analysis and harmonisation of a short SATB passage. It is important that the teaching of this unit encompasses all these facets of music if the candidate is to secure a good mark on the paper as a whole. It is also possible to relate listening skills with harmony work in an integrated approach to teaching.
Comments on Individual Questions
This report will provide exemplification of candidates’ work, together with tips and/or comments, for a selection of questions. The exemplification will come mainly from questions which required more complex responses from candidates.
Question 1(b)
The question is often asked to compare bars of music and these should be familiar at GCSE level as the ‘sequence’ question!
(b) What technical term explains how bars 11 and 12 relate to bar 10?
repetition
Examiner Comments
The sequence is such a common device that it should be known. Whilst the answer ‘repetition’ here has an element of the answer, the fact that it occurs at a different pitch is decisive and therefore only ‘sequence’ will suffice.
Examiner Tip
Students will identify numerous examples of these in their set works. They should not only see them on the page, but get used to hearing them as preparation for the listening tests.
Question 1(c)
This question is common and asks the candidate to describe how a figure is used in the music. The teaching should highlight common musical procedures such as repetition, sequence, scalic movement etc. as these are the common devices often tested.
(c) Mozart bases the right-hand part of bars 14–16 on the descending two-quaver figure heard twice in bar 13. Give two ways in which he does this.
1. The first note remains the same on the beat (1 and 3).
2. The second note moves in step increasing in pitch each time it is heard.
ResultsPlus
Examiner Comments
This candidate has been able to hear the repeated notes and the scalic movement. ‘Increasing in pitch’ was taken to mean ascending/rises.
ResultsPlus
Examiner Tip
Although this scores full marks, it is rather untidy and long winded. Again single words often score the marks, eg. ‘repeated notes’ ‘conjunct’ ‘inversion’ etc.
Question 1(d)
As in 1(c) more detail and aural analysis is sought about a musical figure. The question is looking for knowledge of common musical devices.
(d) Comment on the rhythm and melodic writing of the right-hand part in bar 20.
The melody is scalar and conjunct, the rhythm has semi-quaver note values.
ResultsPlus
Examiner Comments
This question for two marks requires two points about rhythm/ melody. Again, the answers are one or two words such as ‘scalar’ ‘conjunct’. This candidate has tackled one point on melody and one on rhythm. It could be possible to make two valid points on just one of these elements.
ResultsPlus
Examiner Tip
Try to identify only two features. Long answers with too many points often do not secure full marks.
Question 1(e)
This is a simple aural pitch recognition question. Interval displacement of the octave should be straightforward. Students should practice these skills in lessons.
Question 1(f) (i)
The chord recognition here and at fii and fiii is a stock progression that will have been taught in preparation for the harmony question.
Note that the full and precise chord description must be given. In this case Ic. I on its own received no marks.
Question 1(f) (ii)
As in fi, V7 (or F7) only for the mark. V (or F) alone = no credit.
Question 1(f) (iii)
This was a little more straight-forward as just chord I.
As in all these three chords, students should practice common progressions such as II7b-V7-I etc.
Question 1(g) (i)
Simple cadence recognition test. Students should understand and be able to write and hear the four common cadences.
Question 1(g) (ii)
This question tests whether the candidates can hear and recognise a suspension and appoggiatura ornament. Extra credit is given for hearing the left hand outlining the tonic triad as a broken chord.
(ii) Describe two ways in which the final chord of this cadence is decorated.
1. Appoggiatura
2. Suspension
ResultsPlus
Examiner Comments
We see here again that two devices are tested in this question. The suspension and appoggiatura is a typical classical trait in Mozart’s cadence treatment and should have been learnt.
ResultsPlus
Examiner Tip
The word ‘decorated’ should have been a clue to the ornament response and the decoration of the left hand broken arpeggio.
Question 1(i)
Features of a musical style are often asked. The mark scheme to this question includes generic features of the Classical Period and not just those appertaining to keyboard music.
(i) This excerpt was composed in the Classical period. Identify two features which are typical of music of this period.
1. Use of Alberti bass
2. Periodic phrasing
(Total for Question 1 = 16 marks)
ResultsPlus
Examiner Comments
When studying each prescribed work, it is useful to discuss general features of the period or style. In this candidate response both happen to relate to the piece.
ResultsPlus
Examiner Tip
Always identify the most obvious features of a style such as in this candidate response.
Question 2(b)
This question asks candidates to make two points about how tonality is established in The Kinks song.
(b) Give **two** ways in which the key of E major is established in the first four bars of the excerpt.
1. Dominant Preparation using a repeated B7 chord
2. Descending bass Sequence from B to B on dominant 7th chord
**Examiner Comments**
This is a good answer in that the candidate highlights one feature of the harmony and one relating to the bass line. Many candidates were over-concerned with writing about E major chords but clearly did not listen to the opening passage.
**Examiner Tip**
When asked about establishing a key, think about cadences, chords (in this case the dominant), pedals, melody and bass lines. Again the set works give numerous examples of how keys are defined in music.
Question 2(c)
Instrument recognition was universally well known for this piece.
Classical instruments however are not as reliable!
Question 2(d)
This song is based almost entirely on the five note hook, so a question on its use is predictable. Again, the mark scheme is looking for recognition of a musical device.
(d) Describe how the opening five-note hook on ‘Dirty old river’ (starting bar 8, beat 3) is used and developed up to the end of bar 11.
Descending sequence of the same melodic shape
ResultsPlus
Examiner Comments
The identification of the sequence is sufficient for one mark, but direction adds more detail for two marks. The question also asked about how the figure was developed, suggesting change. Indeed, it is extended on the third repeat.
ResultsPlus
Examiner Tip
‘Used’ often implies that it is repeated in some form. It could be inverted, played in longer/shorter note values etc. Students do need command and knowledge of these terms and devices in these listening questions.
Question 2(e)
Candidates found this question to be very straight-forward and secured full marks. As has been mentioned in 2(c) more practice is needed with the sounds and timbres of classical instruments.
Question 2(f)
Three responses relating to contrast are asked about this bridge section. Marks are credited for hearing different harmony/chords, a modulation, new bass guitar and drum rhythms, a new/higher pitched melody, and also for hearing that the hook is not used and there is no electric guitar. Again, the musical elements of melody, pitch, rhythm, harmony, tonality are all tested.
(f) Give three ways in which musical contrast is achieved in the bridge section from bar 16 to 19.
1. secondary chords are used e.g F# minor, C# major
2. the hook is not being played
3. backing voices change - go up a scale
ResultsPlus
Examiner Comments
The response in the clip highlights three credit points relating to the chords/lack of hook (melody) and the pitch of vocals.
ResultsPlus
Examiner Tip
As has been mentioned in the introduction, try to highlight one point per musical element as this might generate more marks than trying to find three responses for say the harmony alone.
Question 2(g)
This was a difficult question and only a few candidates heard the F sharp major chord/ secondary dominant. Most chose B major (dominant).
(g) How is harmonic contrast achieved from bar 25 to 30?
(h) The lyrics reflect seriously upon aspects of London life, but the music itself has a
ResultsPlus
Examiner Comments
This response was typical, hearing B major as opposed to F sharp major.
ResultsPlus
Examiner Tip
The score contains clues and details which would have helped in the response to this question.
Question 2(h)
A context question such as this requires lateral thinking by the candidates. The answers always relate to the standard musical elements of pitch, rhythm, harmony, timbre, tempo, melody etc.
(h) The lyrics reflect seriously upon aspects of London life, but the music itself has a more positive feeling. Identify two ways in which the composer creates this feeling in the music.
1. Key of E major
2. upbeat rhythm
ResultsPlus
Examiner Comments
Two pertinent points here: one relating to major tonality and the second to the nature of the rhythms in the song.
ResultsPlus
Examiner Tip
Think about the main musical elements and consider the obvious relating, in this case, to a ‘more positive feeling’. Tonality and rhythm are the obvious two.
Question 2(i)
‘Double tracking’ was either understood or totally misunderstood. The question has two facets—what does ‘Double tracking’ mean and what is its effect on the overall sound. Candidates need to read questions thoroughly to ensure that they understand this.
(i) Some of the lead vocal part has been double tracked. What does this mean and how does it affect the overall sound of the song?
They have been recorded twice, making the vocals sound fully and clearer.
(Total for Question 3 = 16 marks)
Results Plus
Examiner Comments
This candidate has successfully highlighted both aspects of the question posed.
Question 3(a)
Both essays require facts and features of musical styles. To secure top marks as in these two essays, all points are backed up with apposite examples quoting bar numbers or passage reference points.
If you answer part (a) put a cross in the box ☑️.
If you answer part (b) put a cross in the box ☑️.
ai Simple diatonic melodies are used for example the opening trumpet theme in bars 1-4 which are typical of the style of Neoclassicism. Periodic phrasing is also a key feature for example bars 1-4 ends on a perfect cadence in the tonic and this is answered 4 bars later by a perfect cadence in the dominant. However, Poulenc spics up conventional chord progressions by making use of wrong notes—for example the horn plays a C in the perfect cadence in bar 4—not a D which is...
typical of this provocative, humorous nature of Neoclassicism.
The harmony is tonal; Poulenc uses clear cadence points for example at bars 14 and uses primary chords (in bars 1-4 Poulenc uses chords I, IV and V) - this is also typical of the Neoclassical time. Poulenc also uses syncopation (like in bars 13-14) but does a variety of techniques to create humour and amuse the listener - again an important characteristic of the Neoclassical style. Poulenc constantly changes metre and tempo - for example bar 9 is $\frac{3}{4}$ time, bar 16 is $\frac{4}{4}$ and bar 17 is $\frac{5}{4}$. He also varies the speed because section A is fast but at section B (bar 26) he slows the pace down to make it exciting for the listener - many Neoclassical pieces aimed to do this. Finally, to create further wit and sarcasm, he fragments the melody between the trio at bars 22-25. The horn plays quavers instead of semiquavers and the trombone augments the rhythm. The opening triadic figure loses all energy, shape and accompaniment - this is certainly not what you would expect in a classical piece and it is a defining feature of Neoclassicism whereby Poulenc attempts to create humour and sarcasm to amuse the listeners.
iii. The structure of the Brandenburg Concerto is ritornello form - there is a returning ritornello - ("Little Return") in different keys broken up by episodes. The tonality is a very important aspect in this Concerto and helps to define the structure. The tonality is very clear; Bach uses a clear chord progression
of IVI which can be heard in the first 3 bars. The baroque flutes are also used in parallel 3rds and 6ths throughout - especially from bars 67-83. Bach also uses tonic pedal notes to reinforce the key, for example at bar 325 - the ripieno play a B to reinforce B minor. The structure of ritornello is highlighted by the Syncopated Codential figure which marks the end of a ritornello. Bach uses clear Cadence Points - for example bars 82-83 he uses a perfect cadence to highlight important keys and sections. The end of ritornelles are also emphasized by the syncopation and terraced dynamics - Bar 80-81 there is a hemiola and all instruments are playing which brings the ritornello to our attention (whereas in the episode it is quieter as only a few instruments are playing). The function of the episode is to modulate between keys - we first hear the ritornello in G major from bars 1-83, but then it returns in E minor from bars 137-157. It returns a third time in C major from bars 209-235, in B minor from bars 323-345 and then finishes at bar 427 in G major again. Bach also uses 2 common harmonic devices which help make the tonality clear and functional. From bars 97-103 he uses a circle of 5ths going from G to C, to F to B to E to A and finishing on D. Also, a Neapolitan 6th is used in bar 151 which adds brief chromatic colour.
The Structure of the String Quartet is arch form. Section A is from bars 1-28 but the tonality is very
ambiguous - especially in the first 7 bars where we hear all 12 pitches of the chromatic scale. Shostakovich also uses chromatic tonality by moving through the triads of E minor, E major, Eb major, D major at the start of the quote from his first Symphony (bar 13). However the tonality is functional at bars 25-27 as Shostakovich uses a perfect cadence to firmly establish the key of C minor.
The B section is characterised by the introduction of the tonic and dominant pedal notes held by the Viola, Cello and Violin II. This makes the tonality crystal clear (C minor), despite the chromatic melody played by the Violin I. Section C begins at bar 55 and is defined by a new 2-bar melodic line played by the Violin I and II. At the beginning of the quote from his 5th Symphony, Shostakovich establishes a C major tone by the Violin I playing an E natural. However at the homorhythmic section of the DSCH motif at bars 79-82, Shostakovich uses simple but unrelated root position triads moving through the keys of G major, Eb minor, F major which makes the tone vague as he harmonises the DSCH motif in a chromatic way. Dissonance is used in bar 80 to further add to the ambiguous tone. However the introduction of the tonic and dominant pedal notes in section B1 (bar 87) reinforces the key of C minor once more. However Shostakovich adds a third to the chord this time because the Viola plays a C in the A minor chord at bar 87 - this adds warmth to the sombre and depressing atmosphere. The Section A1 at bar 95 is characterised by the restatement of the DSCH motif played homorhythmically (not imitative like Section A). The end of the movement enharmonically changes to a G# ready for
At bar 202, the virtuosic violin solo changes from a G major scale to a dominant 7th chord in G which prepares (dominant) for the return of the ritornello 7 bars later in C major at bar 209.
**Examiner Comments**
This candidate has itemised many features of the Poulenc both classical and 20th century. To score full marks is relatively easy if the learning has been done. The same is true in the second essay comparing the Bach and Shostakovich works.
**Examiner Tip**
These questions require thorough preparation and this can be effectively done as the question format is quite predictable. It is worth knowing that for the ten mark question, seven points and three locations will secure full marks, and in the eighteen mark question, twelve valid points and six locations will equate to full marks. The best essays had a plan (often in tabular format) which was then converted into prose.
Question 3(b)
The same comments as made about the previous essays apply equally for 3b.
If you answer part (a) put a cross in the box ☑️.
If you answer part (b) put a cross in the box ☑️.
i) Se Quiera La Chumbambá takes its influences from the countries of Spain, the African continent and the genre of salsa. This is due to the slave trade and the song is a son montuno, meaning that the farmers could sing it at work.
One of the Spanish influences in the piece is the virtuosic cuarzo solo heard first at the beginning when it outlines the tonic and dominant chords, keeping a solid chord progression throughout the music. It makes strong use of the harmonic minor scale, in G, which is a strong Spanish influence, as well as the fact that the only chord progression heard in the song is the repetitive pattern of Em - D7 - D7 - Em, giving the song a strong tonal feel as well as a hypnotic rhythm. The song is an example of early salsa because there are no brass instruments heard in the piece, which is used more recently for dancing.
Although much of the percussion heard in the music is influenced by African origin, the use of the 3:2 son clave is an important feature of the Spanish influence. It first occurs at bar 5 of the music but is so pervasive that it is sensed even in the monophonic texture created by the cuarzo solo at the beginning of the song. It is a repetitive pattern of 5 notes and acts as a metronome, adding to the hypnotic feel of the piece.
The other strong Cuban influence in the piece is the African continent. The most important African feature in the piece is the use of call and response from the Pregon (caller) and the Coro (response). The Pregon
sings a fixed tune in verse one, and after this he improvises, whereas the Coro sings a fixed melody throughout. The song also makes use of syncopation, another strong African influence, and the piece itself begins on an anacrusis, giving the music a syncopated feel from the start. The percussion is also important; while the claves play a repetitive ostinato, the bongos play simple quaver patterns and improvise later on while the maracas play noisy crotchetts against the solo clave. These elements combined in a clash of cultures formed Cuban music and these elements are all heard in the song.
Another part of the hypnotic feel created by the piece is the use of Anticipation Bass, where the tonic note of the chord in the next bar is anticipated on the last beat of the previous bar, which is an influence of a lot of Spanish music.
ii) The Lamb by John Lawrence is in strophic form, as both verses make use of the same music, and although there are no bar lines or time signature, the ends of lines are indicated on the score by dashes. Verse one begins with the soprano (falconet) singing a monophonic line of music, and this is then joined by the alto singing the same line in inversion, creating a homophonic texture. The verses are thought to have their own ternary structure (ABA). Bars 1-4 of verse 1 make up the first A section, bars 5-6 make up section B and bars 7-10 make up the final section A', which is a modified repetition of section A. As there is no chorus, this same structure is heard in Verse 2.
Unlike the Lamb, Après un Réve is in modified strophic form with no chorus; the music used in the first two verses is the same,
However, the third verse is modified to relate to the "Alas" of the person waking up. The song begins with a one bar introduction, introducing the key as C minor through chordal repetition. The sections in the song are not particularly defined by key, but the first two verses of the song use long arch shaped melodic phrases, which is a classic feature of the Romantic era. The third verse introduces a sudden contrast in dynamics to convey heightened levels of emotion.
The Lamb begins with a single monophonic line of music, instantly creating ambiguity in the tonality, as it begins on G, and there is no given key signature. Bimodality is created when the alto enters in bar 2, singing an inversion of the soprano line, contrasting G major against the new key of E6 major. In bars 7-10, Taverner creates ambiguity in tonality by introducing the Aeolian mode on E, as there is no raised 7th in the music (D#). However, the tonal centre of E minor is affirmed at bar 10 when a perfect cadence of B-E is created by all four voices. Verse 2 begins as bar 1 did, but with the voices doubled; soprano with tenor and alto with bass. Some parts are even sung in octaves to give a slightly stronger sense of tonality. At bar 18, Taverner makes use of an expressive Am9 chord to convey the emotion through the music, giving the ambiguous sense of tonality a surge of power. However, the piece ends with a long perfect cadence from B-E, created by augmentation of previous phrases, leaving little doubt in the mind of the listener that the piece is in E minor modal, referring to the scale of the Aeolian mode on E heard earlier, although Taverner hints at modality, bimodality and major keys throughout, just by using 7 notes.
By contrast, *Après un Rêve* gives a stronger sense of tonality by beginning with block chords in C minor, affirming this as the tonic key. However, like the Lamb, nodes are hinted at by Faure’s use of false relations, when the B6 of the singer pulls against the B natural of the piano part, creating both dissonance and a sense of ambiguity in the key. Most dissonances heard in the music are not prepared for or resolved, and although most of the vocal phrases make use of the C minor scale, a sense of ambiguity in tonality is created through Faure’s use of expressive B6s and Ds, creating minor 7th and 9th chords throughout, the first example of this being at bar 3. The song has a tendency to modulate to unrelated keys; for example, verse 3 is in Bb minor to express the heightened emotion of the lyrics, and this itself is a modulation from F minor, the subdominant of C minor, earlier on in the piece. The use of these modulations is a typical trait of Romantic music. The piece ends with a perfect cadence from minor to minor, affirming C minor as the tonal centre through the piece. This final cadence is strengthened by Faure’s use of chromaticism and dissonance heard in the music.
The essay on stylistic features of ‘Se quema la chumbamba’ secured a relatively easy full marks for many of the candidates. There are lots of features about the instruments, harmony and rhythm that contribute to its genre as Cuban Son. The second essay comparing the Faure and Tavener vocal works was a little more demanding but nevertheless had many credit points in the mark scheme.
Candidates should draw up an essay plan as these tend to lead to concise, fluent and cohesive answers. Without a plan, points are frequently repeated, and candidates switch randomly between works, often making incorrect statements as they have forgotten where they are! Again, if candidates have difficulty with written prose, a bullet pointed answer/tabular format might be best for them.
Question 4(a)
This question should be quite straight-forward as all the notes are given on the score. If these have been taught, this is a straightforward 5/8 marks every year.
| Bar 1, beats 1 and 2 | Ia |
|----------------------|----|
| Bar 1, beat 3 | IIb|
| Bar 2, beat 1 | V7a|
| Bar 2, beat 2 | Ia |
| Bar 2, beat 3 | Vb |
| Bar 3, beat 1 | Ia |
(b) Identify the key in bars 9–12.
ResultsPlus
Examiner Comments
This full mark answer demonstrates correct chords precisely defined with inversion symbols, added notes etc.
Question 4(b)
Key identification. Clues are given on the skeleton score, including added accidentals, chords, melody direction, cadences etc.
Question 4(c)
The pedal is a common device and one studied at GCSE level. This particular example was actually a tonic pedal as the music at that point has modulated to F major. However, ‘pedal’ on its own would suffice for the mark.
Note: some candidates wrote ‘drone’ which has properties of a pedal but were awarded no marks.
Question 5
The completion of five chords should be quite straightforward but reveals many problems each year, including consecutive 5ths and 8ths, augmented intervals, chords with wrong notes, poor part-writing, doubled leading notes etc.
This year, the use of a minor key caused extra problems and it is advised that more practice is needed in this mode.
5 Complete the music below for SATB voices in short score, choosing suitable chords. Some credit will be given for the appropriate use of non-harmonic notes. Some space for rough work is given on page 15, but you must write your answer on the score below.
(12)
ResultsPlus
Examiner Comments
This example is clear. 5 correct chords for 10/12 marks and 2 passing notes for extra credit = 12/12.
The candidate displays good understanding of vocal part-writing, with a high tenor part and strong contrary motion bass to the treble. The three last chords form a stock Ic-V7-I cadence.
ResultsPlus
Examiner Tip
The last three chords will often form a traditional progression and should be completed first. Then the first two chords can be worked to complete the passage. Candidates are advised to use only primary and secondary triads and to keep things simple. Many passing notes often cause errors in part-writing. Only a maximum of two marks is allowed, so it is best just to write in two examples.
Finally, do not forget the all-important consecutive checklist - SA/ST/SB/AT/AB/TB. It is surprising how many candidates do not carry this out and lose many valuable marks!
It was found that many candidates performed well in one or two areas of the paper, but clearly had also neglected other aspects of the unit. There were examples of excellent essays but poor harmony work etc. This is a shame as a high aggregate mark can be obtained from working at the unit as a whole. As a general comment, the weakest answers were in questions 1 and 2 and some of the strongest in the essay questions which had obviously been thoroughly well learnt and revised.
**Grade Boundaries**
| Grade | Max. Mark | A | B | C | D | E |
|------------------------|-----------|---|---|---|---|---|
| Raw mark boundary | 80 | 61| 54| 47| 41| 35|
| Uniform mark scale boundary | 120 | 96| 84| 72| 60| 48|
Further copies of this publication are available from
Edexcel Publications, Adamsway, Mansfield, Notts, NG18 4FN
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Order Code US024503 June 2010
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Want Input on future projects in Jamestown?
Plan to attend the Capital Improvement Program meeting on February 18th in the Council Chambers at Town Hall from 5:30 to 6:30 PM.
Town Council Meeting will begin at 6:30 PM.
With the plans, desires and dreams that we all have for our community, it is especially important to prioritize our capital projects as we are going to have stiff competition for the future allocation of limited public resources. Without this critical financial planning document, attempting to satisfy needs identified through the development of various Town plans and programs is likely to overwhelm the Town and its capabilities. In addition, without the development of proper planning tools that recognize and prioritize public needs/desires, the Town stands to thwart the energy and enthusiasm of the public. If that enthusiasm is thwarted, we shall lose our most valuable asset in the accomplishment of our goals – public support and involvement.
The Capital Improvement Program is a tool that allows us to assess needs, together with resources, and to make more systematic decisions regarding the emphasis that the community will place on particular goals and objectives. The program is not a be all and end all of community planning, but it certainly is a key element in providing community focus and direction.
Town Hall is located at 301 East Main Street
Council Chambers entrance is located on the western side of Town Hall (Guilford Road Side)
COUNCIL MEETING HIGHLIGHTS
December 17, 2013
Regular Meeting Summary
1. Minutes from the November 19, 2013 meeting approved
2. Resolution Honoring the Retirement of Paul E. Craft – Click here for Resolution
3. Continuance of Public Hearing to consider a Master Signage Plan for the Forestdale Shopping Center
4. Discussion of Utility Right-a-Way Maintenance Ordinance
5. January 18, 2014 Public Hearing date approved to consider amendment to the Animal Control Ordinance
6. Considered and approved Budget Amendment
7. Received Analysis of Financial Position of the Town of Jamestown
8. Resolution Honoring Council Member William T. Walls – Click here for Resolution
9. Mayor and Council take Oath of Office
10. Council Member Brock Thomas appointed Mayor Pro Temp
The Town Council regularly meets the third Tuesday of each month beginning at 6:30 pm at the Town Hall Council Chambers located at 301 East Main Street – unless rescheduled. The next Regular Council Meeting is scheduled for Tuesday, February 18th, 2014 at 6:30 pm. There is a meeting scheduled for 5:30 pm – 6:30 pm for citizens to speak to the Town Council regarding projects they would like to see included in the Town of Jamestown Capital Improvement Projects (CIP). Please join us in the Council Chambers for this important meeting. View Minutes of Past Meeting Here
Curbside Recycling Program Update
We are approaching the one year anniversary of the Curbside Recycling Program. The program has been running smoothly for the most part. During the first couple of months we had some missed streets, some non-recyclable materials placed at the curb, and some confusion about what day recycling picks up. We feel that these issues are behind us now, but two other issues are worth mentioning. The program picks up on every Monday except: if Christmas Eve or Day fall on a Monday or due to inclement weather affecting worker safety. We will inform everyone when one of those events occurs. In either situation, recycling should be picked up the next day. Thus, around all other holiday events, recycling will be picked up on Mondays.
We have seen some trends regarding recycling. The town places about 4.5 tons of recyclable material at the street each week. We have seen a reduction of waste of about 6 tons per month. I would like to report the amount of increased recycling material produced in Jamestown, but our recycling center was used by residents and non-residents. Thus, one could only speculate how much material came from residents in the old program. And one final trend, we see less material on weeks with a holiday, and more material on the week following a holiday.
The materials that can be recycled include:
- Plastics numbered 1 through 7
- Oil bottles (empty and dry)
- Buckets, milk crates
- Steel cans and their lids
- Glass Jars
- Glass Containers
- Dry newspapers and inserts
- Brown paper bags
- Plastic furniture
- Plastic flower pots (clean)
- Soft drink/water bottles/milk jugs/butter tubs
- Aluminum cans, aluminum foil and aluminum pie tins
- Aerosol cans (empty)
- Wine/Beer Bottles
- Junk Mail
- Telephone books
- Plastic trays
All of the above materials should be clean, empty, and dry and placed in clear garbage bags. When items that are not recyclable are left at the curb, the workers will leave all or part of the bag at the curb. That material will be picked up on the next garbage collection day. Town staff will try to communicate why bags are left by the recycler.
Some items are not recyclable, such as:
- Aerosol cans with an orange warning label
- Mirrors, window glass
- Vases, bowls, Pyrex dishes
- Light bulbs
- Plastic shipping wrap
- Styrofoam and shipping “peanuts”
- Paint
- Wrapping paper, tissue paper
- Food
- Dirt
- Large toys
- Electronics, appliances
We appreciate our residents participating in the recycling program and making it a success. We challenge our residents to see if we can recycle more, which will increase our average tonnage picked up each week AND it should reduce our waste tonnage. We pay a flat fee for recycling, so this would not cost more. We pay for garbage disposal by the ton, so a reduction in tonnage yields a reduction in cost. Thank you for your participation!
JAMESTOWN PARK GOLF COURSE
Spring Session of First Tee classes start at Jamestown Monday March 24. Player and Par levels will be held on Mondays at 4:30 – 6pm and Birdie level classes will be held on Wednesdays beginning March 26th also at 4:30 – 6 pm.
First Tee spring session will run for 8 weeks and end May 12 and 14th respectively. Please visit First Tee of the Triad for more details. Jamestown Park and The First Tee of the Triad as always welcome volunteer coaches!
Jamestown Park is open for booking outings and shelters for the new year. The golf outing calendar is filling up quickly with many returning events already booked for the New Year. The annual Marylene Griffin Memorial- Jamestown Civitans event is once again scheduled for May 17, 2014. Please contact the golf shop at 336-454-4912 if you would like to inquire about shelter rentals or booking a golf outing.
Michael Hutcheon
FINANCE NEW$ - UTILITY BILLS
If you have had trouble receiving your Utility Bill in the mail or you travel frequently for business or pleasure, you may be interested in e-bill. This service is free, but you must request it online. Click here for complete instructions on signing up for e-bill.
The Town also offers many options for payment of Utility Bills. Bills can be paid online or via phone (1-855-768-4818) with no additional charge by debit card, Visa or Mastercard. Bank draft is also free and assures there will never be a late fee added. You may also pay through your personal online banking. Please be aware that some banks still mail paper checks so allow at least 5 business days to be sure we receive it on time. The old fashioned ways still work as well. Payments may be mailed, put through the drop slot or you may come in to our office. Cash and checks are free but there is a 3% fee to pay by debit or credit in the office. We accept Visa, Mastercard and American Express in the office.
Employee Highlight—Drew Thomas
Assistant Park Superintendent
Jamestown Park maintenance has been operating short-handed since July of last year. In January a new Assistant Park Superintendent was hired and he came all the way from Onarga, Illinois by way of South Carolina to join our staff! Drew Thomas began working at a golf course while he was in high school and felt like he could make a career out of it. He graduated from Iroquois West High School and Southern Illinois University with a degree in Plant and Soil Science.
After graduating, Drew moved to South Carolina for his first job at Hilton Head. There he met his wife to be while she was in school in Savannah. She’s a North Carolina girl and since the birth of their son, they wanted to move close to her parents in Sophia.
Drew met John Crowe, Parks Superintendent through the pro at Holly Ridge Golf Course. When the Town began taking applications for the assistant position, Drew applied. He began on January 6th. He really enjoys the camaraderie of the guys in the maintenance department. The way they take pride in their jobs has impressed him.
Drew’s hobbies are duck hunting and fishing and playing with his two month old son.
Planning for Capital Improvements for 2014-2016
In June 2010, the Town of Jamestown completed its first Comprehensive Pedestrian Transportation Plan. The plan was the result of a grant obtained by Planning Department staff and it identified several projects which the Town should consider in order to help improve pedestrian transportation options. These included sidewalks, greenway trails, and street crossing improvements. The staff immediately began using this plan to seek additional grant funding to implement the suggested improvements. Over the past 4 years, citizens have seen many improvements to our pedestrian systems.
In late 2010 and early 2011, stamped and painted crosswalks were installed along with signalized pedestrian crosswalk heads to help improve visibility and safety. A majority of this work was completed using NCDOT funding sources.
In 2013, Town staff were successful in again obtaining funding from NCDOT to complete sections of new sidewalk. A concrete sidewalk was installed behind the entrance sign on Vickrey Chapel Rd. which connected existing sidewalk at the Ragsdale High School campus to Yorkleigh Lane. This is the first phase in a larger section of a sidewalk/greenway trail system which will connect with existing sidewalk near the Jamestown United Methodist Church, completing the connection between RHS and downtown. This trail will be known as the “Lydia Trail”, as it will cross under the railroad at the old underpass, historically known as the home to the ghost of “Lydia”, a local legend.
Additionally, a section of new brick paver sidewalk was installed near Perky’s Bistro and Rob’s Barber Shop. These sections act as a first phase for sidewalk which will eventually stretch down Oakdale Rd. to the Jamestown Oaks subdivision. The brick paver sidewalk transitions over to concrete near Bruce Dillon’s Auto Shop and plans are currently in progress to continue the concrete sidewalk down Oakdale Rd. if funding becomes available in the future.
As a result of the 2010 Comprehensive Pedestrian Transportation Plan, Planning staff approached NCDOT requesting major funding for the completion of the “Lydia Trail”, as well as a connection between existing sidewalk along East Fork Rd. and the Bicentennial Greenway. This section will require the installation of a pedestrian bridge over City Lake near the existing roadway bridge. Town staff realized that it would be cost-prohibitive for the Town to singularly bear the burdens of constructing such improvements and requested assistance from the NCDOT.
The Town has received word that it is eligible for approximately $1,870,000 to complete these two projects. Planning has already begun to ensure that we will be able to complete these projects given the budget available. As with any grant project, there is considerable amounts of paperwork, planning, engineering, and other considerations that must be addressed before construction begins. However, it is the
hope of staff that these improvements will be completed by 2016.
We often hear that plans created in previous years only “gather dust on our shelves”. However, it is evident that all of the Town’s staff have been busy seeking alternative funding sources which will make the planned improvements a reality at minimal cost to citizens. It is our hope that these improvements will be an asset to our community and improve the safety of our pedestrians.
If you have questions, please feel free to contact Matthew Johnson at Town Hall at 336-454-1138 or by email at firstname.lastname@example.org.
Please remember to be safe when heating your home during
There is something about the winter months and curling up with a good book by the fireplace. But did you know that heating equipment is one of the leading causes of home fire deaths? With a few simple safety tips and precautions you can prevent most heating fires from happening.
**BE WARM AND SAFE THIS WINTER!**
- Keep anything that can burn at least three-feet away from heating equipment, like the furnace, fireplace, wood stove, or portable space heater.
- Have a three-foot “kid-free zone” around open fires and space heaters.
- Never use your oven to heat your home.
- Have a qualified professional install stationary space heating equipment, water heaters or central heating equipment according to the local codes and manufacturer’s instructions.
- Have heating equipment and chimneys cleaned and inspected every year by a qualified professional.
- Remember to turn portable heaters off when leaving the room or going to bed.
- Always use the right kind of fuel, specified by the manufacturer, for fuel burning space heaters.
- Make sure the fireplace has a sturdy screen to stop sparks from flying into the room. Ashes should be cool before putting them in a metal container. Keep the container a safe distance away from your home.
- Test smoke alarms monthly.
**Heating Equipment Smarts**
- Install wood burning stoves following manufacturer’s instructions or have a professional do the installation. All fuel-burning equipment should be vented to the outside to avoid carbon monoxide (CO) poisoning.
- Install and maintain CO alarms to avoid the risk of CO poisoning. If you smell gas in your gas heater, do not light the appliance. Leave the home immediately and call your local fire department or gas company.
**FACT**
Half of home heating fires are reported during the months of December, January, and February.
Upcoming Events
Feb 18 5:30pm CIP Citizen Input Meeting
Feb 18 6:30pm Town Council Meeting
Mar 8 9:00am Rabies Clinic at Town Hall
Mar 9 2:00am Daylight Savings Begins!
Mar 18 6:30pm Town Council Meeting
Check the “Calendar of Events” section of the website for updates
Hello from the Clerk’s Corner
Rabies Clinic
Please join us at the Town Hall on Saturday March 8th, 2014 from 9:00 am till noon. Guilford County Animal Control will be conducting a Rabies Clinic. The cost is only $5.00. The Town hosted our first Rabies Clinic last year in partnership with the Girl Scout Troop 40333 Pet Fair. The public participation was so great that the Town decided to host the clinic again this year. This is a great opportunity to have your pet vaccinated. The Town Hall is conveniently located at 301 E. Main Street with easy access. Please mark your calendar to attend this Rabies Clinic to ensure your pet is properly vaccinated.
A side note regarding pets; the Town of Jamestown received a Community Conservation Assistance Grant from the Guilford Soil & Water Conservation District. This grant was used to purchase a Pet Waste Receptacle for Jamestown Park. The Pet Waste Station is identical to the one located at Wrenn Miller Park. If you and your pet are at Jamestown Park – check it out.
Arbor Day 2013
Please also mark your calendar for this year’s Arbor Day Celebration. The date is March 21, 2014. The Ragsdale High School H.O.P.E. Club will once again join us. The location of the tree planting and event has yet to be determined, so watch the Town website for details coming soon.
I hope all our citizens and pets are keeping warm and safe. Let’s keep thinking thoughts of sunshine and spring.
If you have any questions regarding these events, please contact me.
Martha S. Wolfe,
Town Clerk, CMC
email@example.com
336.454.1138
Plumbing Issues?
Please Call Public Services at
336.454.1138 or after hours at 336.454.1218
We’re here to help and may save you a plumbing bill!
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T4KING FLIGHT
THE CHANGI AIRPORT TERMINAL 4 STORY
Terminal
4
Car Park
Baby
Departure
4B 停车场
Tempat Meletak Kereta 4B
स्थान लगातार करें 4B
駐車場 4B
4A 停车场
Tempat Meletak Kereta 4A
स्थान लगातार करें 4A
駐車場 4A
护理室
Bilik Persalinan Bayi
பிளிக் பெர்சலினன் பேயி
授乳室
The DNA double helix is a symbol of genetic research and biotechnology.
The Golden Man
The installation is a collaboration between artist and designer, and architect. The design team worked closely with the artist to create a cohesive and immersive experience for visitors. The use of laser-cut paper and LED lighting creates a magical and enchanting atmosphere that draws people in and encourages them to explore the space. The installation is a testament to the power of art and design to transform spaces and create memorable experiences.
The interior of the building is designed with a modern and elegant aesthetic, featuring a large circular skylight that allows natural light to flood into the space. The ceiling is adorned with intricate patterns and designs, adding to the overall beauty of the interior. The walls are painted in soft pastel colors, creating a calming atmosphere. The floor is made of polished stone, reflecting the light from the skylight and enhancing the brightness of the space. The furniture and decor are carefully chosen to complement the design of the building, ensuring a harmonious and visually pleasing environment.
The bird is flying.
The spider web is a marvel of nature, showcasing the incredible engineering skills of these tiny creatures.
LANCOME
MAINTENANCE OF THE SKIN
BY DR. WISMA
The vertical garden at the Singapore Art Museum, designed by Patrick Blanc, is a striking example of how greenery can be integrated into urban spaces. The garden features a variety of plants and trees, creating a lush and vibrant environment within the museum's atrium. This integration not only enhances the aesthetic appeal of the space but also contributes to the overall sustainability of the building by improving air quality and providing a habitat for local wildlife.
The Milwaukee Art Museum, designed by Santiago Calatrava, features a striking architectural design with its undulating white structure. The image captures the intricate details of the building's ceiling, showcasing the interplay between light and shadow that highlights the curves and lines of the design. This photograph exemplifies the museum's modern aesthetic, emphasizing both functionality and artistic expression.
RAISING THE BAR
Fun. Vibrant. Positively surprising. In aiming high, Changi Airport’s passenger terminals have built a reputation for offering the highest standards of service. This has been its DNA since its inception in 1981. Passengers have come to expect no less from one of the world’s busiest and most awarded airports.
Now, Changi’s latest addition, Terminal 4 (T4), raises the bar and sets a new benchmark. It is built on the foundation of seamless service from the moment the passenger arrives at the terminal until it is time to board the aircraft. In between, checking in and clearing customs are automated and swift because T4 is designed to offer greater convenience and increased productivity.
The time shaved allows passengers to shop and dine leisurely after they clear departure immigration. Created with an ambience to entertain, retail and F&B outlets dot the departure transit area.
It is an entirely new experience for passengers at Changi’s newest terminal.
At the heart of T4 is the Fast And Seamless Travel (FAST) system, which enables the smooth movement of passengers from check-in and immigration to aircraft.
Travelling has never been this seamless at Changi Airport.
Published by
Changi Airport Group (Singapore) Pte Ltd
Copyright ©2018
Singapore Changi Airport
PO Box 168
Singapore 918146
www.changiairportgroup.com
TAKING FLIGHT
The Changi Airport Terminal 4 Story
Designed and produced by
Tuber Productions Pte Ltd
(A Potato Productions Company)
www.tuber.sg
Editorial consultant: Penman LP
Editor: Ian De Cotta
www.penman.sg
Commissioned photography by
Kevin Yang and Chuck Tham
ISBN: 978-981-11-7719-4
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior written permission of the copyright owner.
All information correct at time of printing.
Printed in Singapore.
T4KING FLIGHT
THE CHANGI AIRPORT TERMINAL 4 STORY
Dedicated to the late
Somkiat Lertpanyavit
&
Foo Sek Min
For devoting their lives to moulding Changi Airport into the world’s best.
Somkiat Lertpanyavit
(1944-2015)
Former Managing Director of
Changi Airport Planners and Engineers
An outstanding engineer from Thailand, the late Somkiat Lertpanyavit was recruited by the Singapore government for national development in the early 1970s, at a time when Singapore was critically short of engineers. As an airport engineer, he first worked on airfield projects in Paya Lebar Airport. Somkiat eventually became a Singapore citizen and continued to serve the airport with passion as a key master planner and designer, after the government decided to move Singapore’s international airport operations from Paya Lebar to Changi in 1975.
Dedicating 43 years of his life to Singapore’s airport development works, Somkiat is most remembered for single-handedly designing the airfield layout of Changi Airport’s two runways. His expertise and deep airport master planning knowledge is highly regarded by airport planners worldwide. Somkiat figured prominently in Changi’s growth. He groomed and mentored many of the airport’s outstanding performers in both the executive management, and rank and file.
Under his leadership at Changi Airport Professional Engineers, a Changi Airport Group subsidiary, the Changi brand spread far and wide around the world. Although Somkiat intended to retire in 2011, he was persuaded to help with the planning of Chang East, the next phase of the airport’s expansion. And he did so with great pride and commitment.
Foo Sek Min
(1971-2018)
Former Advisor to Chief Executive Officer,
Changi Airport Group
The late Foo Sek Min was behind many of Changi’s creative innovations, especially when he was head of airport operations from 2005 to 2013. Under his direction, the airport became the first in the world to introduce an Internet centre, a Butterfly Garden and an airport game show that lifted the travel experience of passengers to new levels. He was deeply involved in Changi Airport’s Quality Service Management initiatives, working with the team to deliver the special Changi Experience which passengers enjoy today.
Sek Min started working in Changi Airport right after graduating from university in 1993 and dedicated his whole career to the airport’s growth and development. He undertook leadership roles across various airport operations functions and contributed to many of the milestones achieved. Among them were the extension of Terminal 2’s finger piers in 1995, and its upgrading between 2003 and 2006, as well as the refresh of Terminal 1 from 2009 to 2012. Sek Min also figured prominently in the building of the Airport Logistics Park of Singapore in 2003, and he led the airport’s Severe Acute Respiratory Syndrome screening task force that same year. He played a key role in the development of Budget Terminal three years later and Terminal 3 in 2008. He was among the core leaders who drove the corporatisation of Changi Airport in 2009.
For 25 years of his life, Sek Min lived and breathed Changi, dedicating himself tirelessly to keep our world-class airport at its best. His humour, intellect and energy, coupled with his consummate desire for excellence were palpable and infectious for everyone who had a chance to work with him.
## CONTENTS
### Chapter 1: Growing Expectations
- Changi’s expansion (20)
- Investing in the future (24)
- Changi: Growing and staying ahead (26)
- Behind the scenes (28)
- Inspiring innovation (32)
### Chapter 2: A Bold Move
- Embracing change (36)
- Ink on paper, but art nonetheless (38)
- Metamorphosis in motion (40)
- Method in the madness (44)
- Glide: Cruising from kerbside to aircraft (46)
- From kerbside to gate with FAST (48)
- The T4 magic and sepia tints (50)
| Chapter 3 | A THEATRE OF EXPERIENCE |
|----------|-------------------------|
| The space between |
| Gliding right through |
| Changi’s wonderwall |
| Seamless security |
| Shop and saunter to your seat |
| Into another world |
| Delight in the details |
| A green line into the horizon |
| The art of perfection |
| 10 things to do at T4 |
| Chapter 4 | THE HUMAN SOFTWARE |
|----------|---------------------|
| For the family |
| Chapter 5 | A FAMILY AFFAIR |
|----------|-----------------|
| Open doors, open minds |
| One final push |
| Taking flight |
| Thank you |
The Singapore Changi Airport is one of the busiest airports in the world, handling millions of passengers annually. The airport's design incorporates sustainable features such as solar panels and green roofs to reduce its environmental impact.
Chapter 1
GROWING EXPECTATIONS
It was borne out of necessity.
This was 1970s Singapore, and Paya Lebar Airport was buckling under the weight of a rapidly increasing demand for air travel. Despite extensions, Paya Lebar was handling four times the one million annual passenger movement it was designed for.
Changi was made to meet those increasing demands, but Singapore’s new airport went much further, right from the moment its doors opened in 1981. It moved beyond a functional waypoint of travel to one that was pleasant and wildly efficient.
That approach of looking far into the future became a mantra.
CHANGI’S EXPANSION
Demands and desires
There was much to learn from the Paya Lebar experience, and Changi took it all on board. Eyes were now focused on the horizon, and from the moment Terminal 1 (T1) rose from the ground, there was to be no resting on laurels.
T1 broke from international airport norms at the time. It coupled Singaporean efficiency with a friendly disposition: big airy halls and glass walls to allow arriving passengers to exchange joyful glances with their loved ones waiting eagerly beyond. Passengers got an efficient travel transit facility, and also amenities and a pleasing environment that they did not know an airport could provide – the *Changi Experience* was taking shape.
Growing into the Changi identity
As a testament to Changi’s foresight, construction of Terminal 2 (T2) began in 1986. It opened in 1990 and doubled Changi’s passenger capacity to 44 million a year.
Between 1995 and 1996, improvement works were carried out at both terminals, with T1 receiving a S$170 million refurbishment and T2 adding two new finger piers and 22 new aerobridges. T2 also needed to be updated and it received a S$240 million facelift in 2003.
In 2002, connectivity received a massive boost with the opening of the Changi Airport MRT Station.
Staying ahead of the competition takes a monastic commitment that Changi clearly espoused, and in 2008, Terminal 3 (T3) opened its gates. T3 sprouted from the ground and grew into a colossus of green leaves, glass and steel. It offered warm, efficient service, and with the MRT station, was immediately convenient. At T3, the *Changi Experience* was taken to a new level: its spaces were functional, but also evoked emotion.
“Only when the fundamental prerequisites are fulfilled, can we go on to provide for the needs and comfort of passengers to the last detail,” says Tan Lye Teck, Executive Vice President for Airport Management, Changi Airport Group (CAG), ahead of T3’s opening in 2008. “And we need to continue to provide capacity ahead of demand.”
Timely expansion of infrastructure was critical for Changi to stay ahead of the game – and that remains true today.
**Evolving expectations**
As average ticket prices fell in the years that followed, more passengers took to the skies. Airports needed to upsize, but bigger was just not enough. Comfort and convenience were still key factors, as passengers wanted an experience, and airports were expected to kick-start their holiday. The airport responded.
In 2006, the airport embraced the rise of low-cost carriers (LCCs) and opened Budget Terminal (BT). It put Changi’s finger directly on the pulse of the industry’s fastest-growing segment. The terminal had a handling capacity of seven million passengers per annum, but again Changi had its eye on the horizon.
**The budget terminal challenge**
LCCs grew rapidly and introduced a new set of passengers – the young and tech-savvy. Within a few years of its opening, BT felt the heat of capacity pressures. Nevertheless, Changi’s drive to stay ahead of the curve meant that it had capacity to spare because collectively, its three main terminals could handle 66 million passengers a year. That was 20 million more than what it was handling at the time.
“When we built BT, we intended to keep it low-frills and low-maintenance, but aviation growth trends, coupled with weak retail demands, soon drove us to rethink the BT proposition,” says Poh Li San, who was BT’s Head of Airport Operations before taking on the mantle of Vice President, T4 Programme Management Office.
“We were seeing double-digit growth for the airlines operating at BT, which was a good thing, but this was eating up the terminal’s capacity very quickly. We knew we really needed a much bigger terminal.”
With confidence that Changi Airport had capacity to spare, the management decided it could tear down BT to build in its place a more future-ready facility, one that was in closer alignment with the airport’s philosophy.
The signs were clear.
“I was hosting a chief executive of an Indian LCC, a very successful one that was trying to connect to Singapore for the first time,” recalls Lee Seow Hiang, CAG’s Chief Executive Officer (CEO). “We presented BT to him thinking that the carrier would want a low-frills terminal, but after sizing it up, he felt it did not meet his passengers’ expectations. For me, this affirmed our hunch that trends were changing.”
Changi hedged its bet on a full-service T4, and it turned out to be right.
In 2011, BT’s anchor airline, Tigerair (then Tiger Airways), had ordered 50 aircraft, and T4 was planned with the airline’s fleet expansion in mind. But after Singapore Airlines took over Tigerair in 2016, it decided to operate the LCC out of Changi’s other terminals instead of T4.
“Fortunately, T4 eventually went the full-service way to attract the likes of Cathay Pacific and Korean Air, or we’d have been stuck,” says Seow Hiang. “The thinking is that if your terminal is suited for only one type of airline, the flexibility to spread airlines around isn’t there.”
But rebranding was not just about that. T4 had to be worthy of the Changi brand – and future-proof.
“Retail was our secret to keep charges low and if we had stuck with a ‘budget’ image, the brands wouldn’t have come to BT. For businesses, brand equity is everything,” explains Seow Hiang. “The whole system needed to be rebranded because of our retail partners. Every terminal is a labour of love for us, but we were convinced it was the right thing to do. I knew we were creating something better.”
2. With air traffic growing, Budget Terminal was rapidly reaching full capacity and had to be replaced.
3. The new T4 is future-proof and aligned with the Changi brand.
INVESTING IN THE FUTURE
Changing mindsets
T4 was no cursory effort. It provided an opportunity to launch a futuristic idea that would be a test bed for Changi’s upcoming mega development project, Terminal 5 (T5), which would be unsurpassed in size and complexity.
“We challenged our limits, we knew there were constraints of budget and time, but we knew we had to do more because Singaporeans judge us at the highest level,” says Seow Hiang.
“So we had to hold ourselves to the highest standards.”
Between its birth in 1981 and 2018, Changi had won more than 560 best airport awards. But this was not just the Changi brand. Technological advancements could see the air travel paradigm shifting again, and T4 would be an operational test bed of these.
T4 personifies a bold change and one that heralds the coming of T5.
Previously managed by the Civil Aviation Authority of Singapore (CAAS), Changi Airport was corporatised and CAG was formed in 2009. Its CEO saw another opportunity to unearth in the new T4 – an intangible but valuable one that should not be missed.
“I had another greedy objective behind this – I wanted the new T4 to change a bit of us,” says Seow Hiang.
“We can talk about change, but sometimes you need context to personify that change, to create the culture of working together as one community.
“This was the community coming together, but not to apply a standard formula – everyone had to change their views.”
Global air travel trends indicate increasing demand and there is no standing still as Changi prepares for growth. Airport master planning is a complex process that can take years to realise, so the strategy has been to develop infrastructure projects ahead of capacity needs. This keeps Changi at the forefront of air travel and secures its position as a premier, world-class air hub.
**BEST IN CLASS**
With over 560 Best Airport awards, Changi is today, the world’s most awarded airport.
**Larger footprint**
Improvements never stop at Changi Airport. Even as new terminals are built, Changi makes sure that older terminals are continually upgraded and expanded to meet the growing demands of air travel.
**More airlines**
- **3X more**
- 1981: 34 airlines
- 2017: more than 100 airlines
---
**T1**
Opened in July 1981, serving 8.1 million passengers on a capacity of 12 million passengers per annum (mppa). Capacity expanded to 21 mppa by 1995.
**T2**
Opened in 1990 with 23 mppa. The numbers hit 20 million in 1994 – about half of T1’s and T2’s capacity. In 2004, it rose to 30 million – about 68% of total airport capacity.
**T3**
Opened in 2008, serving 22 mppa. The numbers hit 58.7 million in 2016 – about 88.9% of total airport capacity.
**T4**
Opened in 2017, serving 66 mppa. The numbers hit 60 million in 2017 – about 90.9% of total airport capacity.
ABOUT T4
Size
25-metre-high building with gross floor area of 225,000 square metres (about 27 football pitches).
Airside operations
21 contact stands, comprising four widebody and 17 narrow body stands, all connected by aerobridges.
Connectivity
11 airlines serving over 20 regional destinations.
Flights & passengers
800 flights a week serving more than eight million passengers per annum.
More flights
5X increase
1981: 1,461 per week
2017: 7,000 per week
A connected world
Today, with airlines flying to more places than before, it seems as if the world has become smaller. Far-flung places are not so remote anymore. Changi, too, is connected to six times as many cities as when T1 first opened in 1981.
BEYOND FLYING
Changi Airport is not simply a transport hub where passengers fly in and out of Singapore. What is key is the emotional connection it forges with those who fly through Singapore. Together, Changi’s clockwork efficiency, thoughtful amenities and dedicated service deliver an unforgettable encounter. Here is a look at how the airport has grown since T1 opened in 1981.
Retail outlets
More than 33X increase
1981: 12
2017: 405
F&B
More than 22X increase
1981: 7
2017: 160
Airport community
50,000 people
More than 200 organisations at Changi Airport work together to deliver the ONE Changi experience.
Three CAG executives who were closely involved in T4’s development discuss their journey of creating “a terminal like no other”.
From left:
YAM KUM WENG
Executive Vice President, Airport Development
LEE SEOW HIANG
Chief Executive Officer
POH LI SAN
Vice President, T4 Programme Management Office
BRIDGETTE SEE
Facilitator, Tuber Productions Pte Ltd
Q: Who decided on the deadline of building T4 in a record three years?
Seow Hiang: The world decided for us. Users of Budget Terminal were growing fast; we were also reaching full capacity at T1, T2 and T3. Any later and it would be too late because it would have meant cramming the other terminals or stopping flights. So, it was a bit of a no-brainer – circumstances forced the urgency on us.
Q: The T4 project management team was a relatively young one.
Li San: Yes, a few in our team were rookies. We had never built a terminal before.
Q: What gave CAG’s management the faith to entrust the building of T4 to them?
Seow Hiang: That’s why we have a tagline “A terminal like no other”. It’s okay if they had not built any other terminal. (laughs) Jokes aside, I would say we had the best of both worlds.
We had the deep experience – the best experts from Changi Airports International like the late Somkiat Lertpanyavit – in the initial stages, and our advisors Wong Woon Liong and Ho Beng Huat. At the same time, we also had the freshness of insight from the younger project management team. The architects and design consortium (SAA and Benoy) didn’t have experience working on airports before. We knew that but chose them because they’re good in particular areas that suited the design vision.
Q: What was the process like in deciding what T4 would look like?
Seow Hiang: It was a challenging piece of land. At first, we thought there were not many options, but as we pondered over it, quite a number of viable options emerged. That was fun because we were trying to break out of the constraints.
Kum Weng: We took a consultative and collaborative approach in ideation and decision-making. Right from the start, we gathered inputs from stakeholders of senior as well as junior levels across various airport agencies and integrated them into T4’s functional design plans. For some of the more strategic decisions that would shape how T4 would look like, it took many rounds of deliberation before a decision was made. For instance, we asked ourselves what would be T4’s “personality” and finally decided it should be a terminal that would give passengers a “fun, vibrant and positively surprising” experience.
Q: Were there misgivings?
Kum Weng: Of course. Some felt that since the configurations of existing terminals worked, why not continue with them, why take up that challenge?
Li San: This made us go back to our basic principles – to dig up what we understood of our operations and our passengers, and how our airlines work, to make our decisions.
Seow Hiang: One big tension surrounded the idea of creating a seamless walkthrough experience in the integrated duty-free zone. In the past, we never used it because we didn’t want retail to be foisted upon passengers. Are we able to slay this “sacred cow” without losing the fundamental principle of “not foisting retail on you”? It was a great mental exercise because what was not doable in the past was overcome and reinvented without compromising core principles.
Q: What were the other new approaches?
Li San: One was the Develop and Construct (D&C) approach, which is typically used in modular buildings like hotels. But for an airport, which is complex and mixed-use, it was quite a challenge. For T4’s scale, we felt it could work.
T4 was also subjected to new security design requirements to improve security. That underpinned a lot of the design considerations and we had to work around all these. That added another layer of requirements for our D&C process.
Q: Considering the timeline, one would have expected CAG to go for the safer, tried and tested methods instead of heavy experimentation.
Kum Weng: One big change was having our own project management team. When we built T1, T2 and T3, project management was outsourced. For T4, we decided to take over as project manager because we knew that when we undertake T5, it’ll be such a big, challenging project that we’ll need in hand a deep understanding of getting value out of good project management.
Q: It seems that CAG took some leaps of faith in building T4.
Kum Weng: We took many bets right from the beginning. We knew that if we missed this opportunity, we wouldn’t have another “live” platform for us to test new concepts for T5.
Seow Hiang: We looked at how start-ups manage risks. It was a careful concept of building experiments that gave us confidence. We needed to learn to be comfortable with ambiguity. We don’t like to take unnecessary risks, but in an ambiguous situation of introducing new technologies, how...
can we create rapid prototypes so that even if we fail, we fail fast and safe, and can quickly change and adapt?
**Q: How did you get everyone onboard to learn and cope with ambiguity?**
**Seow Hiang:** It’s not often that we are given a chance to build a new terminal, so we weren’t about to let this opportunity go to waste. Everyone wanted to make it happen. Without the deep passion, the fear would get bigger. But when you have a clear passion, fears and risks can be managed.
**Kum Weng:** One of the challenges we posed to our people was to make every touch point better than what we had. So nobody wanted to keep to the status quo.
**Li San:** There’s this trust from management. Of course, we had the due processes to make decisions, present the facts and recommendations.
**Q: Were there any particularly challenging moments?**
**Li San:** About seven to eight months into the project, most of the senior people from one of the design consultant teams left the company. We had to take over a fair bit of their work to manage the progress of the design development. It was a disruption, but we took it in our stride and managed to overcome that crisis.
**Seow Hiang:** It was a disruption because it was almost the entire Asia team suddenly disappearing. So I would say, kudos to the T4 team because they responded to the best of their abilities.
**Q: What has been your favourite moment so far?**
**Kum Weng:** When this project started to wind down, I was told by some of our partners working on this project that they really missed it, and they asked me: “When’s the next one?” (laughs) For me, this speaks well of the whole process.
**Li San:** There were so many changes and risks; at many junctures, we could have totally messed up but I think it was the people who kept everything together, given the speed we did this.
**Seow Hiang:** We hosted many guests, and as usual, ended the tour with the Heritage Zone, where we played the *Peranakan Love Story*. I would turn and look at their faces, which told me they understood the labour of love.
INSPIRING INNOVATION
The Changi Airport story is an intimate one for Mr Liew Mun Leong. It began in the 1970s, when as a young engineer with the Public Works Department (PWD), Changi was his university site – a life-long journey of growth. It was where he learnt the ropes and honed his professional skills. The emotional imprint was cast then, leading to his decades-long commitment to Changi.
Mr Liew has come full circle, from an engineer who built the first runway to becoming CAG’s Chairman. He has witnessed the raising of Changi’s iconic control tower and contributed to its growth as an admired global air hub.
Today’s Changi is grander and more passenger-friendly than when he laid eyes on its first completed terminal in 1981. Changi has changed, but much of the spirit behind it remains the same as it was when Singapore rallied to move its airport out of Paya Lebar.
Change is not the only Changi constant
“No one believed the PWD could do it,” recalls the engineer of the general scepticism that the new Changi Airport could be delivered on time. “But our mindset was one of passion and commitment – we just had to do it.”
Parallels to the T4 project – with its tight timeline and numerous other constraints – are easily drawn. And the similarities do not stop at the drive behind the project. Mr Liew recalls how the various government bodies rallied behind the national project, and the Changi spirit of innovation that shone through then still rings true today. “Innovation need not be in technology per se, but there needs to be innovation in thinking: What is the best way to get things done?” he points out.
“There were times when I had to break out of the norms to get the job done. For example, our workers were marooned in a sea of earth on the T1 worksite, and we needed an hour just to ferry people in and out – we couldn’t afford a Land Rover or minibus.”
Mr Liew’s solution, which was to include a vehicle in the contractual requirements of the vendor, was unusual then but is today a common practice. And he brims with pride at the similar innovative approaches the T4 project took at various stages, such as the D&C method to build the terminal – one that saw plans changing fluidly, even as the building rose from the ground.
“As we got to know the project, we were very impressed. There was really some outside-the-box thinking,” says Mr Liew. “Even back in the 1970s and 1980s, there was the same thought of innovation, guided by the principle of pleasing passengers, of integrity.”
Right from the top
Changi’s secret could well be the consistency in the deep commitment of its leadership.
“I think Sim Kee Boon’s approach to managing the initial project (T1) was key to the framework of Changi,” Mr Liew says of the former CAAS Chairman who never stopped displaying a deep commitment and whose consultative approach to management inspires employees to take ownership of their work.
CAG staff and consultants kept Mr Liew and the Executive Committee of Airport Development members updated on the progress of T4, even on details of the selection of carpets.
“Even up to the last few weeks before he passed away, he visited T3 in 2007, when it was still under construction. That was the kind of commitment he had. Getting the right technical people is one thing, but getting the right leaders is key.”
Mr Liew has adopted a similar approach to his own leadership style. A roll-up-your-sleeves type of chairman, he is more than willing to get his hands dirty rather than serve as a rubber-stamper in his role as Chairman of CAG’s Executive Committee of Airport Development (ECAD).
ECAD comprises some of CAG’s board of directors and external members with deep knowledge of construction and infrastructure, and counts among its responsibilities the oversight of major development projects at Changi, its selection of consultants and the approval of collaborations.
It draws on the experience of several CAG and government veterans who have worked with Mr Liew over the years – some were engineers who signed up when the ink on their degree scrolls was “still wet”. It is a source of pride for Mr Liew, who believes this “unique gelling of people”, who have embraced that deep sense of commitment now synonymous with Changi, will propel the organisation to greater heights.
**Changi’s unsung hero**
Learning from his predecessors’ years of mastery is something that Mr Liew takes seriously. He recalls the mentorship of the late Mr Somkiat Lertpanyavit who had dedicated 43 years of his life to Changi, right up to his passing in November 2015.
Mr Somkiat was recruited by the Singapore government in the 1970s, at a time when the Republic was critically short of engineers, to accelerate its national development. A master planner and designer, he was heavily involved in the development and history of Changi Airport.
“He taught me things I did not know. And his commitment was inspirational,” says Mr Liew of Mr Somkiat, with whom he shared an office in 1974.
Mr Liew credits Mr Somkiat as the man who single-handedly planned and designed the airfield layout of two runways when the decision was made to move the Singapore airport project from Paya Lebar to Changi.
“No one then – and now – would know anything more than him on the Changi Airport master plans,” says Mr Liew. “Airport planners and experts from all over the world would not argue with him when he took a view on some matters of importance.”
Even when Mr Somkiat had declared his intention to retire in 2011, Mr Liew managed to convince him to help with the planning for Changi East (development of T5 and other infrastructure).
“He told me that Changi was his life’s passion and he would love to work on that final phase of expansion. It is this kind of leadership and spirit, when added to the unity and the innovativeness of Changi, that will take the airport into the future,” says Mr Liew, who hopes Changi continues to extol such virtue.
“I don’t believe in dreams, those are hallucinations. I believe in aspirations and actions, and my aspiration for Changi is that it continues to grow as an air hub.”
The future of transportation is here, and it’s electric.
Chapter 2
A BOLD MOVE
It was going to be different, that much was clear.
On a plot hemmed in by roads and other facilities, the T4 project was set on a race against the clock to meet rapidly growing demands of Changi Airport. T4 had to break new ground.
“We knew this was not business as usual and we couldn’t take the normal approach,” says Seow Hiang. “T4 had to change how we deal with risks and we had to be smarter.”
The project presented a unique opportunity to innovate and test new approaches and technologies ahead of the construction of Changi’s new T5.
EMBRACING CHANGE
It is both the welcome banner for homeward bound Singaporeans and the proverbial red carpet rolled out for international passengers. The *Changi Experience*, simply put, is quality service with the passenger at the heart of it all, and it is driven by improvement and creativity.
The concept of change was at the core of Changi when it came into existence as Singapore moved its airport from Paya Lebar to its present location. The same ethos was applied to all of Changi’s terminals, but T4 would test Changi a little more. Calculated risks were taken from the get-go. A core group, made up of a mix of old hands and an in-house project management team with little background in building a terminal, was put in charge of pushing the envelope.
“We didn’t have any experience, but we just hit the ground running. We had only bits and pieces of an idea about what T4 would look like when we first started – it wasn’t clear in the beginning,” says Li San.
“It was a process of morphing, of fine-tuning, and it was initially difficult to bring everyone together, but there was a sense of trust from the management. We felt empowered and this propelled us to press on and put out the best possible product.”
The management’s faith boosted the team’s confidence to make the best and most practical decisions for T4, without fear they would not pass muster with their superiors. Empowered, they were able to decide if their choices of design, materials and products met rigorous standards. They teamed up with architects and designers with similarly little experience because Changi wanted them to step outside the box to build a truly unique terminal.
In building T4, the objective for Li San’s team was not only to build on the success of Changi Airport, but also to make it an even better product.
Data showed that Changi was fast reaching its maximum capacity and if it did not expand in time, the *Changi Experience* would be hurt.
The T4 project, then, was a great opportunity for Changi.
Advancements in technology presented the possibility of redefining the airport experience, and it came with manpower savings. This could benefit the massive T5 on the horizon, but implementing new technology required that the Immigration & Checkpoints Authority of Singapore (ICA) and other government agencies came on board as well.
It was a step onto the path less trodden, and T4 required boldness from everyone at Changi: its leaders, employees, even partners and stakeholders at the airport. But the Changi spirit of innovation, set in motion all those years ago when it first came into being, has clearly taken root.
It was also the only chance to test new ideas that eventually could be employed for T5, an opportunity the team was well aware would not come their way again. It was in this frame of mind they embarked on innovative, bold concepts for T4.
Emboldened, and with partners in tow, Changi threw caution to the wind and braved into unchartered territory, to aspire and build a terminal like no other.
INK ON PAPER, BUT ART NONETHELESS
His eyes widened as a finger was raised into the air, for added gravity. But Fong Kok Wai did not need either of those actions, his words had already made the point, and emphatically so.
“We drew up 70 plans for T4 before we came up with the final version of the terminal you see today,” says the Executive Vice President of CAG’s Engineering & Development Group (EDG).
“We went above ground, underground, across the road, and even tried to dig up the road and the flyover. Some said we should put the terminal where the reservoir is now, but we couldn’t do that because of the timing in which the project needed to be completed.”
Hemmed in by a road, the Tanah Merah Country Club, an in-flight catering centre and existing aircraft parking spaces, the plot allotted for the T4 project was a geographical challenge for planners.
But those were not the only constraints Kok Wai and team had to contend with.
Height limits were imposed on the T4 structure because air traffic controllers from Changi Tower needed a direct line of sight to Runway 2 over T4. And with T4 needing to be operational by 2017, there was no time to dig deep into the ground to create a basement for the terminal. There was also the need to implement new technologies, such as self-service
Planners spared no efforts in learning from existing methods at similar terminals across the world. From Munich to Hong Kong, they travelled to go through the travel experience for themselves.
And despite the various constraints, they even managed to leave a corridor of land for T4’s connectivity to T2 that could be upgraded in the future.
T4 is now connected to other terminals via buses. During the planning stage, a cable-car system and self-driving vehicles were considered but these ideas were impractical or not sufficiently mature to implement at the time. The reserved corridor means that a more convenient under-and-above ground light rail connection could be added on, if necessary, in future.
“In an airport, although you can plan many years ahead, things are highly dynamic. You need flexibility; you need to be able to respond to changing needs,” says Ming Sue.
“T4 is our response to enabling Changi to grow, while T5 and the entire Changi East airport site will take some time to develop. T4 is our baby. We’ve seen it grow from an idea to another hallmark terminal that Changi and Singaporeans can be proud of.”
Space was a premium in building a terminal that had to be big in stature compared to what the best airports had to offer.
The goal is for T4 to be a step into the future.
check-in, bag drop and even immigration clearance, as a test bed for Changi’s massive T5.
And these needed to be infused with the *Changi Experience* – this was no budget terminal.
The vision was a five-star terminal worthy of the Changi brand, but put together at a three-star cost.
“Generating 70 versions of blueprints is a lot more than what other airports would do. But this was because we wanted to optimise use of the challenging site,” says Koh Ming Sue, Managing Director of Master Planning & Development, EDG. “We needed to fulfil the requirements of many agencies, keep within the height limit, and still make it convenient for passengers, visitors, staff and ground transport service providers going in and out of the terminal. We had to maximise the potential traffic throughput despite the land constraint – and this was the late Somkiat’s masterpiece.”
1. The construction site of the new terminal building at Changi Airport, Singapore.
2. A closer view of the construction site with cranes and workers.
3. A group of people in hard hats and safety vests walking through the construction site.
The T4 project saw a unique concept coupled with unusual requirements and a myriad of constraints, but it stood out in more ways than one – it inspired a sense of ownership from everyone involved.
This was especially so in the group of experienced Changi heads working alongside team members who were uninitiated in the art and science of creating a new terminal. But even among the old guard, the D&C method – an approach that saw construction work go on concurrently, as detailed design for the structure was fine-tuned – was unfamiliar.
“We took a big risk,” says Li San, referring to some of her team members’ level of experience as well as the limited airport expertise that external architects and designers brought to the table. “It probably took up to two years for things to come together.”
Benoy, an architecture and design firm with no experience in the creation of an airport but with a rich history in mall design, was hired for its refreshingly vibrant take on T4’s interior.
Functional requirements were set in stone, with Changi having already drawn up immutable specifications for security and technical aspects of the facility, but the brief was simple – create a terminal that would stand head and shoulders above others.
1. 2. Despite the space constraint, CAG pressed on to build a terminal that would be the pride of Changi.
3. 4. As work went full-speed ahead, CAG invited its airport partners to tour the site where they were given an update on construction.
5. The Ramp Tower is a key infrastructure that gives air traffic controllers from Changi Tower a direct line of sight over T4 to Runway 2.
The team at Benoy recognised the task ahead, and embraced the challenge.
“We asked ourselves, what aspects of Benoy’s award-winning retail projects make them stand out?” says Benoy’s Director Neil Kee. “With this, we have been able to evolve design concepts and seamlessly introduce them to T4 to create a passenger-focused experience that moves the passenger experience towards a guest experience.”
The idea of a boutique terminal centred on the passenger experience was at the heart of it all. And with cost constraints a factor, “smart premium” fittings became key: manufacture magic, but at prudent cost.
“This approach did come with a certain level of opposition but that is completely normal,” adds Neil. “Terminal design is very much an aviation operations-driven process. So, when we suggested design directions moving away from the norm, we expected to be challenged. But I found this challenge to be healthy as it allowed Benoy and CAG to merge our experiences and create a terminal like no other.”
Changi’s radical approach to its new terminal was seriously tested, but the team were emboldened by the trust vested in them.
Benoy’s Managing Director of Global Design, Simon Bee, asserts that the T4 experience will remain a positive memory. “Our inaugural foray into the world of aviation has proven to be such a fulfilling experience and given us all a unique and different outcome. It will be a pleasure to see this building as we fly in and out of Singapore.”
2. 3. 4.
While construction was under way, consultants were able to brief CAG’s senior management on how the T4 finished product would look like at a mock-up of the new terminal that was built off-site.
Main contractor Takenaka Corporation’s suggestion to build columns, then a roof before installing intermediate floors – a hat-first method – promised to make the idea work. Because the baggage handling area was located in the middle of the facility, T4 was built roof-first, with construction progressing outwards, from the centre.
“We were wowed by Takenaka’s presentation, it was something we never thought about: You don’t even start doing anything at the bottom, you just go columns up and then you build a hat,” recalls Stuart Ralls, Assistant General Manager of the T4 Projects Team.
“Rightfully, we’d always get the centre of the facility handed back to us last, but this was an innovation they introduced. Wow!”
The T4 spirit of innovation, while taking calculated risks, rang true.
The D&C approach met the tight timeline and the need for a fluid platform on which ideas could flourish. This allowed construction work to go on concurrently while detailed design for the structure was fine-tuned. It was taken with an eye on speed to meet T4’s completion deadline. The timeline and the project’s several stakeholders – all with different requirements – were, according to Takenaka’s Project Manager Leslie Teng, one of the construction firm’s biggest challenges in the project.
“With many stakeholders involved, it wasn’t easy, but we had to take it in our stride in terms of timeline and progress. It wasn’t easy but certainly not impossible,” says Leslie, who took pride in the innovative construction approaches that Takenaka conceived.
Cindy agrees, pointing to the example of raising the pedestrian link bridge over the Airport Boulevard, Changi’s main roadway.
“We couldn’t interrupt ‘live’ airport operations and had to coordinate the diversions of all incoming and outgoing traffic onto one carriageway, so that we could raise the structure. This was done within a time-frame of four hours each night, over eight nights,” she recalls.
“This needed clockwork precision, including moving cranes in and out.”
The coordination challenge also fell on the shoulders of SAA Group Architects (SAA). “We had to hit the ground sprinting, and it was a four-year sprint,” says SAA’s Executive Director Toh Kok Kin.
SAA’s role was to safeguard CAG’s design intent and manage technical considerations for construction, and that was no easy task. Even the seemingly uncomplicated departure drop-off canopy – passengers’ first touch point at T4 – proved challenging, as implementing the design could be achieved only by substantially increasing the structural elements.
“This design was a bespoke lightweight steel-and-glass canopy which serves as a departure drop-off showpiece,” he adds, drawing pride from the finished product that stayed true to its original intent, with the problem solved through collaboration.
The end product brought much pride to all, including Takenaka’s Project Manager Yamamoto Hiroyuki.
“It was a mega project, very complicated and quite exciting,” he says, smiling. “There were various issues that we didn’t always know how to solve, but we did. We can’t help but smile when we look at the terminal now.”
GLIDE: CRUISING FROM KERBSIDE TO AIRCRAFT
Nobody likes to be in a queue, whether for dinner at restaurants or to gain entry into clubs, events, cinemas and, yes, airport check-ins.
Minimising queues to usher passengers past check-ins and immigration is what T4 offers. Its new end-to-end Fast And
Seamless Travel (FAST) system allows passengers to virtually glide from kerbside to the aircraft.
Every passenger’s face is the token that gets them through checkpoints. Its facial recognition technology is used at key departure touch points – bag drop, immigration and boarding.
“We are not the first to the FAST party, but we want to be the best! And here’s the game changer: our facial recognition technology is implemented from end to end. The security checks are now all automated,” explains Chua Ching Hock, Senior Manager, T4 Operational Readiness Airport Transfer (ORAT) Team.
Simply put, once a passenger’s passport is scanned at the check-in kiosk, his face will be the one common denominator at all other touch points until he boards the aircraft – without compromising security.
“Conventionally, automated gates at immigration are fully managed by the immigration authorities,” says Goh Qian Yi, then Manager, T4 ORAT Team. “To simplify the passenger process flow through departure access and border controls, we combined both checks into the new Automated Immigration Gates, and removed the need for manual security checks in this area. This was a big change for us.”
Implementation did not come easy because Changi had set lofty aspirations for T4. The nation’s security is at stake here, and these features could be implemented only with the authorities’ backing of the airport’s drive towards innovation, which is premised upon the assurance of an equivalent, if not superior, security outcome.
But its staff had to hunker down with immigration authorities, from designing the gates, working out how Changi’s systems interact with those of ICA’s, procuring equipment, and testing the final product to iron out kinks.
They also built mock-ups and prototypes of various equipment and process flows in the T2 transit FAST lab to give ICA the assurance that the new system would not compromise security.
“We knew, as difficult as it was, it was just persistent engagement and explaining to the authorities the whys behind our moves, while understanding their core concerns,” recalls Seow Hiang.
“It was about running with them, being creative in addressing their concerns, without compromising the aspiration we had.”
As a result of this partnership, a T4 passenger needs to come face-to-face with service staff only at the Centralised Security Screening. And even there, the process has been improved.
But not every passenger will glide through T4 with the same ease. Ching Hock and Qian Yi witnessed some exceptions. There were passengers who scanned wrong documents at wrong input points, and persisted despite the machines instructing them otherwise. On the other hand, some new features were unexpectedly well-received and intuitive to passengers. For instance, passengers kept still and positioned their faces within the frame when their image appeared on the screen.
But Ching Hock believes this is just part of the process. “We always knew there would be a learning curve at the start. It takes time for passengers and even staff to learn,” he says.
“Almost every major airport hub is moving towards self-service – it is the way to go.”
FROM KERBSIDE TO GATE WITH FAST
For the first time at Changi, a suite of FAST initiatives with facial recognition technology has been rolled out to make travelling swift and fuss-free. T4 is the first terminal in Changi Airport to embrace self-service options from the start to the end of a passenger’s departure journey.
CHECK-IN
At the Automated Check-in Kiosk, the passenger scans his passport or enters the booking reference, and receives the boarding pass and luggage tag. He then tags his check-in luggage.
BAG DROP
The passenger places his luggage on the Automated Bag Drop machine, where his bag is weighed and its dimensions assessed. He then scans his boarding pass and passport. A camera captures his photo and compares that against his passport photo using facial recognition technology. Once his identity is verified, his bag is accepted into the baggage handling system.
MORE TIME FOR FUN
At T4, passengers get a “straight-to-gate from kerbside” experience as they sail through check-in, bag drop, immigration, security screening, and boarding gate clearance by using FAST. Not only do they save time on queueing, passengers can also check in without waiting for check-in counters to open.
Putting your best face forward
Facial recognition eliminates the need for manual identity verification by staff. It enables the full automation of processing and checks from departure check-in to boarding.
Ready to serve you
Self-service and automated features take over mundane check-in duties, freeing up passenger service agents so they can help passengers with more specific needs. There is one member of the staff to every four bag drop counters, which also reduces the demand on manpower.
IMMIGRATION
At departure immigration, he scans his passport at the Automated Immigration Gate, which uses both facial recognition and fingerprint verification technology. His boarding pass is also scanned for validation.
Security screening
The passenger places his bag on a tray that goes through the new 3D CT X-ray machine. An automated system speeds up tray return and reduces waiting time. The passenger then walks through a metal detector or steps into the whole body scanner for final screening.
Rest & relax
Once the passenger is screened, he enters the transit area where he has time to shop, dine or relax before his flight.
ALL ABOARD
Once the flight is ready for boarding, the passenger goes to the Automated Boarding Gate where he scans his boarding pass and has his photo taken. The photo is verified against the photo taken earlier at immigration for a final identity check.
Nothing escapes it
T4 uses high-definition, 3D CT X-ray machines to scan hand-carry baggage. This means there is no longer a need to remove electronic gadgets to be scanned separately — making security clearance a breeze.
ARRIVAL
Never the twain shall meet
There are no gatehold rooms that corral passengers up to an hour before their flight. This gives them freedom to shop or dine before boarding. To ensure security, arriving passengers are separated from departing passengers to maintain a sterile zone.
THE T4 MAGIC AND SEPIA TINTS
It has never been seen at any of Changi’s terminals, but T4 was conceived with the spirit of breaking away from the norm.
“It is not something you would normally want to do in an airport,” says Lim Peck Hoon, CAG’s Executive Vice President, Commercial, of having a walkthrough duty-free zone right after departure immigration and security areas, a concept that allows passengers to walk through duty-free shops before they head to the boarding gates.
But in the spirit of change, T4 pressed on with this idea.
“With an eye on T5, we began to consider the concept of an integrated duty-free zone. We felt maybe there was a new combination that could present passengers with the excitement and value of our commercial offerings without feeling like it was foisted on them,” says Peck Hoon.
The T4 magic is a marriage of careful space management and a seamless shopping experience in the single integrated duty-free zone. And to the CAG team, comfort is of utmost importance, where passengers would not feel like shops were closing in on them from both sides. The solution was a walkway generous enough to fit about five trolleys abreast.
“We were quite conscious about this,” says Peck Hoon.
“The walkthrough had to have a path wide enough for passengers to comfortably walk on. Since there are no barriers, they can also see all the retail offers lined up, as they walk past them. This, we hope, will compel passengers to enter and explore since it is so convenient.”
Another new idea was to take the barrier-free shopping concept a step further by doing away with the separation between wines and spirits, and perfumes and cosmetics – an ambitious endeavour given that the two categories are operated by different tenants. To accomplish this, the team
had to first secure commitment from both retail operators to work with CAG to integrate their shop designs and operations, and cross-train their shop staff.
“The aim is to deliver a seamless experience for T4 passengers, making it easier for them to browse and shop,” says Peck Hoon. “Although we have two operators, we got them to work together so that passengers can approach any staff from the two retail operators, as though they are in a single outlet and be served equally well.”
The seamless experience is not the only shopping advantage at T4, which underscored the CAG team’s efforts to shake off the “budget” perception of its predecessor.
A grand promenade, lined with retailers featuring impressive double-volume shopfronts, feature popular and established brands such as Charles & Keith, Coach, Furla, Gassan Watches, Michael Kors, The Cocoa Trees and TWG Tea.
“For the first time, we are trying out a cluster of double-volume façade shops,” explains Peck Hoon. “For T4, we asked the retail operators to dress up the 11-metre-high façade. The shops are on the lower floors, but we wanted them to have a grand facade so that passengers get a visual treat of the brands. This was a challenge for the retail operators as many had not done such designs before, but they put their hearts and souls into the effort. They now have shops that befit the grandeur of the place.”
While taking bold steps into the future, the CAG team also wanted room for nostalgia and a sense of place. Peranakan shophouse facades take centre stage near the end of T4, with established local brands such as Bee Cheng Hiang, Bengawan Solo, Curry Times, Eu Yan Sang and Heavenly Wang embodying the theme wholeheartedly in their store designs.
For example, traditional Chinese medicine retailer Eu Yan Sang has done up its T4 outlet in the style of an old medicine hall that invokes the feeling of walking into an old sepia-tinted photograph.
“We have quite a good mix of local shops and restaurants at this zone, and from the look and feel of Eu Yan Sang’s store and staff, the aim was to invoke nostalgia,” says Peck Hoon. “We have other classics like Bee Cheng Hiang and Bengawan Solo, but it is about putting these brands together and allowing them to experience it first-hand in the entire shophouse zone.
“T4 is vibrant and immersive,” she adds. “It’s a concept that encourages people to flow into the whole zone, not just retail. You get to enjoy art, landscaping and food, and you are surrounded by all things enjoyable.”
2. Lim Pek Hoon, CAG’s EVP, Commercial (right), and Lee Seow Hiang, CAG’s CEO (centre), checking out the double-volume shopfront.
3. Heritage is also prized at T4 and Eu Yan Sang is among some of Singapore’s most familiar household names that take the spotlight at the terminal.
Terminal 4
Chapter 3
A THEATRE OF EXPERIENCE
Changi broke away from the norm in conceptualising and building T4, but in all efforts, there was one immutable point: at the heart of it was the passenger.
Every design detail of T4 is made to delight: ergonomically designed kerbsides and baggage-drop carousels mean minimal effort is needed to lift heavy luggage at any touch point. Passengers can breeze through the terminal. Check-in islands are all angled towards the centralised immigration and security screening area that flows into T4’s integrated duty-free zone, with the departure gates beyond it.
Above all, T4 evokes emotion.
All six of them are suspended overhead, in a mesmerising dance to music. *Petalclouds*, T4’s signature kinetic art piece, spans over 200 metres across the Central Galleria, and their dance is hypnotic. Li San describes it as heavenly.
It is impossible to miss *Petalclouds* or the massive, sun-lit, tree-lined space in which they hang. Regardless of the thoughts and emotions evoked, T4’s massive space separating public and transit areas is bound to impress.
“*Petalclouds* is my favourite thing in T4, because they are so graceful and yet so complex,” says Li San. She vividly remembers how much Changi puts into what is, at the time of writing, the biggest kinetic sculpture in the world.
Recounting her multiple trips to Germany to oversee the design and construction of *Petalclouds*, Li San spoke of the minus 10 degrees Celsius cold of one trip, and how progress almost came to a stop.
*Petalclouds* was a mere two micrometres – a human hair is 80 micrometres thick – away from being turned into clunky sledgehammers hanging ominously overhead.
“We were going to ship all the parts from Germany to Singapore, when we realised through endurance tests that winches hoisting the petal elements in the structure were built two micrometres off. So we had to re-machine the parts, put them together and run tests all over again,” she recalls. “*Petalclouds* hang high above without safety nets, so we put in extra conscious effort to ensure the system is robust and fault-free. Looking at the completed installation now, they are mesmerising and absolutely worth all the effort.”
The hope is that *Petalclouds* will tug at passengers’ heartstrings, but they are not everything the Central Galleria has to offer.
T4 spared no effort to wow passengers and *Petalclouds*, a grand-scale kinetic sculpture that combines art and technology, is just one of them.
The Central Galleria evokes a sense of grandeur, standing alongside the tallest trees in the terminal. It can even be enjoyed from the Departure Hall, by looking across into the transit area. Plush chairs in the transit area provide a quiet vantage point from which eyes can swim through the rays of sunlight that bathe the Central Galleria, and waltz with *Petalclouds*.
“You can check in, clear your passport, go into the transit area, that’s where goodbyes are bade. But now – because of the Central Galleria – you can walk the entire way in, sip coffee and still see your family on the other side,” says Cindy.
Words cannot do justice to the ballerina’s grace of T4’s *Petalclouds*. When they are blended with sunlight, trees and a sense of grandeur to create glowing smiles on familiar faces, Changi knew it was a formula that could not go wrong.
“The key element of this was how all key spaces made the Central Galleria feel like one space,” says Stuart. “It resonated with our aim of creating a terminal with passenger experience at the heart of it all.”
A family of three using a self-service check-in kiosk at Changi Airport.
GLIDING RIGHT THROUGH
It is named FAST, and aptly so. The suite of self-service options installed at T4 is designed to eradicate queues, with passengers checking themselves in and even tagging their own luggage before sending it on its way.
It sounds simple: Head to one of several Automated Check-in Kiosks, scan passport and print boarding pass as well as bag tags. Then pop over to the Automated Bag Drop, scan boarding pass and passport while the machine captures an image of your face for your token of travel. Stick on bag tags, load them onto the bag drop machine, and you are all set.
T4 provides the full Changi Experience, with trained staff on hand – wearing the warm Changi smile, of course – to assist.
But the passenger experience of the sheer speed – and convenience – of FAST does not stop there.
You scan your passport at the Automated Immigration Gate at T4’s centralised departure immigration. A dual facial and thumbprint recognition confirms your identity, and you skip right through.
The magic of FAST kicks in one last time – once the flight is ready for boarding. When you scan your boarding pass at the Automated Boarding Gate, your identity is again cross-checked against your photo as token of travel.
FAST promises speed, flexibility and convenience, without losing any of the Changi magic.
A large group of visitors had gathered at the Central Security Screening area in T4. Their heads were raised, admiring the stone carvings overhead. Jayson Goh, CAG’s Managing Director, Airport Operations Management, stood a little to the side, observing their faces. This was to be the punchline – the prestige of a magic act – and Jayson wanted to catch his audience’s expressions as it happened.
Suddenly, the massive stone carvings came “alive” and a butterfly flapped its wings and took flight to reveal the wall to be a giant LED screen.
Standing in the centre was Singapore’s Prime Minister Lee Hsien Loong. “PM Lee was positively surprised and smiled when he saw it, and I remember him saying, ‘Ah, what have you guys done here?’”, recounts Jayson.
“We had a lot of fun conceiving some of the things you see in T4, and I love seeing the smiles of people when they look at the immersive screen, especially the scene with the butterfly.”
Soon, the stone carvings transitioned into shimmering copper petals, followed by scenes of Singapore and a whimsical
animated clip depicting little robots working in the baggage system of an airport.
But there was nothing whimsical about the thinking behind this magical experience – the creativity and positive wow factors are critical elements of the *Changi Experience*.
“We want to give them a stress-free environment with this Immersive Wall, so they forget they are going through security, but without compromising security.”
Fifty minutes of high definition content, commissioned to fit the 70-metre-wide Immersive Wall, entertains passengers who are passing through.
It is not all about speed at Changi’s newest terminal. Entertaining passengers is a key part of the journey.
1. **Passenger Screening**
- **X-ray Scanning**
- All checked baggage and carry-on items are screened using X-ray technology to detect prohibited items.
2. **Security Checkpoint**
- **Baggage Check-In**
- Passengers check in their bags at designated counters, ensuring all items meet airline requirements.
3. **Boarding**
- **Boarding Pass**
- Passengers present their boarding pass and ID at the gate for verification before boarding.
4. **In-Flight Security**
- **No Food or Drink**
- During takeoff and landing, passengers must refrain from eating or drinking to ensure safety.
5. **Arrival**
- **Customs Clearance**
- Upon arrival, passengers may need to go through customs to declare any prohibited items or goods.
6. **Baggage Claim**
- **Claiming Luggage**
- Passengers collect their checked luggage after passing through customs, if applicable.
SEAMLESS SECURITY
T4 is Changi’s first foray into the next generation of Centralised Security Screening system focusing on using better security technology and processes to enhance security and passenger experience. T4 is Changi’s first security checkpoint that deploys 100 per cent computed tomography-based X-ray screening machines at all security lanes to scan carry-on luggage. The ability to have a 3D bag image with auto-threat detection capabilities greatly enhances the security performance of the screening staff. With such capability, it also eliminates the need for passengers to remove laptops and other electronic items from their bags. This improves checkpoint efficiency and passenger experience.
An automatic tray-return system with parallel divestment stations has also been installed, with two clear advantages. The system no longer requires security staff to manually return trays, freeing them up to pay closer attention to passengers. It also allows two passengers to present their belongings for screening simultaneously, speeding up the entire process.
Taking mere seconds to do its work, T4’s non-invasive body scanners can detect both metallic and non-metallic objects, right down to pin-pointing exactly where the item is on the body.
“This means staff only need to conduct targeted search in the event of any security alarm. It enables them to pay more attention to the behaviour of passengers during the screening process, making this a safer and more efficient process. Furthermore, we have trained our staff to provide assistance to passengers, who are new to this screening process, to enhance their checkpoint experience,” says Alan Tan, CAG’s Vice President of Aviation Security.
Alan points to the use of facial recognition in T4’s FAST system as complementary to the other technological improvements at T4’s Centralised Security Screening area. All Singaporeans above the age of six, as well as other nationalities who have pre-enrolled, can use the automated immigration system. T4 has also deployed an array of technologies as part of its security-by-design process to improve the safety and security of the terminal.
With an automatic tray-return system, security staff no longer need to manually return trays to the front and this frees them up to pay closer attention to passengers.
Two women are looking at makeup products in a store.
SHOP AND SAUNTER TO YOUR SEAT
T4 has put a Changi spin on the old cliché “it is about the journey, not the destination”. The magic intensifies as a passenger goes through immigration and turns the corner into the transit area.
The terminal’s integrated duty-free zone features two separate retailers for wines and spirits, and perfumes and cosmetics, both flanking a walkway leading to the boarding gates. What stands out is the generosity of space, which allows passengers to shop and stroll in comfort.
The idea is to give them an airport retail experience that wows and is unique to Changi. It was a vision that Chandra Mahtani, CAG’s Vice President, Airside Planning and Leasing, and her team had to execute and they raised the bar in experiential retail.
The energetic integrated duty-free zone features retail-tainment hotspots, such as an interactive Cocktail Bar for passengers to taste a range of concoctions for free. The Whiskey House is another, with a wide assortment of whiskeys from all over the world. Capitalising on a small but growing trend in craft beer and spirits are even featured in a space of its own.
1, 2, 3
A F&B and retail experience unlike any other airport greets passengers the moment they arrive at T4.
“With the cocktails, the tenant works with various brands to offer different concoctions every two months for passengers to sample,” says Chandra. “Passengers can even make their own cocktails with the bartender, if they want to. If they prefer whiskey, there’s a good range for them to taste before they decide what to buy. For craft beer, it is the first time we are offering this at Changi.”
Coming up with “firsts” is what her team strove for. And central to the seamless experience at the integrated duty-free zone is an integrated point-of-sales system that allows passengers to pick items from wines and spirits to perfumes and cosmetics, and pay at any cashier even though they are operated by different retailers. This was a remarkable feat, and established a new operational concept for walkthrough stores in airports.
“What we have at T4, with two different operators working together, is unique in the world,” Chandra emphasises. “Usually, at Changi, passengers have to pay for wines and spirits at one outlet, and perfumes and cosmetics at another.”
Beyond the integrated point-of-sales system, the two operators at T4 continue to work together to ensure their staff are well-versed with all products promoted across the walkthrough for the all-under-one-roof shopping.
After leaving the duty-free zone, the passenger’s journey takes an exciting turn with more shops that dazzle. With an 11-metre floor-to-ceiling space to work with, the creative juices flowed in Chandra’s team. The result is a cluster of six spectacular, double-volume façade shops.
COACH
NEW YORK
COACH
MICHAEL KORS
A couple enjoying a cup of coffee in a luxurious setting.
“The high ceilings gave us plenty of room to dream up wild concepts, which we couldn’t do for the other terminals as the shops there had a maximum height of only 2.9 metres,” says Chandra. “Within the double-volume façade shops in T4, tenants had between six and 10 metres to play around with.”
TWG Tea developed a stunning store, with about 2,000 of its trademark yellow tea tins covering an entire wall from floor to ceiling. The shop has since become an Instagram hit with passengers. Also, in a first for the brand, the T4 store offers tea tasting to engage passengers.
Two home-grown shops stand out.
The Cocoa Trees worked with various confectionery brands to create exclusive fixtures, in line with a carnival theme, complete with interactive elements at their shop. For example, Mondelez made a castle, Hershey’s had a game booth and dispenser machine, while M&M’s crafted a Ferris wheel. The entire store is immersive and vibrant, chock-full of delightful experiences for passengers.
“We worked with these brands and operators to punch higher than what we had ever done. Everyone upped their game, and T4 has broken boundaries,” says Chandra.
In another bold move, CAG took a different spin on the concept of double-volume façade shops: The star is the Heritage Zone where three-storey shophouses, rich in Peranakan overtones, take passengers on a nostalgic ride into 1960s Singapore.
“We wanted to bring back that old-world feel to distinguish us from other airports,” explains Chandra. “We visited Katong and Chinatown, and even went all the way to Penang, to see first-hand how the old shophouses look like.”
Armed with ideas for every aspect of the design, from floor tiles to shutters, Chandra’s team shared CAG’s vision for this zone with tenants who would be a part of this anchor space.
“We worked with the retail operators to recreate the old shophouses. These collaborations and the synergy we had helped us present unique stores that tell stories of what they were like in Singapore decades ago.”
The final T4 product is a package of concepts that has turned it into an immersive, interactive airport terminal that is in a class of its own.
“We have seen how passengers feel and behave when they walk into airport terminals. Some are anxious about the time, get in early and just wait at the gatehold rooms. But T4 is different, it takes passengers on an immersive and emotive journey that has set a new standard for airports.”
Just a few steps from the walkway, you are taken from T4 into a fantasy world – it does not take much suspension of belief.
*Steel in Bloom* is T4’s signature garden, and its mesmerising lights create a gateway, seemingly into another universe. The garden’s six-metre steel centrepiece of botanical motifs envelops you, and with its lights morphing from one point on the visible spectrum to another, an other-worldly effect is created.
You walk above water, with koi swimming under your feet and giant terrariums set a futuristic scene where nature and technology are seamlessly intertwined. The final steel-and-green sculpture includes a complex misting network to support the growth of plants on its surface, which only adds to the ethereal nature of the garden.
You may well be seduced by the bright blooms that surround, and the wispy airplants dangling off colour-changing steel, and not want to leave at all.
At the end of T4’s Departure Hall, hues of pink and blue appear, bright lights pop, and evocative strains of violin and vocals greet passengers. But be warned, this is merely a hint of the elaborate setup that Changi has created for the senses.
This is the terminal’s iconic Heritage Zone located before the boarding gates – a space designed to give passengers a final taste of the Lion City.
There are façades of nine archetypal shophouses of Singapore, chronologically depicting the architectural evolution of an integral facet of Singapore culture. Established local stores selling traditional food, drinks and medicines occupy the first level of the shophouses – a sharp contrast to the slick, modern retail stores in the front end of the terminal. The shophouses are designed to evoke a sense of nostalgia, and to play up Singapore’s colourful traditions.
Even as passengers rest on the assortment of modern novelty chairs in front of the shophouses, their eyes are drawn to Eu Yan Sang’s shop designed like a traditional Chinese medicine
hall that transports them to old Singapore. Nearby, a cook is stretching and slapping a ball of dough into *roti prata*, a local Indian fried flatbread, before frying it on a sizzling grill. The mixed aroma of barbecued meats and traditional cakes wafts over in a heady blend of a sweet-savoury Singapore send-off that Changi has put together for passengers.
It is a nostalgic scene that would not have been possible without the stores’ commitment to the zone’s heritage theme. “From the design to the way retailers executed things with the look and feel of the whole zone, even down to their staff, the aim was to bring back nostalgia,” says Peck Hoon.
**A love story for the ages**
There are more surprises at the Heritage Zone. If anyone lingers here for long enough – and many will – two of the nine shophouses’ façades reveal themselves as a 10-metre-wide digital screen where a musical love story unfolds.
This six-minute mini-musical – *Peranakan Love Story* – gives passengers a taste of the history and culture of Singapore-born descendants of Chinese immigrants and local Malays.
“It is really a one-of-a-kind opportunity for us to present the Peranakan culture and colour to the world. I must say I am very grateful that Dick Lee was willing to join us in making this production,” says Jayson.
The musical, written and produced by the Singapore composer and artiste, is held together by his moving 1995 song *Bunga Sayang*. It tells the story of two bickering neighbours who fall in love after they discover a common interest in music.
The poignant musical works in tandem with the rest of the Heritage Zone to present a multi-sensory experience for passengers. “If I were a tourist, it’s not just the screen I’d be watching. The sight, sound, smell, taste – together, they give a surreal experience of Singapore’s rich heritage to our passengers,” says Jayson.
The nostalgia is not limited to the screen or the shops, it even extends to the nearby toilet that sports a British colonial-style heritage design with exquisite tiles and trimmings. It is like walking into a Peranakan home.
“We wanted to create a very beautiful terminal, but more than that – to inject a soul,” says Kum Weng.
Throughout T4, an assortment of novelty chairs adds to the colourful fun of the terminal.
A GREEN LINE INTO THE HORIZON
Sunrays streak through a light mist hanging over the trees that form a green line stretching as far as the eye can see. This could be a scene from Paris’ Jardin des Tuileries, a stone’s throw from the famed Louvre Museum. But these words could just as well describe T4’s Boarding Corridor.
There is no need for gatehold rooms, unlike the rest of Changi’s terminals, thanks to T4’s centralised screening, with trees now acting as natural barriers.
There are 160 Ficus trees of three species originating from China, India and South-east Asia, and installing this Boulevard of Trees was no mean feat. Learning from their experience of bringing large trees into T3, Changi’s Horticulture team was more efficient this time.
“We learnt a lot from our T3 experience, and we have phased the works better – from sourcing more suitable species of trees and pre-growing them in correct sized containers, to using special moving equipment. We also made sure the planting works were done when construction works were completed and indoor conditions were just right for the trees to grow,” says Ashraf Ali, CAG’s Manager, Airport Operations (Horticulture).
“We were also kiasu (extra prudent). We were involved in the entire process, from having the vendor grow the trees to specific requirements two years ahead of planting in the project nursery to monthly checks on the progress of growth. We then safely transported and planted them inside the terminal.” This attention to detail with ideal growth lighting produced condition that will help the plants grow inside the building for at least the next 10 years.
No detail was too small, not even that almost unnoticeable factor of dust on the leaves.
Every two hours, a light mist sprays over the trees, hanging there for a while before dissipating. This, explains Ashraf, is “fogging” – a process to dispel dust in the air so it does not build up on the leaves and hamper photosynthesis and the natural functions of the trees.
“No, passengers won’t get wet from this,” he says, smiling. “The water is atomised. It can be quite nice because if you are under the mist, it’ll feel like a cool breeze.”
“The plant features in T4 are unlike what we’ve done at other terminals. There was a lot of attention to detail.”
Another example of Changi’s meticulousness is the installation of an automated underground watering system for every tree in the terminal – a feat, considering that T4 has more trees than all other terminals combined.
The tree-lined departure transit area is Stuart’s favourite spot in T4.
“Each time I enter the terminal, this is the one space I head to. We have been able to create these light-filled seating spaces under a boulevard of trees, where you have an unobstructed view out across Runway 2,” says Stuart, who has poured his heart into the terminal.
Arrival at T4 has also been designed to give a warm Changi welcome to passengers passing through its halls.
“We wanted to welcome passengers with lush greenery at arrival, so we’ve planted the tallest trees in the terminal there,” says Ashraf.
“Our CEO’s vision of an avenue of trees at the Boarding Corridor leading to giant tall trees welcoming passengers at arrival, was a huge inspiration for us to make T4 an indoor verdant forest.”
THE ART OF PERFECTION
They hang overhead at T4’s massive Central Galleria, a picture of elegant exactitude. *Petalclouds* is a work that blends lights with music into a heady concoction rounded off with delicate movements.
The crown jewel of T4’s art programme presents itself to passengers simply as artistic perfection, but behind the graceful movements of *Petalclouds* is a precision engine of winches, motors and a two-tier safety mechanism.
There is much that goes into crafting the piece as well as three other major art pieces in T4 – a testament to the commitment that has gone into touching hearts at T4.
Swiss sculptor Kurt Metzler’s *Travelling Family* similarly fits seamlessly into T4, with Singapore daily *The Straits Times* weaved into the work of seven aluminium figures standing in the transit area, seemingly en route to boarding their flights. But at one stage, the piece was in danger of becoming an uncompleted work of art.
“Kurt was uncontactable for a few months, and obviously we were really worried,” recalls Daniel Foo, CAG’s Senior Manager, T4 Programme Management Office. “When we eventually got in touch with his son, we found out that Kurt had to undergo heart bypass surgery and was recovering from it. He also said the thought of the project kept his dad going, and the artist even wanted to escape from hospital to complete the job.”
Cultural Medallion award recipient Chong Fah Cheong’s *Hey, Ah Chek!* sits alongside check-in kiosks in the Departure Hall. The modern self-service kiosks are a foil to the trishaw, Singapore’s preferred transport mode of old. But that juxtaposition almost failed to materialise.
“We moved the artwork within the terminal building four times just to anchor it at the perfect spot. The sculpture weighed about 500kg and with each move, we required an A-frame and four strong men to lift the artwork with a mechanical hoist,” reveals Daniel, admitting that it did feel like an exercise akin to playing with building blocks. The piece features the artist’s own mother hailing a ride at the market, with his younger self in tow.
“I’m glad we were able to move the artwork to its final location, which gets more eyeballs.”
The sculpture is designed to allow passengers to board the trishaw for photographs.
While Kurt quite literally bled for his piece, Cedric Le Borgne, the Toulouse-based artist responsible for *Les Oiseaux* (The Birds), shed tears.
The piece features three giant birds constructed from wire, set in a garden space that is visible from both T4’s Departure and Arrival Halls. But like Kurt’s larger-than-life figures, one bird almost did not make it to Singapore.
“Moments before they were shipped to Singapore, I received a call from Cedric, informing me that he had to redo one bird,” says Daniel, recalling the heart-sinking moment. Cedric had evidently added a layer of lacquer onto that particular bird to prevent rusting, but a chemical reaction had instead ruined the piece.
“I was fuming mad, but Cedric was apologetic and almost in tears,” says Daniel. He eventually accepted a one-month delay in delivery.
“The airport isn’t trying to be a destination for the arts. We wanted artworks at the airport to give passengers an all-round positive experience at T4.”
10 THINGS TO DO AT T4
Changi Airport’s newest terminal offers much more than just speed and convenience for passengers; it is where art, design, nature and retail come together to create unforgettable journeys. Try these recommendations for a truly T4 experience!
Say a long goodbye
Farewells do not have to end at the immigration counters, with the 300-metre Central Galleria offering a clear view of both the public and transit areas. Before you enter immigration, ask your loved ones to head to the opposite end of the Departure Hall (near Row 1) so you can catch another glimpse of them while in transit.
Have a drink on us
Stop by the tasting bars at DFS Wines & Spirits to sample an array of alcoholic drinks on the house – from cocktails and premium whiskies to even craft beer on tap.
A walk in the park
Breathe in as you stroll along the Boulevard of Trees to your departure gate. If you’re lucky, you might even get a refreshing spritz of mist to prepare you for the dry cabin air – just thank the automatic system that waters the trees every two hours.
Shop till you board
Be spoilt for choice with the range of retailers from fashion and beauty to technology and snacks. The integrated duty-free zone saves you the trouble of queuing twice for your beauty and alcohol products, while standalone double-volume façade shops in the transit area offer specially curated products.
ORCHIDS EVERYWHERE
You cannot miss the orchid-inspired designs throughout T4. Look up and you can count 67 petal-shaped skylights. Look down and you will spot countless purple outlines on the carpet. There are even motifs on air-con vents, plant pods, side tables and fire extinguisher holders!
Time for selfies in Changi’s prettiest loo
T4’s colonial-styled toilet at the Heritage Zone has got to be the prettiest one in Changi Airport. Spacious and sophisticated, it has a huge mirror for an #OOTD shot, and ornate floor tiles for that shoe selfie.
Immerse in Peranakan culture
Relax at the Heritage Zone as you enjoy the Peranakan Love Story, a lovely six-minute musical, which plays twice every hour. Also visit the Peranakan Gallery nearby to discover more about the unique culture through photos and artefacts, including blackwood furniture that you can pose with for a #throwback photo.
Travel back in time
Recall the good old times with retro décor, old-school kiddy rides and timeless local eats such as roti prata and kueh. Even if you’re not flying off, get a dose of nostalgia at Food Emporium in the public area – its children’s corner features murals of old-school mosaic playgrounds and games such as hopscotch.
Walk over water
At the transit area’s Steel in Bloom garden, walk over a koi pond and admire a six-metre centrepiece featuring intricate botanical motifs modelled in steel. Living plants thrive on the man-made structure, reflecting the delicate balance between humans and the natural world.
Head in the clouds
In the transit area, look for the cluster of bright red easy chairs facing the Central Galleria. They are the perfect seats for watching Petalclouds as they dance gracefully to music written by BAFTA-Award winning composer Ólafur Arnalds. Like clouds moving slowly in the sky, the six sculptures present a hypnotic interplay of form, light and reflections.
Have T4 two
Just for fun, have “T4” (tea for) two before flying off. There are plenty of choices in the public and transit areas for a cuppa. Some even have great vantage points for people- and Petalclouds-watching.
SATS is the world’s largest airport ground handling company, providing services to more than 100 airlines and 25 airports in 23 countries. Its operations include cargo handling, passenger services, catering, retail, and aviation security. SATS has a strong presence in Singapore, where it operates the Changi Airport Terminal 4 and Terminal 5, and is also active in the Middle East, Europe, Asia Pacific, and North America. The company is committed to delivering high-quality services that enhance the travel experience for passengers and support the growth of its partners.
Chapter 4
THE HUMAN SOFTWARE
There is little doubt that T4 was set up to be distinctly different from Changi Airport’s earlier terminals. Technology and innovation have given a new meaning to “efficiency” at Changi Airport’s latest state-of-the-art terminal.
But Changi is clear on this – no matter how high-tech the hardware in hand is, the heartware matters.
“The magic of Changi Airport and its terminals is not found in the hardware alone. People matter. Magic is collectively created by individual commitment as well as teamwork,” says Seow Hiang.
FOR THE FAMILY
Seow Hiang pointed to the positive energy generated by staff united in their aspiration to provide world-class service. To that end, CAG had canvassed for ideas from its staff in the creation of T4, or what Seow Hiang describes as “the most staff-centric terminal ever built at Changi”.
“Some wanted a place to eat, charge their phones and rest, while others wanted smoking zones, shower areas and even foot massage machines,” says Kenneth Ho, Senior Manager, Facilities Management for T4.
“In 2012 and 2013, we did a comprehensive survey of what our different stakeholders wanted. Of course, we couldn’t provide everything, but we did so for what most people wanted, and I think they appreciated what we have done.”
T4 has four staff lounges – the most among Changi’s terminals – two on the airside, and one each in transit and in the public area.
It was not just for the rest areas that staff was consulted on. T4 features customised workstations, with input sought at the design stage.
“We brought in the ground handlers who use the counters every day. So, even before we constructed all these, we built mock-ups in the lab in T2 and brought in staff to give us their feedback on the ergonomics,” reveals Ching Hock.
“We even went into details, such as what is the best angle for this, how big should the screen be, that sort of stuff.”
**The dungeon renaissance**
Safety is of paramount importance at the Baggage Handling Area (BHA), so it was only natural that it was given massive improvements.
“Staff call the BHA The Dungeon Renaissance, and it really is an accurate description,” says Hamon Shen, chuckling. The Manager of Airside Operations points to dim lighting, low ceilings and poor air quality as the bugbears of staff at older terminals’ BHAs. All these issues were addressed at T4.
More lights, anti-slip flooring and seats for staff to rest between flights were installed, along with higher ceilings and wider roadways. For the first time, Changi employed electric tractors to ply the roadways in T4’s BHA to improve its air quality.
CAG’s former Apron Chief, Mary Tan, who now serves as a senior consultant, reveals that while meetings were held with staff during T4’s planning stage, engagement with those who would be on the ground did not stop there.
“After installation works, we took them to the various sites to get their input again to help us in fine-tuning what we have put in place,” she says.
With dumbwaiters, workers at T4 no longer have to carry heavy items to and from the aircraft.
With higher ceilings, more lights and improved air ventilation, the working condition at the Baggage Handling Area is a contributing factor to T4’s improved environment for airport staff.
Dumbwaiters – motorised lifts that help transfer bulky items on aerobridges – were installed at the apron. Workers at T4 now do not have to physically carry heavy items such as wheelchairs and prams up and down the stairs.
“We have older employees working in the apron, and they’re grateful for the dumbwaiters. They also provided valuable feedback that helped us make modifications to improve the dumbwaiters,” says Mary, pointing to the importance of employee feedback.
Innovating for efficiency
Changi knows how to run an airport – its long list of accolades affirms that. And the airport is already tapping on its 37 years of experience to develop efficiencies of its own, some of which have been implemented at T4. One is reducing the workload of toilet attendants, who previously had to refill every soap dispenser manually. Behind the mirror of every toilet, a single container with tubes linking to all dispensers now refills the soap automatically.
Kenneth, who helped design the system, says: “It’s quite painful to see attendants working on every soap dispenser in our toilets. This centralised reservoir means they have to top up a single container only once every three days.”
This approach has seen similar efficient systems applied to toilet paper – Changi has developed sensors that track how much is left in each roll of paper, alerting staff when it is time to replenish.
CAG has also invested much time and effort to introduce autonomous cleaning machines, with each type specifically modified to handle different areas, such as the tiled check-in facility, carpeted transit area and even T4’s car park.
Again, there is that attention to detail. Smart bins alert cleaners when they are full and trash does not have to be carted across the terminal. Work is made more efficient with 12 disposal-points across T4, all fitted with a pneumatic system that transfers trash to a central bin in the basement.
“The Facilities Manager’s job can be mundane. How interesting can cleaning be?” muses Kenneth. “So I like to think about how we can improve things ourselves.”
His musings played a big part in the conception of a customised all-in-one cleaning solution to replace the basket of chemicals that cleaners used to lug around, as well as mechanised mops and brooms for them. A smiley face flush has also been installed in toilets, something that Kenneth hopes can brighten the day for cleaners and passengers alike.
“T4 is supposed to be a happy terminal. The light flashes when you flush, and it’s like someone smiling at you when you move away – so you’ll feel happy,” he says.
An upside to these staff-focused efforts is a major boost to productivity.
“T4 is 70 per cent the size of T1, and would theoretically need 210 cleaners, but with all the things that we’ve implemented, we are working with just 150,” says Kenneth.
“Traditional cleaning is labour-intensive, and is unsustainable both in terms of cost and effort. And all this came about from us thinking about how to optimise work with technology and improved processes – funny stuff.”
The team at KLIA2, from left to right: Mohd Zaini, Datin Sri Suhana, Datin Sri Siti, Ms. Yvonne, Mr. Eric, Mr. Eric, Datin Sri Siti and Datin Sri Suhana.
Chapter 5
A FAMILY AFFAIR
From the personnel manning the information counters to the behind-the-scenes crew overseeing the upkeep of the airport, the ONE Changi family is a well-oiled machine. From airlines and immigration authorities to support companies, every single member plays an integral part to make the airport tick.
“All of us grew up coming through Changi Airport, remembering our first flight. This is important, we must never lose the trust that Singaporeans have placed in us. Our raison d’être is to deliver the best possible customer experience,” says Lye Teck.
“We never lose sight of the fact that Singaporeans feel a sense of pride and belonging for Changi Airport.”
And the sentiments are echoed in the way things are done at Changi – an all-inclusive family working as one.
Li San recounts: “We had a small team working on the project, but we reached out to the rest of the company, including those involved in running flight and commercial operations. We pulled in expertise from different teams and got everybody to chip in, so it was really a whole company approach from the beginning.”
Lye Teck asserts that this process of getting everybody on the same page was much more complex than it first appeared – but getting it right was vital. He speaks of the integration of three key pillars – systems, processes and people – that need to come together to ensure that everything runs smoothly at an airport.
“We did more than dry runs. The complexity is in getting ourselves – systems, processes and people – ready to handle the flights. If one is weak, it would mess up the others, so all three are equally important.”
“When you come for a flight, you assume that you will fly. My colleagues and I assume someone will come at 5am to clean the terminal, start the check-in machines, prepare the security screening equipment – all proactively. We assume that things will run smoothly. But unless you make preparations, all these will not happen,” adds Lye Teck, relating the example of security that laid the foundation for T4.
ICA had to come on board in a big way to allow T4 to integrate its biometrics system with ICA’s automated immigration system. This included planning and designing of the FAST interface, as well as Automated Check-in Kiosks. The authorities also stepped outside the box in critical trials with T4.
“ICA really stepped up to it,” says Lye Teck of the security system integration trials, when volunteers went through the check-in and immigration processes. While the immigration system requires all individuals who have passed through security clearance to physically leave the country, ICA made an exception for the trials.
“It had to grant us access to its software to enable us to practise scanning passports,” adds Lye Teck. The security clearance trials were coupled with T4’s even tighter security to ensure that the trials were completed without a hitch.
With the opportunity to revolutionise the way passengers travel, ICA worked closely with CAG in the planning of T4. Julia Sng, ICA’s Commander (Airport), Integrated Checkpoints Command (Air), says the work to get everything right was an exciting and fulfilling journey for the ICA team because they pushed boundaries to create a new chapter in checkpoint operations.
“We now see new operating concepts in T4, including centralised immigration halls to improve productivity and the
Automated Immigration Gates, which are part of CAG’s FAST concept. The automated gates are a first in many ways that presented numerous challenges to both ICA and CAG.
“Having the ICA system ‘talk’ to the CAG system was challenging at several levels. Nevertheless, with a common vision of providing a secure and seamless departure clearance experience for passengers, ICA and CAG teams came together to overcome these challenges. As we worked towards getting ready for Day 1, our officers participated in almost 50 Operational Readiness, Activation and Transition trials and 11 ‘live’ flights to ensure that we were fully prepared. ICA is proud to be a member of Team Changi!”
But it was not just the immigration and security authorities who needed to come on board. The ONE Changi approach involved Changi’s airport partners and other service providers, from logistics to cleaning. Needless to say, the management of these companies needed to buy into the idea that they, too, were critical to Changi remaining at the top of its game.
This included the landside area, which is also opened to the public who are not travelling passengers, to meet Changi’s highest standards.
James Fong, CAG’s Vice President, Landside Concessions, worked with commercial partners, such as Astons, E-Gadget Mini, Kaboom, London Fat Duck and Old Street, to present a good selection of F&B and shops for T4 visitors.
“From ensuring the optimal trade mix to curating a variety of dining experiences for Singaporeans and tourists alike, the journey on the landside of T4 was truly memorable and fulfilling,” says James.
“And as opening day drew nearer, the ONE Changi spirit really shone through, as everyone worked closely together to overcome numerous challenges to make sure tenants were ready to serve passengers and visitors. It is not every day we get to witness the opening of a new terminal. What an honour and privilege to be involved in such an important milestone for Changi Airport.”
The FAST trials were just part of a larger ORAT, a systematic way of preparing for the smooth opening of an airport. And getting such a huge family to work together on T4 was no mean feat, especially given the tight deadline of getting the terminal ready in just 12 months.
Systems were tested individually, then together. The Changi family came together to make sure that in T4, the magic of the Changi Experience continues. And new systems like FAST, which require new processes, were tried and tested.
“At CAG, we don’t do everything ourselves, we work with and through our partners,” says Lye Teck.
“Anything that is new is a risk factor. Small things can trip people up, such as doors that have to be pushed instead of pulled – so why don’t we put signs on them? No employee on opening day should be doing something new for the first time – we didn’t want them to improvise or invent a process on the first day.”
Nothing that could be helped was left to chance, and this would not have been possible without the united belief that everyone at Changi is part of one big family.
“Our bond got stronger, we grew closer, and these are precious to us. We needed that for running the terminals and eventually even more so for T5. This was the community coming together not to apply a standard formula, but to venture into new territories together. Even the Ministry of Home Affairs had to rethink their processes to take a chance with us,” says Seow Hiang.
“I am glad our airport partners ran along with us towards making T4, with its cutting-edge capabilities, a reality.”
2. Tan Lye Teck, CAG’s EVP Airport Management leads discussion on T4 with ONE Changi leaders.
T4 is no budget terminal, nothing at all like its predecessor. Washing away the stigma of the budget label was one of the trickiest obstacles that stood before Neo Su Yin, General Manager of T4 Programme Management Office, and her team. That is why the reaction of a Korean Air manager stuck in her mind – it was a key moment in the progress of T4 that saw ambivalence towards the newest member of the Changi family turn into palpable excitement.
“Initially, Korean Air wasn’t going to adopt FAST, but when their regional manager came to see the terminal, he was so impressed with how seamless and efficient it was that he told us he wanted to *chope* (reserve) one of the check-in rows and come on board as soon as possible,” recalls Su Yin.
Her challenge was not just with the partners of Changi. She and her team faced similar challenges with colleagues who could not shed their old perceptions of the terminal. This was why engagement with both internal and external stakeholders on the new image of T4 was important to CAG.
**Embracing change**
Su Yin admits there was initial apprehension from CAG staff about the launch of T4, with many concerned about accessibility issues and changes to their scope of work at a terminal that was highly reliant on automation. Unlike Changi’s other three terminals, T4 also had no inter-terminal Skytrain connection or MRT link to the city. This
apprehensive mindset was exacerbated by fears the self-service kiosks would render staff redundant.
“We wanted to give them a sense of ownership of T4, and to change their perception that it was more than just an upgraded budget terminal,” Su Yin says of her team’s decision to conduct workshops and roadshows specifically for CAG employees. “We wanted our colleagues to be the first to see T4 and be proud of it.”
Beyond the charm offensive, her team adopted a serious consultative approach that put consideration for staff at the forefront in the new terminal’s operations.
“We implemented bus services to and from T4 to resolve the accessibility issue. It was key for us to convey the message that staff were not going to be displaced. We needed to help them understand that the main change was in their roles and the way they interacted with passengers,” says Su Yin.
Her team worked to “bring as much of the terminal to staff” as they could, ahead of its opening. This meant putting together videos, building mock-ups of key areas they were involved in, and designing workshops to deepen their understanding of the changing work processes in T4.
“We took on board their feedback in designing lounges and ergonomic workstations, and I must say I am very proud of our efforts.”
The efficacy of these internal engagements came to the fore as Su Yin and her team prepared to open T4’s doors to Singaporeans.
“From the start of 2017, leading up to the public open house in August, many of our employees came forward to volunteer their services as ambassadors.”
Among those who answered Su Yin’s call was Usharani Murugaiyan, a public service announcer based at T2.
“I think T4 is absolutely beautiful! It’s a cosy, comfortable terminal and they made sure they got feedback from us in some of the designs here. We appreciate what they’ve done, like the staff lounges,” says Usharani.
Such reactions warmed Su Yin’s heart.
“There was a real evolution of perception among our colleagues,” she says, her eyes lighting up. “Initially, we were worried that no one would want to work at T4 because many of them felt it was more difficult to get to.”
“But they were blown away by the beauty of the terminal and came of their own accord to be part of it.”
The pride in Su Yin’s broad smile says it all.
**Singapore, this is T4**
In August 2017, CAG gave Singapore its first glimpse of T4 in a public open house. Over 100,000 people came through the doors during T4’s two-week long introduction to visitors, who were amazed by what they saw.
“There were senior citizens who were grateful to be given a chance to see the transit area of the terminal without first having to buy a ticket – some of them said they did not even
have passports, so this was really an experience for them. There were also other visitors who wanted to sit on every single chair in the terminal,” says Su Yin.
She reveals there were initial fears her team would struggle to attract visitors to the open house, but those apprehensions were totally unfounded. Every single open house ticket was snapped up, and the public lapped up what T4 had to offer.
“My son kept saying he thought this was supposed to be a cheap terminal, and if so, this was the grandest ‘cheap’ terminal he has ever seen,” says Yazeed Said who works in the education field. “We were expecting less, but were really impressed by the quality here. Flow-wise, it’s intuitive, and there are several rest areas, which travellers always look for.”
His sentiments were echoed by frequent traveller Lim Ee Hou.
“There’s technology, art installations, even the seats are stylish – and then you have this unique Heritage Zone,” says the 42-year-old technology consultant.
“My attention was caught by this – it’s like a time-space jump between the future and the past – it’s really unique – and the theme is carried forward into the toilets as well. I travel almost every week, and when my wife said to me, ‘Let’s go to T4,’ I thought she must be kidding. But I’m glad I came.”
1. 2. 3. 4. Over 100,000 people, from senior citizens to young children, had a field day during the Open House and were impressed with what T4 has to offer passengers.
ONE FINAL PUSH
Building a spanking new airport terminal with all the bells and whistles and the latest technologies is the easy part. Making sure every moving part works the way they are supposed to is not so and can test the most steely of nerves.
A lot was at stake for T4. Ang Siew Min, CAG’s Vice President of Airport Operations Management, knows only too well any hiccup can dent the Changi brand as the world’s leading airport, where everything always runs smoothly. The accolades speak for the airport’s achievements.
And Siew Min was keenly aware of how failures had plagued new terminals of some well-respected international airports and damaged their reputations.
Changi cannot afford this. It took decades to raise its standing among international passengers and even a tiny glitch can undo this. T4, simply, cannot disappoint.
Not that Siew Min and his team thought anything would go wrong. They were confident nothing would after running over 150 rigorous trials involving more than 10,000 volunteers and airport employees, and 11 “live” flights before the operational opening.
“We worked closely with the airlines that would be operating out of T4, including Cathay Pacific and AirAsia, to test the systems from start to end. It enabled us to calibrate and make them faster and smarter,” says Siew Min. “The ‘live’ flights carried out during ORAT also allowed us to identify areas for improvement. Without running these ‘live’ flights, we would not have been able to put our hands on the table and declare, ‘We are ready to open T4.’”
The FAST systems are able to function seamlessly as they are well-integrated with the external systems managed by the airport partners. For instance, apart from working with ICA to embed facial recognition technology into the Automated Immigration Gates, CAG also involved the T4 airlines in ensuring interoperability across different systems. Despite the pressures on all sides to deliver, CAG and its partners overcame the technical hurdles.
“For example, we wanted passengers from every airline to be able to get past all 18 Automated Immigration Gates simultaneously without experiencing any system lag,” says Siew Min. “To do so, the T4 airlines had to make changes to their systems while we tailored the software to suit each airline.”
Logan Velaitham, AirAsia Singapore CEO and AirAsia Philippines Chief Executive Advisor, says that the airline started digitalising their passenger operations at Changi in 2015. It made their work with T4 during the trials more efficient.
“We have been introducing our guests to various digital technology in an effort to allow them to take full control of their journey,” adds Logan.
“We started by introducing the Passenger Reconciliation System, followed by mobile check-in, self-service kiosks, auto bag drop facilities and finally auto boarding gates. The trial flight saw our efforts come together as passengers eased into the fully automated terminal without any hassle.”
**Overcoming challenges**
Siew Min says it was a tremendous challenge from the get-go. “Right from the start, we knew that delivering a full-suite FAST was going to be complex because it had to have speed, accuracy and be user-friendly,” he emphasises. “Nobody at Changi Airport had done this before and we did not have a reference point to work with. I am glad the team took on the challenge and delivered a groundbreaking product that had no precedence.”
The day of reckoning finally came. At 2am, October 31, 2017, Siew Min and his team were pleasantly surprised when two passengers checked in at T4’s Automated Check-in Kiosks, printed their baggage tags and boarding passes before dropping off their luggage at the Automated Bag Drop machines.
Recalling that moment, he says the passengers had arrived too early. They were supposed to check in only three hours ahead of their Cathay Pacific flight, CX650, which was scheduled to depart for Hong Kong at 6.50am.
But it was opening day for Changi Airport’s newest terminal and the two eager passengers of the first official flight out of T4 validated that T4’s FAST system was ready to roll.
“The early birds did us a favour because they tested the system before the main bulk of passengers arrived and they did it without any glitches!” muses Siew Min.
T4, though, was ready to tackle all imaginable issues that might throw a wrench into its works. Well before the first flights touched down and took off, CAG’s ORAT team was in position – warm smiles worn over their distinctive blue T-shirts, with bright and sharp eyes keenly trained on every single passenger touch point throughout T4. They were out in force on the day T4 would welcome its first passengers. The first flight to arrive at 5.40am was also operated by Cathay Pacific, CX659, from Hong Kong.
Hard work finally pays off
As passengers disembarked and another group waited to board the same aircraft there was a sense of relief among the CAG family. Everything had been running without a hitch, especially for those who went through the departure system. T4, after all, had gone through rigorous tests.
“We got to the airport thinking it was going to take us forever this morning, but it was super fast – we could have stayed at the hotel for another hour-and-a-half,” she adds. “I don’t think T4 could have done any better today.”
Like Prynthia, Japanese businessman Shinji Fujino took less than 10 minutes to get from check-in, through immigration, security screening and into the transit area where T4 continued to impress.
“T4 is an amazing terminal, and Changi is an amazing airport – it is just so beautiful,” he says, adding he was stunned by its beauty.
T4 received its first flight at 5.40am on October 31, 2017 with the arrival of Cathay Pacific’s CX659 from Hong Kong. The Cathay Pacific aircraft, re-designated CX650, was also the first flight to depart from T4.
1. A group of people standing in front of a large window at an airport, with an airplane visible outside.
2. A man and woman standing next to each other at an airport check-in counter.
3. A man holding a bouquet of flowers and smiling at another man.
Maggie Yeung, Cathay Pacific’s General Manager, Southeast Asia, says the commitment from CAG, its stakeholders, and airline and commercial partners in preparing T4 for operations paid off well for everyone.
“Our successful move to T4 represents a culmination of many months of hard work among our colleagues and collaboration with various stakeholders and authorities,” adds Maggie.
“We are excited to be able to provide a better airport experience for our customers departing or arriving Singapore, and we are glad that the self-service facilities and our extremely comfortable brand new lounge, featuring great dining options, have been well-received by our passengers.”
**A sensory experience of the Lion City**
A well-lit integrated duty-free zone greeted passengers as they walked along a winding path that opened up to a vast space lined by shops with double-volume façades.
And beyond that, past T4’s mesmerising feature garden, passengers got one last look of Singapore at the Heritage Zone.
As wide-eyed passengers took in the exquisite architectural detail in the façades of local shophouses that lined here, their noses were given a Singapore send-off. Smells of fresh *roti prata* wafted over the air, intertwined with barbequed pork slices and pandan cake, giving passengers a final sweet-savoury taste of the Lion City.
Lazing on the comfortable chairs placed across the Heritage Zone, they were lapping up everything T4 had to offer. “The terminal is very nice, I can’t say just how much I’m enjoying this,” says Geraldine Tongco, who was returning home to the Philippines via Hong Kong.
“It’s absolutely beautiful, but my favourite thing about T4 is the convenience. It’s easy and fast to check in, and get through immigration.” She waves her hands around before adding: “You should come to T4 and enjoy all this.”
Flight CX659 departed in what was a successful roll-out for FAST, but Siew Min’s team skipped the celebratory drinks. “After we opened T4 for operations, we went into a period of enhanced care, which meant we were on roster 24/7 to make sure the terminal continued to hum during peak periods, as well as to address and close any gap that surfaced after opening day.”
Tan Hanjie
Germite Ang
Teresa Goh
Willy Ng
Eileen Tan
Kelvin Teo
Janet Wan
Cindy Koh
Teng Hwee Onn
Lim Hon Wei
Ng Hoe Seng
Lee Kian Wei
Kenny Lim
Lee Wei Xian
Seoh Zhi Wen
Latipah A Wahab
Chew We-sen
Nurul
Bobby Chua
Oun Chuan Teck
Ahmad Razak
Chong Lian Hong
Winnari Goh
Yanbing Kim
Hor Fong Lig
Kevin Lim
Kwok Lam
This book celebrates the significant contributions from the T4 Team. The Creators of T4, listed below, comprise members from Changi Airport Group, Consultants and Contractors who have worked hand-in-glove to complete T4 in five years. T4, with many innovations of its time, is a labour of love and the pride of all involved.
**CAG**
Liew Mun Leong
Lee Seow Hiang
Yam Kum Weng (Programme Director)
Tan Lye Teck
Foo Sek Min
Lim Peck Hoon
Fong Kok Wai
Ng Lai Leng
Wong Woon Liong
Ho Beng Huat
Somkiat Lertpanyavit
Poh Li San
Neo Su Yin
Daniel Foo
Tan Hanjie
Germite Ang
Teresa Goh
Herman Ng
Stuart Ralls
Cindy Koh
Willy Ng
Eileen Tan
Chew We-sen
Nurul Ain Sumardi
Elsie Tan
Janet Wan
Kelvin Teo
Latipah A Wahab
Teng Hwee Onn
Ng Hoe Seng
Seoh Zhi Wen
Bobby Chua
Gabriel Lim
Lee Wei Xian
Oun Chuan Teck
Clarkson Doan
Li Jiancheng
Kenny Lim
Lim Hon Wei
Lee Kian Wei
Kevin Lim
Ahmad Razali
Mohamad Izhar Bin Mohamad Kusnin
Yeo Tiong Lip
Vincent Ong
Calvin Nah
Elanggo Kannaiyan
Tan Eng Kim
Ching Chin Yong
Chia Teck Kuea
Lee Seoh Cheng
Koh Ming Sue
Chee Kay Hyang
Yong Swee Ying
Leong Kok Hoong
Jacqueline Lim
Xylia Ong
Ngow Wei Juan
Jayson Goh
Ang Siew Min
Kelvin Tan
Chua Ching Hock
Jaeden Lim
Jasmine Lim
Lim Qiuling
Kenneth Seet
Goh Qian Yi
Lee Siew Fong
Jyn Tan
Lucas Lee
Keri Low
Zhang Shuyi
Melissa Ang
Aaron Wong
Keith Lim
Ng Ding Geng
Gareth Chua
Donovan Chan
Ben Lee
Kenneth Ho
Winne Ng
James Nai
Amanda Giam
Lim Yong Ken
Joanna Cheng
Khaja Nazimuddeen Abdul Hameed
Ashraf Ali
Chiam-Ling Hua Choo
Shaiful Bin Sulaiman
Lee Qian Yi
Nisrin Abdul Rahman
Bernard Siew
Liew Yi Ling
Natalie Oh
Delfine Ong
Gallan Ong
Puspa Parikh
Angel Tan
Alan Xavier Tan
Gobinath Thangaveloo
Krist Lim
Hurul’Ain Ibrahim
Cletus M J Packiam
Ng Chak Hwee
Yew Chee Chien
Shahrir Idham B Mohd
Muhd Zarirnaziz Roslee
Muzhafar B Maarof
Yeo Kia Thye
Oliver Kiesewetter
Gan Heng
Zhao Fu Cai
Syed Ibrahim
Norshidah Arshad
Jacqueline Seah
Hamon Shen
Md Tajuddin Abdullah
Gabriel Tan
Kalamuddin Bin Tibrani
Amelia Amari
Lim Seng Kee
Lim Ming Jian
Rolando Delfin
Clarence Chng
Joseph Lim
Mary Tan
Lenny Chan
Teo Chew Hoon
Ivy Wong
Chandra Mahtani
Maritonet Aluquin
Sherry Jew
Leow Pey Shan
Jane Lim
Wendy Lim
Joyce Poh
Alicia Wong
Michelle Foo
Farley Lim
Nicole Foo
Li Bona
Lim Jun Jie
Edwin Lim
Grace Tai
Grace Marie Ho
Nicole Loy
Eugenia Ong
Sharlene Ng
James Fong
Nigel Chia
Genevieve Heng
Tricia Ng
Verlyn Tan
Steve Tay
Chua Poh Hong
Raymond Low
Sharon Liew
Cassandra Chng
Angeline Chia
Jeffrey Loke
Low Tze Lee
Ong Si Yun
Steve Lee
Leong Yuh Khee
Jeffrey Gwee
Jennifer Lin
Cheah Ai Lin
Lim Swee Teck
Alex Tey
Kenny Chia
Janet Ang
Ong Kok Liang
Tan Wei Hao
Spencer Lim
Song Wei
Wang Chaohe
Li Zijing
Bernie Xie
Lynnette Lim
Tan Chinn Woan
Jeff Ho
Tan Kiang Huat
How Lee Kiau
Ong Si Yi
Natalie Lee
Tan Yeow Leong
Mohd Shadiq
Vanganuru Sagarika
Lim Ching Kiat
Donald Tan
Damon Wong
Tan Shu Yee
Toh Ern Chong
Samantha Yuan
Pang Yee Huat
Jeffrey Ng
Liew Zhong Yao
Victor Liu
Ivan Tan
Dennis Yim
Ng Koon Ling
Low Shueh Li
Kelvin Ng
Ryann Tan
Eunice Yeo
Anthea Tan
Julia Jemangin
Claudia Wong
Melvin Leong
Jiang KeJia
Christopher Teo
Melina Khong
Ang Kai Fong
Lee Khai Yan
Linette Tan
Ong Sim Lian
Lau Siong Weng
Jessie Loong
Edward Lam
Adrian Huang
Fiona Ng
Liu Sern Yang
Nicholas Poa
Jean Tan
Lim Wee Ping
Lim Wei Wei
Shawnya Chua
Charis Teddy
Audrey Lee
Goh Dan Yang
Mark Tiong
Leck Siew Leng
Michelle Lim
Serene Lee
Mak Mun Wai
Chua Lay Ling
Wendy Heng
Margaret Tan
Phoon Yen Peng
Justina Tan
Jane Ong
Debbie Koh
Janice Lim
Lee Chong Hee
Sim Lee Hua
John Petselis
Shi Shuangxi
Soe Minn Sett
Goh Kai Xiong
Wu Zhen Hong
Saiyed Noor
Maung Hla Min
Chee Xiang Min
Angeline Quah
## CONTRACTORS
- Toichi Takenaka
- Yuichiro Hugh Takenaka
- Keiji Hayashi
- Nakao Seiichiro
- Hirotugu Yamaguchi
- Kazumi Suzuki
- Haruhiko Sawada
- Hiroyuki Yamamoto
- Leslie Teng
- Shoichi Sato
- Shoji Tanaka
- Fumiaki Kishida
- Toshiharu Umetsu
- Kosuke Fukumoto
- Masataka Sugiwaka
- Isao Shinjo
- Ichiro Takazaki
- Keisuke Suzuki
- Atsushi Yakushijin
- Nobuyuki Odajima
- Wataru Yoshii
- Hisanori Tanaka
- Asai Naoyuki
- Nagai Michito
- Hiroyuki Miyasaka
- Takayuki Miyamoto
- Hitoshi Yamamura
- Kazumasa Takahashi
- Yasuyuki Kanebako
- William Heng
- Kelvin Sim
- Yeo Kim Kiat
- Robin Neo
- John Chong
- Ahamadi B. Kamsidin
- Wedhasmari B. Mohd.
- SM Nuruzzaman
- Uddin Mohd. Reaz
- Faye Fong
- Lisa Chay
- Chong Mee Lan
- Tong Boon Sang
- Tan Chew Bong
- Tan Siow Huat
- Lu Leong Pin
- Loong Shey Hock
- Ang Kar Yeong
- Lim Tian Seng
- Tham Kong Choong
- Steven Lian
- Ismail B. Kasmani
- Roslan B. Kloning
- Soon Kim Swee
- Cheah Chin Teong
- Beumer Group
- CS Bored Pile System
- Fuji Signcrafts Industries
- Gleason Advertising
- O’ Connor’s Singapore
- Schindler Lifts (SG)
- ShinMaywa (Asia)
- TEHC International
- Tritech Engineering and Testing (SG)
## CONSULTANTS
- Yeo Siew Haip
- Toh Kok Kin
- Ye Minyu
- Mustakim Ismail
- James See
- Christopher Chong
- Lee Jia Xian
- Linda Lee
- Clarence Foo
- Isaac Tan
- Jamaludin Bin Rahamat
- Alan Sin
- Ku Ler Wai
- Eileen Lee
- Low Xingjun
- Peter McCaffery
- Neil Kee
- Luther Seet
- Francis Walker
- Denise Gan
- Phil Russell
- Janka Podbielski
- Raymond Fok
- Liew Choong San
- Wendy Chan
- Stuart Mackay
- Andrew Moraes
- Huang Gim Seng
- Lek Juay Chor
- Zhang Haoran
- Darrell Barker
- Chris LeBoeuf
- Lim Chiak Hwee
- Tony Ang
- Seah Choo Meng
- Khoo Sze Boon
- Josephine Lee
- Fion Lim
- Chen Yiwen
- Ong Hong Yi
- Benedict Oon
- Raymond Liow
- Richard Tai
- S. Gunasegar
- Jasbir Singh
- Anthony Cheng
- Yong Ping Quen
- Terrence Ferando
- Lien Kar Kiat
- Henry Ho
- Meike Gossling
- Peter Teo
- Yee Poh Kin
- Tan Keh Mui
- Elvio Lim
- Jim Tan
The sculpture is made up of 120 stainless steel tubes, each 30 feet long and 4 inches in diameter, that are arranged in a complex network. The tubes are connected by cables and are suspended from the ceiling, creating a dynamic and ever-changing structure. The sculpture is designed to be both visually striking and functional, serving as a focal point for the atrium and providing a unique and engaging experience for visitors.
Arrival
CHANGI
airport group
|
Calm Schools Self-Care Guide
© 2020 Calm.com, Inc. All Rights Reserved.
# Table of contents
| Topic | Page |
|--------------------------------------------|------|
| Introduction | 3 |
| What Is mindfulness? | 4 |
| Self-care practices for teachers | 6 |
| Take a deep breath | 7 |
| Meditate regularly | 8 |
| Prioritize sleep | 10 |
| Create a bedtime routine | 12 |
| Train your mind | 14 |
| Make or break a habit | 15 |
| Weave mindfulness into your daily life | 16 |
| Track your mood | 17 |
| Practice gratitude | 19 |
| Befriend yourself | 20 |
| Let it go | 21 |
| Do a digital detox | 23 |
| Go out | 24 |
At the heart of a mindful classroom is a healthy and happy teacher. Studies show that the entire classroom benefits when the teacher develops a personal meditation or relaxation practice. Not to mention, you improve your emotional wellbeing and reduce the risk of burnout.
If you find yourself feeling guilty for prioritizing self-care as a teacher, we invite you to let go of the idea that taking care of yourself is selfish, and remember that when you’re thriving you naturally have more energy, creativity, and empathy to offer your students. It’s a win-win!
This guide begins by defining mindfulness and its formal and informal practices. We start there because self-care is exponentially more effective when it’s infused with mindfulness. It’s the difference between taking a bath with a clenched jaw while running through your to-do list versus taking the opportunity to breathe deeply and letting the warmth of the water soothe your weary mind. The way you do something is just as important as the act of doing it in the first place.
The rest of the guide is filled with self-care tips and resources to help you feel healthier and happier in the classroom and beyond. We hope you and your students all reap the benefits of these simple yet powerful practices.
What is mindfulness?
Mindfulness is the practice of paying attention to the present moment on purpose with kindness and curiosity. Rooted in Eastern contemplative traditions, mindfulness is non-religious and non-dogmatic and is practiced by people from all walks of life around the world with diverse cultures and spiritual beliefs. The essence of mindfulness is simple. We practice coming home to the here and now. This can be tricky because the mind is a great time-traveler, planning for the weekend or replaying an embarrassing experience. The body, on the other hand, is only ever in one place. So we use our body as an anchor to bring our mind into the present moment. Give it a try. Can you feel the sensation of the soles of your feet? Can you notice the feeling in your chest? Can you tune in to your breathing? By coming home to the body and the senses, we cultivate an awareness of life as we live it, from moment to moment. This is mindfulness.
Mindfulness has both formal and informal practices. Formally, to practice mindfulness, we take time apart from the rush of our day to sit, lie down, or bring focused attention to the tasks of walking and eating. There are core formal mindfulness practices which breathing meditation, body scan, mindful movement, mindful walking, and mindful eating. These formal practices are where we really build the muscle of focused attention and compassionate insight. The length of formal practice can range from 5 min – 1 hour with the potential to go on for much longer periods of uninterrupted silence. Some of the barriers to formal practice include finding the time, falling asleep, discomfort, and feeling like you are doing it wrong. All of these barriers are part of the practice. Developing a new skill is challenging and rewarding work. Formal practice asks us to actively work to create time in our days and years to slow down, rest, connect with ourselves and breathe.
While the barriers may seem immense, any small step you can take towards developing a regular formal practice will reap great rewards.
Mindfulness can also be practiced informally, amidst the rush and whirl of our days. We practice mindfulness informally when we take a deep breath before the start of classroom period, or when we simply become aware of the sensation of walking as we move between classes, we can notice the color and taste of our food at lunch hour, and we can take a moment to look into the eyes of a loved one at the end of a hectic day. These moments of mindfulness are important as well. While we may not be wearing special clothing or sitting peacefully on a mountain top, we are still practicing present moment awareness through the demands of a normal day. Informal practice can be an extraordinary way to bring more depth and pleasure to repetitive tasks and as a resource for times when life gets particularly tough.
Can I take a breath before a difficult conversation? Can I notice the sensations in my stomach when I say yes to something when really I want to say no? These moments of mindfulness cultivate a stronger relationship with ourselves, our bodies, and our own knowing.
We said that mindfulness is a simple practice. It is simple, but it is not easy. Coming home to ourselves can often be an overwhelming experience; all of our disappointments, fears, and anxieties for the future are faced. The work of turning towards ourselves requires courage as we forge a new, uncharted path of simplicity, kindness, and awareness and step away from the well-worn groove of numbing, rushing, and pushing. For this reason, mindfulness is not a neutral, unfeeling practice. In fact, mindfulness could also be heartfulness, because at its core it is a kind, compassionate, curious interest in what is happening. Mindfulness turns the kindness we would extend to a best friend towards ourselves. Remember to always bring this warm, nurturing attitude into your practice, for it is truly the best part.
Self-care practices for teachers
Consider the following suggestions like a menu rather than another to-do list. Pick the ideas that appeal to you and feel doable. Then come back for more, as you’re ready.
We increase our likelihood of adopting and maintaining new habits when changes are incremental. Overhauling every aspect of our daily life at once is difficult, uncomfortable, and ultimately, won’t lead to more ease. Take your time and remember that small steps add up over time.
Explore the following tips and resources to discover what feels most nourishing to you.
Take a deep breath
When life gets busy, there’s often a snowball effect. Busyness leads to more busyness, which eventually leads to stress. If we don’t take time to interrupt the “snowball” from rolling, it gets bigger, faster, and harder to stop, sometimes ending in burnout or a crash.
Pausing regularly throughout your day to take a few deep breaths is a simple yet powerful way to slow down. It may even stop the momentum of the rolling “snowball”. The beauty of the breath as a supportive tool is that you can access it anywhere – a noisy classroom, a tough conversation, a traffic jam, or an important video call with technical difficulties.
Deepening the breath soothes the nervous system and helps us to shift from a state of stress to a state of relaxed attention. It can also brighten our mood and energize the body. So the next time you find yourself reaching for your third cup of coffee, try a breathing exercise first. Your caffeine fix will still be there if you need it afterwards!
Here are three ways to take a deep breath and counter the effects of stress on your mind and body:
**Breathe Bubble**
- A simple breathing exercise to calm and recharge. It only takes a minute and acts like a reset button.
**Panic SOS**
- A 4-minute grounding meditation that works with the breath to ease panic and anxiety.
**Afternoon Reset**
- A seated movement practice to rejuvenate the mind and relieve stiffness in the neck, shoulders, and back.
**CALM TIP**
Bringing a hint of a smile to the lips during breathing exercises helps to relax the jaw and soften tension in the facial muscles.
Meditate regularly
Teaching is a demanding and stressful job, and the rates of professional burnout are high. One of the overarching stressors arises from the deep level of care teachers feel for their students, and the pressure they put on themselves to help. While this is a positive response, it can feel painful if teachers are unable to support students who are struggling. Feeling helpless and under-resourced in the face of suffering can lead to “compassion fatigue”, a form of burnout commonly experienced by those in helping professions. The good news is that it’s possible to be both compassionate and passionate as a teacher without running yourself into the ground.
Meditation makes it easier to balance the care we have for others with our own self-care, by tuning in to how we might be overextending ourselves and ignoring the body’s distress cues. Ultimately, the awareness that develops through a meditation practice can help you get clear on what you need to feel happier and healthier.
Consider meditation as a training that prepares you to meet the challenging circumstances you face in your personal and professional life with clarity, kindness and balance. Practicing at home will help you to bring mindfulness into your classroom with more ease and authenticity. And even if you decide not to formally introduce mindfulness to your students, they’ll naturally benefit from the shift in your state of being as you integrate the practice into your routine.
Here are three ways to get started today:
**Daily Calm**
- Calm offers a unique meditation and mindfulness teaching every day. Our members credit Tamara’s soothing voice and gentle wisdom as their go-to for developing a regular meditation practice.
**How to Meditate**
- Calm’s 30-day intro series is a no-nonsense approach to meditation. Perfect for beginners to learn the basics without the fuff, while long-time meditators love experiencing the practice anew via Jeff’s fresh perspective and humor.
**Meditation Guide**
- We created this journal to set you up for success in beginning (or expanding) your own personal meditation practice. Like any habit, it requires a mix of intention and practical action that honors your current circumstance.
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**CALM TIP**
Make meditation a daily habit by pairing it with an already established routine like waking up, eating lunch or winding down in the evening.
Prioritize sleep
Many teachers struggle to get enough sleep during the school year. In an attempt to stay on top of things, you might be staying up late to finish a lesson plan, waking up early to mark papers, or tossing and turning over work issues at night. While the intention is well-meaning, sacrificing sleep comes at the expense of our overall wellbeing. With a lack of sleep comes less patience, difficulty focusing, and decreased motivation and creativity in being able to tackle problems.
Restful sleep prepares us to take on whatever the day throws our way, and helps us meet work and life with more energy, efficiency and peace.
Here are eight ways to sleep better so that you can walk into the classroom feeling bright, calm, and resilient:
**Sleep Stories**
- Soothing tales read by well-known voices—bedtime stories for grown-ups. Try it out and see if what worked for you as a kid still works now!
**Deep Sleep Release**
- Listening to sleep meditations at bedtime settles the mind and relaxes the body so that you can fall asleep sooner and more reliably.
**Ocean Waves**
- If your sleep is disrupted by outside noise, try Calm Soundscapes. You can play these soothing forms of white noise for as long as you need to mask unwanted sound.
**Lunar Lullaby by Lindsey Stirling**
- Calm’s meditative music tracks can help you unwind and settle into sleep more quickly.
“The best bridge between despair and hope is a good night’s sleep.”
– Matthew Walker
Gently Back to Sleep
- For some, it’s not falling asleep that’s so tricky, it’s getting back to sleep. We have meditations designed to help you stay relaxed if you wake up, before easing you back to slumber.
Evening Wind Down
- Calm Body helps prepare the body for rest and sleep with a gentle stretching sequence that you can do in bed.
Sleep Better Masterclass
- Delve into the science behind getting a good night’s sleep with our Calm Masterclass. We recommend listening during the day when you’re alert and can soak up all of the helpful information.
Sleep Guide
- A guidebook and journal to help you enhance the quality of your sleep through small, doable changes.
Calm Tip
If your brain is caught up in a whirlwind of thoughts at night, try journaling before bed. Write down any worries, to-dos, reflections, and anything else that’s on your mind to reassure your brain that you’ll attend to them tomorrow.
Create a bedtime routine
Routine eliminates the stress of having to make decisions. It settles the nervous system and, when repeated, becomes a new way of being. This is especially true with a sleep routine. Making time to unwind a non-negotiable part of your day is an excellent pathway to a healthy work-life balance.
If you don’t have a bedtime routine, make one! A few late nights here and there is okay, but if you can stick to a realistic routine most of the time you’ll benefit from less stress and improved sleep. Some practices that may ease the transition between busy day and peaceful night include:
- Staying away from technology 90 minutes before bed.
- Dimming the lights or lighting candles an hour before sleep.
- Spraying Sleep Mist on your pillow.
- Playing relaxing music.
- Gently stretching or doing a Calm session.
Experiment and find what works best for you.
Here are a few tools to bring more meaning into your daily routines:
**On the Blog: How to Bring Meaningful Rituals into Your Daily Life**
We don’t need to fill our schedules to feel fulfilled. Instead, we can benefit from introducing small rituals into our daily lives or simply reimagining what we already do.
**On the Blog: 9 Tips for Setting Healthy Boundaries**
Honoring our limits helps us take better care of ourselves, builds trust, prevents burnout, and infuses more meaning and authenticity into our relationships.
**On the Blog: Listen Deeply to Music and It Becomes Your Meditation**
When we consciously choose to focus on listening to music, we prevent our minds from being hijacked by thoughts, feelings, or ideas. It’s like a reset button for our body, mind, and heart.
**CALM TIP**
Smell, sensation, and sight create powerful behavioral cues so pay attention to what your senses find soothing when designing your bedtime routine.
Train your mind
Strong arms don’t materialize after a single bicep curl. Mental strength is just the same. Focusing on our mental fitness can help us soften stress and cultivate greater courage, confidence, composure, clarity, and creativity. Your mind is a muscle – together, let’s flex it.
Here are three ways to boost your mental fitness:
**Train Your Mind**
- Three-time champion LeBron James opens up his playbook on mental fitness for the very first time.
**Mental Fitness Training Guide**
- Neuroplasticity means that, at any age, through training, we can mold our brains to become even more mentally strong, healthy, and fit.
**Managing Stress Workbook**
- Our bodies are designed for stress (but, not too much). Use this workbook to explore new ways to counterbalance and decrease the effects of stress by activating the parasympathetic nervous system.
Make or break a habit
Cultivating a new habit or letting go of one that no longer serves us can create closer alignment between what we want and how we live. What have you been meaning to stop or start doing? What is something that doesn’t feel impossible to do, but that would make a big difference in your life? Mindfulness is a powerful and compassionate way to approach habit change.
Here are three tools to help you make sustainable shifts in your life:
**Breaking Habits**
- A collection of meditations to help break habits that no longer serve you.
**Breaking Bad Habits**
- Psychiatrist and addiction expert Dr. Judson Brewer outlines proven techniques for overcoming bad habits in this Calm Masterclass.
**How to Change Habits Mindfully**
- A step-by-step guidebook to inspire new possibilities and make important changes in your life.
“Just don’t give up trying to do what you really want to do. Where there is love and inspiration, I don’t think you can go wrong.”
– Ella Fitzgerald
Weave mindfulness into your daily life
The Daily Calm Calendar encourages you to meet life with presence and curiosity. Our daily mindfulness invitations are like tiny experiments that’ll help you learn more about yourself and the world. These insights can nourish and support you as you breathe through life’s ups, downs, twists, and twirls.
Writing is a powerful way to slow down, check in with yourself, and deepen your mindfulness practice. That’s why we created the Calm Mindfulness Journal, a 7-day journal for you to download and print. We hope this practice of presence, contemplation and reflection will serve to expand your awareness, inspire insight and empower your choices. Give yourself 10 minutes every day and write. Try it out and discover the wisdom that lives within.
“The curious paradox is that when I accept myself just as I am, then I can change.”
– Carl Rogers
Track your mood
Regularly tracking your emotional rhythms is a powerful way to take care of your mental health. Taking time daily to note how you’re feeling can help you:
- Create space to feel your feelings
- Get insight into what you need and how to best take care of yourself
- Recognize patterns and triggers
- Communicate clearly to others
- Get the support you need
Get started today with these three resources:
On the Blog: How are you feeling? A 31 Day Challenge
Record how you’re feeling with Calm’s mood tracker. It’s a daily check-in that helps you build awareness of the ebb and flow of your feelings.
On the Blog: The Feelings Wheel
Scan the wheel to discover what adjective best describes your state and let that understanding empower you in the moment.
On the Blog: 5 Benefits of Tracking your Mood
Feelings influence our thoughts and behavior, so it’s important to tune in and appropriately attend to your emotional wellbeing.
CALM TIP
If you’re struggling to manage your emotions or feeling stuck in despair or anger, you may want to seek out the help of a therapist, doctor, or counselor.
Practice gratitude
Feeling stressed out often reveals a lack of space. If you take a moment to pause when you’re experiencing stress, you may notice that the body, mind and heart are contracting in an effort to push you through the day. The problem is that we typically resist stopping because it can be hard to know how to manage the discomfort. That’s where gratitude comes in.
Gratitude creates space. It’s the sweet feeling of thankfulness that comes when we appreciate an experience, a person, or a thing. While it can arise spontaneously in the moment, it’s also a feeling that can be cultivated with a gratitude practice.
People who practice gratitude consistently feel more generous, compassionate, and connected to others. Ultimately, gratitude is one of the great keys to unlocking happiness.
Here are three ways to make gratitude a practice:
**Gratitude Masterclass**
- Unlock the transformative power of gratitude. This uplifting Calm Masterclass offers tools, insights, and inspiration to develop this life-changing practice.
**Gratitude Toolkit**
- A toolkit of helpful exercises and practices to support you in forging a daily habit of expressing and feeling gratefulness.
**Daily Gratitude Journal**
- Gratitude wakes us up to the beauty and magic of everyday life, but we have to choose it. Use this 30-day journal to reflect on what inspires gratitude within you.
“Gratitude unlocks the fullness of life. It turns what we have into enough.”
– Melody Beattie
Befriend yourself
Of course, it’s natural to seek self-improvement. But it will never bring us fulfillment if rooted in a belief that we’re fundamentally defective as a person.
Our flaws make us human and whole. Our unconventional views, unusual habits, and quirky patterns are all key ingredients in the recipe of who we are. If we can practice quieting that judgemental inner voice, replacing it with compassion and kindness, we may learn to love ourselves, just as we are.
Here are three ways to soften your inner critic and become a better friend to yourself:
**Radical Self-Compassion**
- Our inner critic can hijack our ability to connect with others, express ourselves, and experience joy. But, it doesn’t have to be this way. Try the practice of radical compassion instead.
**Relationship with Self**
- A series of meditations to strengthen your relationship with yourself through trust, insight, and compassion.
**Non-Judgement**
- Recognizing our judgmental tendencies is the first step towards softening them. Return to this meditation again and again.
“Owning our story and loving ourselves through that process is the bravest thing that we’ll ever do.”
– Brené Brown
**CALM TIP**
Watch this [video](#) if you’re feeling hard on yourself today.
Let it go
It’s almost impossible to go through life without being irritated or triggered by others. And it’s all too easy to fall into a narrative that “they’re wrong, and I’m right”. Regardless of right or wrong, these interactions and thought patterns impact both mind and body. We may experience tension in the jaw, and muscle tightness in the neck, shoulders, and upper back.
One way to positively reframe this experience is to recognize that everyone is doing their best. Even if it’s not obvious, we’re all confronting our own challenges. Perhaps the parent who was late picking up their kid had an argument with their partner, or recently received some unfortunate medical results. Maybe the colleague who forgot to thank you is feeling anxious about something they have to share with a loved one at dinner, or they’re going through financial difficulties.
When we remind ourselves of the complexity of life, we begin to soften, and forgiveness becomes possible. Imagine what kind of world we could co-create if we all tapped into kindness and compassion more often.
Here are some meditations to encourage us to make the world a kinder place:
**Relationship with Others**
- Meditations to cultivate healthier and happier connections (even during times of conflict).
**Forgiveness**
- A meditation to release resentment and invite greater peace into your heart.
**Loving Kindness**
- A meditation to develop warmth, compassion and love towards yourself and others.
---
**CALM TIP**
Inhale to acknowledge your irritation. Exhale to let it go.
Do a digital detox
Have you ever noticed how easy it is to lose precious time on digital devices? Checking, liking, heart-ing, and commenting on social media, reading the next suggested article or watching just one more show; before we know it, minutes roll into hours. Whatever your digital kryptonite – online shopping, social media, video games, Netflix – it’s all too easy to get hooked.
While there’s nothing inherently wrong with using social media or watching screens, trouble arises when these habits start taking more from us than they give. Often, what we need the most is a break from our devices. In this day and age, that’s a real challenge, which makes it especially important to take a timeout whenever possible. Explore what’s manageable for you. Maybe an hour free from technology before bed or upon waking, or a day away every month?
Here are three Masterclasses that can help you learn how to maximize and enrich your time away from work:
**Social Media & Screen Addiction**
- Screens and social media are incredibly addictive… but why? And what can we actually do about it?
**The Power of Rest**
- In a society that encourages overwork, science now shows us that we can all work better, be more productive, and have happier lives if we learn how to balance work with rest.
**Creative Living Beyond Fear**
- Learn to reach beyond fear and tap into your creative potential, as Elizabeth Gilbert, the beloved bestselling author of *Eat Pray Love*, shares the exact strategy she uses to overcome fear, as well as the profound secrets behind her creative success.
**CALM TIP**
When you’re looking to take an intentional break from the digital world, try charging your phone in another room on airplane mode or putting it in a box for an hour during the day.
“In nature, nothing is perfect and everything is perfect. Trees can be contorted, bent in weird ways, and they’re still beautiful.”
– Alice Walker
Go Out
Take a deep breath of fresh air. Smell the scent of the trees. Feel the sun on your face. One of the most powerful ways to de-stress is to spend time outdoors. Fluorescent lights and interacting with students all day can be exhausting, so give yourself a break amongst the restorative effects of nature. If it’s cold, throw on some layers and go for a hike. If it’s hot, find a natural body of water and go swimming. Notice how spending a little time in nature makes you feel.
Try this walking meditation to help you fully receive the world around you:
Mindful Walking
- A guided meditation for walking mindfully.
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Imagine how surprised the Samaritan Woman was when the Jesus Christ asked her for a drink of water and then engaged in a conversation about spiritual matters with her. Jewish men simply did not strike up conversations with women in that time and place, and consuming food or drink from a Samaritan was out of the question. How even more shocking it is that Jesus Christ’s conversation with her is the longest recorded between Him and any one person in the four gospels. He spoke straightforwardly to her and did not shy away from uncomfortable truths that hit her where she lived. But instead of shutting down the conversation or running away in fear, this Samaritan woman told the people of her village about Christ. As a result, many of her neighbors came to believe in the Lord.
This Samaritan woman is known in the Church as St. Photini, which means “the enlightened one.” Through the Savior’s conversation with her, Photini became an evangelist who boldly shared the good news, even to her Samaritan neighbors who were surely used to viewing her in anything but spiritual terms. That took tremendous courage. Photini was not only brave in preaching to them, but ultimately in responding to the persecution of the pagan Roman emperor Nero, to whom she said “O most impious of the blind, you profligate and stupid man! Do you think me so deluded that I would consent to renounce my Lord Christ and instead offer sacrifice to idols as blind as you?” The Great Martyr Photini refused to back down and gave the ultimate witness to Christ’s victory over death by laying down her life for Him. The Savior had set her free even from fear of the grave.
Too many of us today flee in shame from uncomfortable truths, whether we encounter them in our own thoughts or in the opinions of others. Too many of us define ourselves by our failings, weaknesses, and temptations. Too many of us accept some unrealistic cultural standard of “the good life” as the norm we must meet in order to be worthwhile. Thank God, St. Photini the Great Martyr did none of that. In response to her shocking encounter with the Savior, she humbly acknowledged the truth about her brokenness; she did not react defensively or make excuses. She did not end the conversation or run away in shame. Instead, she was open to the healing of her soul, to the possibility of a new and restored life through the mercy of the Lord. This was such a great blessing to her that she immediately shared the good news with the people of her village and refused to stop, even to the point of laying down her life.
Welcome!
Whether you are a parishioner or a visitor, we are glad you have chosen to pray with us at Saint Mary’s. As a friendly reminder, please observe the following upon entering the church for prayer.
- If you arrive after the services begin, try to enter the Church quietly and observe what is happening. Try not to interrupt the service by your entrance.
- Please silence your cellular telephones.
- Please place your offerings in the basket on the table in the Church Narthex (Entrance), or the Offering Tray when passed.
- You are invited join us in the Banquet Hall for coffee and refreshments following the Sunday Divine Liturgy.
Paschal Greetings…
Christ is Risen! Indeed He is Risen!
المسيح قام! حقاً قام!
(al-Masīḥ qām! Haqqan qām!)
Χριστός ἀνέστη! Αληθῶς ἀνέστη!
(Khristós Anéstē! Alithōs Anéstē!)
Христосъ воскресе! Воистину воскресе!
(Hristos Voskrese! Voistinu Voskrese!)
Schedule of Services
Sunday of the Samaritan Woman, May 22nd
- Matins at 8:50 AM, followed by the Divine Liturgy at 10:00 AM
Wednesday, May 25th
- Vespers at 6:30 PM
Sunday of the Blindman, May 29th
- Matins at 8:50 AM, followed by the Divine Liturgy at 10:00 AM
The Feast of Ascension
Wednesday, June 1st
- Vesperal Divine Liturgy at 6:30 PM
Sacrament of Confession
Fr. Peter is available for the hearing of Confessions:
- Wednesday's 6:00 to 6:30PM
- Sunday's 8:30 to 8:50 AM
- By appointment
Wednesday ‘Ask Abouna’
Each Wednesday through June 8th, Fr. Peter will hold ‘Ask Abouna’ following the Vespers Service at 6:30 PM. ‘Ask Abouna,’ is an opportunity to answer questions you may have about the Orthodox Faith. Make plans to join Fr. Peter and bring a friend and your questions.
On Sunday, June 12th, Saint Mary’s will honor our 2022 graduates in prayer and with a special coffee hour in their honor. Graduates from the following will be honored:
- Elementary School
- Middle School
- High School
- College
- Graduate School
Please submit their names to Fr. Peter by Wednesday, June 9th, for inclusion in the bulletin.
If you did not have your home blessed before Great Lent, Fr. Peter will be blessing homes through the end of June. Please speak to him to make arrangements to have your home blessed.
Laying Blame
by Abbot Tryphon
Putting the Blame in the Right Place
We all have a natural tendency to lay blame on others, when in truth we must blame only ourselves. When facing our own sins and shortcomings, it is always easy to put the blame on others, yet our faith tells us that spiritual progress can only come with the acquisition of a humble and contrite heart. As long as we are anxious to put the blame on others for our shortcomings, we will remain stagnant on the spiritual path. The saints give clear witness that progress towards holiness can only come when we look only to our own faults, and not see the faults of others.
It is far more comfortable to see the wickedness of others, for in focusing on them, we can forgo the all important work of changing our own behavior, and allowing the Holy Spirit to transform our own fallen nature. Focusing on the shortcomings of others allows our own self-serving pride to grow stronger, and we remain puffed up, and wallow in unfounded pride.
When we keep our attention focused on our own shortcomings, we keep vigilant until our last day, guarding our soul until the final judgement. When we take our eyes off our own faults, while focusing on our neighbor’s sin, we deprive ourselves of precious time for repentance. Since we do not know the day or hour of our last breath, we must treat every moment as though it were our last.
The Very Rev. Abbot Tryphon is Igumen of All-Merciful Saviour Monastery on Vashon Island, Washington. This and other articles may be found on his website abbottryphon.com
Divine Liturgy Variables
- **The Priest begins Divine Liturgy** with “Blessed is the Kingdom” and the choir responds “Amen.” Bearing the Paschal Candle, the Priest then leads the singing of the Paschal Apolytikion and censes the Altar as follows:
Priest: Christ is risen from the dead, trampling down death by death; and upon those in the tombs bestowing life! *(once)*
Choir: Christ is risen from the dead, trampling down death by death; and upon those in the tombs bestowing life! *(twice)*
- **The First Antiphon**
Shout with joy to God, all the earth; sing to His Name, give glory to His praises. *Refrain:* Through the intercessions of the Theotokos, O Savior, save us.
Say to God: How awesome are Thy works; let all the earth worship Thee, and sing to Thee. Let it sing a song to Thy Name, O Most High. *(Refrain)*
Glory… Both now… *(Refrain)*
- **The Second Antiphon**
May God have mercy upon us, and bless us, and may He cause His face to shine upon us, and have mercy upon us.
Refrain: Save us, O Son of God, Who art risen from the dead; who sing to Thee. Al-lélua.
That Thy way may be known upon earth, Thy salvation among all nations; let the peoples give thanks to Thee, O God, let all the peoples give thanks to Thee. *(Refrain)*
May God bless us, and may all the ends of the earth fear Him. *(Refrain)*
Glory… Both now… O, only begotten Son and Word of God…
- **The Third Antiphon** *(sung during the Little Entrance)*
Let God arise, and let His enemies be scattered, and let those that hate Him flee from before His face.
(Refrain) Christ is risen from the dead, trampling down death by death; and upon those in the tombs bestowing life!
As smoke vanisheth, so let them vanish; as wax melteth before the fire. (Refrain)
So let sinners perish at the presence of God, and let the righteous be glad. (Refrain)
This is the day which the Lord hath made; let us rejoice and be glad therein. (Refrain)
Entrance Hymn of Pascha
In the gathering places bless ye God the Lord, from the springs of Israel. Save us, O Son of God, Who art risen from the dead, who sing to Thee: Alleluia.
• After the Little Entrance, these hymns are sung in the following order
Resurrectional Apolytikion in Tone Four
Having learned the joyful message of the Resurrection from the angel, the women disciples of the Lord cast from them their parental condemnation. And proudly broke the news to the Disciples, saying, Death hath been spoiled; Christ God is risen, granting the world Great Mercy.
Apolytikion for Mid-Pentcost in Tone Eight
In the midst of this Feast, O Savior, give Thou my thirsty soul to drink of the waters of true worship; for Thou didst call out to all, saying: Whosoever is thirsty, let him come to Me and drink. Wherefore, O Christ our God, Fountain of life, glory to Thee.
• The Apolytikion of the patron saint or feast of the temple is not sung.
Kontakion of Pascha in Tone Eight
Though Thou didst descend into the grave, O Immortal One, yet didst Thou destroy the power of Hades, and didst arise as victor, O Christ God, calling to the myrrh-bearing women, Rejoice, and giving peace unto Thine Apostles, O Thou Who dost grant resurrection to the fallen.
The Epistle
How magnified are Thy works, O Lord. In wisdom hast Thou made them all.
Bless the Lord, O my soul.
The Reading from the Acts of the Holy Apostles. (II:19-30)
In those days, when the apostles were scattered because of the tribulation that arose
For the Shut-ins of our Church Community: Gloria Yedlinsky, Lidia Pawlcuk, Basil Dalack, Angie Smith, Zakia Salloum.
Metropolitan Boulos & Archbishop Youhanna, for their release from captivity and safe return.
For the end of hostilities and sufferings, and for peace in the Ukraine.
For those serving in our armed forces here and abroad: Christopher Smith, Jonathan Shortun.
For the Departed
"With the spirits of the righteous made perfect, give rest O Lord to the souls of Thy servants..."
Thomas Eissey (newly departed 5/4/22), Margo Fankhauser (newly departed 5/3/22), Fr. Nicholas Neyman (12/12/21), Sonia AbuHadid (10/3/21), Ruth Bashour (6/28/21).
Last Day of Sunday School
Sunday, May 22nd, is the last day for Sunday School Classes until the end of August. Thank you to all the parents who have faithfully brought their children to classes, as well as the teachers who again this year volunteered to teach.
Summertime Coffee Hour Hosts Needed!
Following the Sunday Divine Liturgy, Coffee Hour is a time for fellowship and to welcome visitors to our church community. Each Sunday, Coffee Hours hosts are needed. To volunteer, Please sign-up at the entrance of the hall, or speak to Jane Pasley or Khouryia Myriam.
Food for Hungry People
Now is the time to return your Food For Hungry People Lenten almsgiving boxes. The boxes may be placed on the table in the Church Narthex. If you did not use FFHP Box during Great Lent and wish to contribute, please see Sam Pasley.
Church Directory Information
The Parish Council is in the process of updating our Church Directory to better minister to our Saint Mary’s Community. If you have not done so already, please take a minute or two to complete a Church Directory Information Form. Forms are on the table in the Church Narthex.
over Stephen, they traveled as far as Phoenicia and Cyprus and Antioch, speaking the word to no one, except to Jews only. But there were some of them, men of Cyprus and Cyrene, who upon coming to Antioch spoke to the Hellenists also, preaching the Lord Jesus. And the hand of the Lord was with them, and a great number that believed turned to the Lord. The report concerning them reached the ears of the church in Jerusalem, and they sent out Barnabas, to go as far out as Antioch. When he came and saw the grace of God, he was glad; and he exhorted them all, that with purpose of heart they should cleave to the Lord; for he was a good man, full of the Holy Spirit and of faith. And a great multitude was added unto the Lord. Then Barnabas went to Tarsus to look for Saul; and when he had found him, he brought him to Antioch. For a whole year, they were gathered together in the church, and they taught a great multitude of people, and the disciples were called Christians first in Antioch. Now in these days prophets came down from Jerusalem to Antioch. And one of them named Agabus stood up and signified by the Spirit that there would be a great famine over the whole world; and this took place in the days of Claudius Caesar. And the disciples, every one according to his ability, determined to send relief to the brethren who dwelt in Judaea; and they did so, sending it to the elders by the hand of Barnabas and Saul.
The Gospel
The Reading from the Holy Gospel according to St. John. [4:5-42]
At that time, Jesus came to a city of Samaria, called Sychar, near the field that Jacob gave to his son Joseph. Jacob's well was there, and so Jesus, wearied as He was with his journey, sat down beside the well. It was about the sixth hour. There came a woman of Samaria to draw water. Jesus said to her, "Give Me a drink." For His Disciples had gone away into the city to buy food. The Samaritan woman said to Him, "How is it that Thou, a Jew, ask a drink of me, a woman of Samaria?" For Jews have no dealings with Samaritans. Jesus answered her, "If you knew the gift of God, and Who it is that is saying to you, 'Give Me a drink,' you would have asked Him, and He would have given you living water." The woman said to Him, "Sir, Thou hast nothing to draw with, and the well is deep; where do you get that living water? Art Thou greater than our father Jacob, who gave us the well, and drank from it himself, and his sons, and his cattle?" Jesus said to her, "Everyone who drinks of this water will thirst again, but whoever drinks of the water that I shall give him will never thirst forever; the water that I shall give him will become in him a spring of water welling up to eternal life." The woman said to Him, "Sir, give me this water,
that I may not thirst, nor come here to draw.” Jesus said to her, “Go, call your husband, and come here.” The woman answered Him, “I have no husband.” Jesus said to her, “You are right in saying, ‘I have no husband;’ for you have had five husbands, and he whom you now have is not your husband; this you said truly.” The woman said to Him, “Sir, I perceive that Thou art a prophet. Our fathers worshiped on this mountain; and Thou sayest that in Jerusalem is the place where men ought to worship.” Jesus said to her, “Woman, believe Me, the hour is coming when neither on this mountain nor in Jerusalem will you worship the Father. You worship what you do not know; we worship what we know, for salvation is from the Jews. But the hour is coming, and now is, when the true worshipers will worship the Father in spirit and truth, for such the Father seeks to worship Him. God is spirit, and those who worship Him must worship in spirit and truth.” The woman said to Him, “I know that Messiah is coming [He Who is called Christ]; when He comes, He will tell us all things.” Jesus said to her, “[I Who speak to you am He.” Just then His Disciples came. They marveled that He was talking with a woman, but none said, “What dost Thou wish?” or, “Why art Thou talking with her?” So the woman left her water jar, and went away into the city, and said to the people, “Come, see a man Who told me all that I ever did. Can this be the Christ?” They went out of the city and were coming to Him. Meanwhile the Disciples besought Him, saying, “Rabbi, eat.” But He said to them, “I have food to eat of which you do not know.” So the Disciples said to one another, “Has anyone brought Him food?” Jesus said to them, “My food is to do the will of Him Who sent Me, and to accomplish His work. Do you not say, ‘There are yet four months, then comes the harvest?’ I tell you, lift up your eyes, and see how the fields are already white for harvest. He who reaps receives wages, and gathers fruit for eternal life, so that sower and reaper may rejoice together. For here the saying holds true, ‘One sows and another reaps.’ I sent you to reap that for which you did not labor; others have labored, and you have entered into their labor.” Many Samaritans from that city believed in Him because of the woman’s testimony, “He said to me all that I ever did.” So when the Samaritans came to Him, they asked Him to stay with them; and He stayed there two days. And many more believed because of His words. They said to the woman, “It is no longer because of your words that we believe, for we have heard for ourselves, and we know that this is indeed the Savior of the world.”
Megalynarion for the Sunday of the Samaritan Woman in Tone One
[Ising instead of “It is truly meet…”]
The angel spake to her that is full of grace, saying, O pure Virgin, rejoice; and I say also, Rejoice; for thy Son is risen from the tomb on the third day.
Rejoice and be glad, O gate of the divine Light; for Jesus Who disappeared in the tomb hath risen with greater radiance than the sun, illuminating all believers, O Lady favored of God.
Communion Hymn
Receive ye the body of Christ; taste ye the Fountain of immortality.
- After Communion, instead of “We have seen the true light,” “Christ is Risen” is sung once.
Memorial (Trisagion) Prayers
Offered at the conclusion of the Divine Liturgy by Fr. Ella & Kh. Odette Shalhoub for the repose of his sister Hooda Shalhoub. +Memory Eternal!
Liturgical Offerings
- Holy Altar Vigil Candle for the week of May 22nd is offered in glory of the Most-Holy Trinity: Father, Son and Holy Spirit.
- Holy Bread offered by Fr. Ella & Kh. Odette Shalhoub for the repose of his sister Hooda Shalhoub.
If you wish to offer Holy Bread or an Altar Vigil Candle, please speak with Fr. Peter.
Coffee Hour
For Sunday, May 22nd, is offered by Fr. Ella & Kh. Odette Shalhoub in memory of his sister Hooda Shalhoub.
There will be no fasting on Wednesdays and Fridays, not only during Bright Week but until the Feast of the Ascension, for the whole forty days. [This was the decision of the Holy Synod of the Church of Antioch in 1997.]
Please Remember In Your Prayers
For the Living
“Is any sick among you? Let him call for the elders of the church, and let them pray over him, anointing him with oil in the name of the Lord.” James 5:14
For the Good Health of the Servants of God: Archpriest Michael & Matushka Annette Zaparyniuk, The Priest John, Michael, Sub-Deacon William Hall, George Friejl, Jodet Rae, Judy Chalhub, Johnny & Joyce Chalhub, Nayla Tacia, Jenna Welch, Shane Brown, Raouf Saballeil.
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How to sell your B2C offering globally via e-commerce.
Original Citation
Shaw, Alan (2016) How to sell your B2C offering globally via e-commerce. In: International Marketing Masterclass, 4th Nov 2016, Leeds, UK. (Unpublished)
This version is available at http://eprints.hud.ac.uk/id/eprint/33731/
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How to sell your B2C offering globally via e-commerce.
The following workshop was delivered by Dr Alan Shaw at the International Marketing Masterclass (Leeds) for the Department of International Trade and the Chartered Institute of Marketing on the 4th November 2016. For more information you can contact Dr Shaw via firstname.lastname@example.org.
Abstract.
With Brexit loaming closer, companies in the UK need to start considering how they can sell their B2C offerings globally via e-commerce. This abstract includes the presentation given to representatives of ‘Small and Medium Enterprises’ (SMEs) located in the Yorkshire and Humberside region who were looking to expand their market.
The main objective was to introduce participants to the different routes available when selling online globally from their business direct to the consumer. It included channels through the internet and mobile networks. The main focus was given to the e-commerce portals (internal and external), affiliate marketing partnerships, mobile networks and social media platforms. It included overcoming the hurdles of being found, language, maintaining the relationship, delivery (Including taxes & customs), payment and returns.
How to Sell your B2C offering globally via e-commerce.
Dr Alan Shaw
Objective
- To introduce you to the different routes available when Selling online globally from your business direct to the consumer.
Selling on the Internet and Mobile Networks.
- E-commerce Platforms (Internal and External).
- Affiliate Marketing.
- Mobile Networks.
- Social Media Platforms.
Hurdles In Selling Across the Globe:
- Being found.
- Language.
- Maintaining the relationship.
- Delivery (Including taxes & customs).
- Payment.
- Returns.
Being found.
- Search Engine Optimisation (SEO).
- Pay Per Clicks (PPC).
- Social Media.
- Affiliate Marketing.
Pay Per Clicks
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Companies can make promotional
Because the demand, so accurate
Search Promotion is based on the spontaneous Internet users search needs, the more accurate the promotion of enterprise information by users.
Affiliate Marketing
Your Website Receives Interested Internet Users
Internet Users Interact with Advertisements
Advertise Your Products and Services
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|
Drought Risk Assessment by Using Drought Hazard and Vulnerability Indexes
Ismail Dabanli\textsuperscript{a,b}
\textsuperscript{a}Istanbul Medipol University, School of Engineering and Natural Sciences, Civil Engineering Department, 34810, Istanbul, Turkey
\textsuperscript{b}Clemson University, Glenn Department of Civil Engineering, Clemson, 29634, SC, USA
Abstract
Drought has multiple impacts on socioeconomic sectors and it is expected to increase in the coming years due to non-stationary nature of climate variability and change. Here, we investigated drought hazard, vulnerability, and risk based on hydro-meteorological and actual socio-economic data for provinces of Turkey. Although, drought vulnerability and risk assessment are essential parts of drought phenomenon, so far, lack of proper integrated drought risk assessment in Turkey (and elsewhere) has led to higher socio-economic impacts. Firstly, the Drought Hazard Index (DHI) is derived based on the probability occurrences of drought using Standardized Precipitation Index (SPI) to facilitate the understanding of drought phenomenon. Secondly, the Drought Vulnerability Index (DVI) is calculated by utilizing four socio-economic indicators to quantify drought impact on society. Finally, the Drought Risk Index (DRI) is obtained by multiplying DHI and DVI for provinces of Turkey to highlight the relative importance of hazard and vulnerability assessment for drought risk management. A set of drought hazard, vulnerability, and composite risk maps were then developed. The outputs of analysis reveal that among 81 administrative provinces in Turkey, 73 provinces are exposed to the low drought risk ($0 < \text{DRI} < 0.25$), 6 provinces to the moderate drought risk ($0.25 < \text{DRI} < 0.50$), and 1 province (Konya) to the high drought risk ($0.50 < \text{DRI} < 0.75$). These maps can assist stakeholders to identify the regions vulnerable to droughts, thus helping in development of mitigation strategies as well as effective water resources management in a consistently drought prone provinces.
Keywords: Drought, SPI, DRI, hazard, risk, vulnerability, Turkey
1. Introduction
Drought can be defined as a recurring climate phenomenon over land characterized by water deficit over a period of months to years. Extreme drought conditions are known to predominantly influence agriculture, environment and health translating into severe socio-economic repercussions (Rahman and Lateh, 2016; Mishra and Singh, 2010; Dai, 2013). Global climate model projections indicated an increase in drought occurrence resulting from either decreased precipitation and/or increased evaporation (Dai, 2011; Trenberth, 2011). In addition to that, the global water demand is set to increase due to rapid population growth as well as globalization (Zhang et al., 2011). Being located in a sensitive climate change hotspot, the Mediterranean region is not immune to these global changes (Diffenbaugh and Giorgi, 2012). Studies have indicated an increase in frequency (Venkataraman et al., 2016) and severity (Gampe et al., 2016) of Mediterranean droughts. In Turkey, the drought occurrence and severity follows similar to Mediterranean patterns. As a result, several studies have evaluated diverse characteristics of droughts specific to Turkey. Some of the major contributions include: quantifying the intensity, severity and duration of droughts by the utilizing various drought indices (Şen, 2015); modeling drought propagation and occurrences to assist in drought planning and mitigation (Tosunoglu and Can, 2016); establishing teleconnections to major climate oscillations by spatio temporal frequency analysis (Dogan et
paleoclimate reconstruction of drought series (Türkeş and Erlat, 2010) and assessing the impact of climate change on drought characteristics (Şen, 2015). These studies have allowed us to advance our understanding on various drought characteristics in Turkey. However, research related to drought risk assessment in a socio-economic context is still in its nascent stage. The assessment of socio-economic vulnerability to drought is extremely essential to plan the future policy actions to reduce the potential for damage (Rajsekhar et al., 2015). In this direction, Sönmez et al., (2005) have estimated that the drought poses significant risk to agriculture in the region of South-eastern Anatolia from a climatological perspective. Whereas, Kahraman and Kaya, (2009) estimated the drought risk on Istanbul dams using several processes based indices and Şen et al., (2012) estimated the drought risk associated with crop productivity for future projections. However, based on our knowledge, the socio-economic impact (risk) of drought for Turkey has not been investigated. Socio economic aspects usually involve factors like population density, agricultural land, access to domestic water, etc. It is expected that a drought in region with high socio-economic value would result in more loss than the others (Mishra and Singh, 2010). Over the past 30 years, Turkey has experienced a tremendous growth in urbanization fueled by its open economic policies and industrialization (World Bank Report, 2015). These changes make the Turkey more vulnerable to droughts. It is therefore necessary to have a comprehensive understanding of drought implications on socio-economic sectors in terms of hazard, vulnerability and risk assessments.
Globally, many studies have emphasized that a suitable way to assess the drought risk is by combining the socio-economic hazard and vulnerability of a region (Jia and Wang, 2016; Pei et al., 2016; Shahid and Behrawan, 2008; Verdon-Kidd and Kiem, 2010; Lin et al., 2011; Rajsekhar et al., 2015). Wisner et al. (1994) defined risk as a product of hazard and vulnerability. In the case of drought too, several studies have used the similar definition to identify drought risk pattern. Although multiple studies evaluated drought risk assessment, only few of them considered incorporating both hazard and vulnerability factors together (Rajsekhar et al., 2015) to investigate the socioeconomic ability of the region to cope with the drought event (Shahid and Behrawan, 2008).
Application of some of the drought studies based on socioeconomic information include, potential drought-related impact by considering environmental and socio-economic factors (Knutson et al., 1998); integration of stakeholder’s information in drought vulnerability assessment (Fontaine and Steinemann 2009); System-based agricultural drought vulnerability assessment (Wilhelmi and Wilhite, 2002) and drought risk assessment framework that incorporates hazard and vulnerability (Shahid and Behrawan, 2008) and later applied by Bin et al., (2011), Kim et al., (2013), and Zhang et al., (2014) by improving upon the weighting scheme. With this background, we developed a framework for drought risk assessment and to identify the most vulnerable regions in Turkey. To achieve this objective, we used rainfall data (250 gauges with data between 1971 and 2010) obtained from State Meteorological Service (TSMS) to calculate Standardized Precipitation Index (SPI). Then drought hazard is calculated by assigning weights and ratings to probability distribution of SPI of a rain gauge station (Kim et al., 2015). Regional vulnerability to droughts is then identified by integrating various socio-economic indicators like population density, irrigated land area and access to municipal water.
2. Study Area and Data
Turkey is an intercontinental (Europe and Asia) country located between 26-45E and 36-42N longitudes and latitudes respectively. We collected homogeneously distributed precipitation data from 250 rain gauges located in 81 administrative provinces on Turkey mainland (Fig. 1). Monthly precipitation data were obtained from Turkish State Meteorological Service (TSMS), (http://www.mgm.gov.tr) between 1971 and 2010. The north of the Turkey can be regarded as rainfall intense regions in comparison to other regions especially in winter and spring seasons. During
summer droughts are prolonged towards south and west side of country. Agricultural sector and urban populations are settled on these regions due to favorable geographical features and climatic conditions. Therefore, strong relationship can be found between droughts and socio-economic impacts in populated provinces.
**Fig. 1** Spatial map showing administrative provinces and selected rain gauges in Turkey (Number of administrative provinces: 81; Number of rain gauges: 250)
The spatial pattern of annual rainfall is presented in Figure 2. It can be observed that annual rainfall increases towards the northeastern Black Sea coast of Turkey and the magnitude varies from 24 cm to 228 cm. The driest regions are located in the middle and southeastern parts of Turkey, whereas the wettest pattern was observed in North-eastern parts with limited spatial extent.
**Fig. 2** Contour plot for annual rainfall from 250 homogeneously distributed gauges in Turkey
The socio-economic data, which includes population density; municipal water supply; agriculture and irrigated land information, were obtained from Turkish Statistical Institute ([http://www.tuik.gov.tr](http://www.tuik.gov.tr)). The percentages distribution of socio-economic data (based on total aggregation) for provinces are illustrated in Figure 3. It can be seen that population density is highly correlated with municipal water usage except few provinces (e.g., Muğla, Antalya, Hatay, and
Diyarbakır). On the other hand, total agricultural land and irrigated land are not strongly correlated for few provinces, for example, although total agricultural land of Ankara is classified in (4-6) % interval, whereas irrigated land is scored within (0-2) %. Similarly, total agricultural lands of several provinces are rather extensive; but irrigated lands are not equally extensive. So, severity of drought hazard in especially non-irrigated land areas could be more hazardous.
### 3. Methodology
The SPI was used as a proxy to quantify drought. Risk assessment of an extreme event can be carried out using Hazard, Vulnerability and Risk (Rajsekhar et al., 2015; Singh, 2013). An overview of these methodologies is discussed here.
#### 3.1. Standardized Precipitation Index (SPI)
The Standardized Precipitation Index (SPI, McKee et al., 1993; Guttman 1999) was used to quantify drought due to its simple procedures and standardization. SPI ensures that drought quantification at any location and on any time scale are consistent. The computational procedure for deriving SPI involves following steps: (a) first an appropriate probability density function (PDF) is fitted to the precipitation aggregated over the time scale of interest, and (b) each PDF is then transformed into a standardized normal probability distribution. The detailed mathematical procedure for calculation of SPI can be found in McKee et al., (1993), Guttman (1999), Mishra and Singh (2010) and Şen (2015). Considering that drought and its socio-economic impact evolve at longer temporal scale (window), we selected SPI-12 to quantify drought hazard, vulnerability and risk. The SPI based drought classification is presented in Table 1.
Table 1. Drought classifications based on SPI.
| Probability (%) | SPI | Drought Category |
|-----------------|----------------------|------------------------|
| 2.30 | SPI≥2.00 | extreme wet |
| 4.40 | 2.00>SPI≥1.50 | very wet |
| 9.20 | 1.50>SPI≥1.00 | moderate wet |
| 68.20 | 1.00>SPI>-1.00 | normal |
| 9.20 | -1.00≥SPI>-1.50 | moderate drought |
| 4.40 | -1.50≥SPI>-2.00 | severe drought |
| 2.30 | -2.00≥SPI | extreme drought |
3.2. Drought Hazard Index (DHI)
In general hazard quantifies the probability of occurrence of a potentially damaging phenomenon. Since hazard represents a probability, it ranges between 0 and 1. Here, it is measured as the product of magnitude and the associated frequency of occurrence of a drought event. Using a weighting system based on the cumulative distribution function (Fig. 4), Weight (W) and rating (R) scores are assigned based on the normal cumulative probability function to drought hazard assessment using severity and occurrence probability. Weight scores are determined by considering the SPI intervals, such that weight = 1 for normal drought (ND), weight = 2 for moderate drought (MD), weight = 3 for severe drought (SD), and weight = 4 for extreme drought (ED). Weights for SPI>0 are equal to zero. Similarly, rating scores are assigned from 1 to 4 in increasing order dividing the interval of cumulative probabilities in each drought range.
The weight and rating scores are assigned based on the intervals which are illustrated Figure 4. Multiplication of weight and rating scores generates Drought Hazard Score (DHS). Then DHS is calculated for each SPI values between 1971 and 2010. The aggregated DHS is obtained by using Equation 1 for 250 rain gauges:
\[(DHS)_i = \sum_{i=1}^{N_{SPI}} W_i x R_i\]
(1)
where \(N_{SPI}\) refers to number of SPI values for selected time interval. After obtaining DHSs for 250 gauges, drought hazard contour map (Fig. 6) is generated by using Kriging methodology. To obtain DHI for provinces, using contour map percentage area A (%) and corresponding DHS are aggregated within province boundary by using Equation 2:
\[(DHI)_i = \sum_{i=1}^{n} A(\%)_i x (DHS)_i\]
(2)
This methodology is more appropriate way in comparison to Thiessen polygon methodology for DHI calculation for provinces. Boundaries of Thiessen polygons are generated sharp lines, however in this methodology, transitions of hazard region boundaries are smooth. Therefore, this approach can generate more realistic hazard scores in province scale.
3.3. Drought Vulnerability Index (DVI)
Vulnerability is a relative measure and it indicates the degree to which a system is susceptible to damage (harm) due to the occurrence of an event (Smit et al., 1999). Vulnerability is closely related to the socioeconomic conditions of a region and a potential indicator to measure maximum loss or harm during the event. Several studies conducted vulnerability assessment related to the effect of climate changes on water resources (Metzger et al., 2005), however they may not adequately reflect drought scenarios especially at the local level and may not be relevant across multiple sectors (Fontaine and Steinemann, 2009). Therefore, the selection of vulnerability indicators varies between sectors and their selection should be directly relevant to the local study context and the particular hazard.
Four socio-economic indicators are selected in this study, which includes, Irrigated Land (IL), Total Agricultural Land (TAL), Population Density (PD) and Municipal Water (MW) for calculating Drought Vulnerability Index (DVI) based on equation 3:
\[DVI = \frac{IL_n + TAL_n + PD_n + MW_n}{4}\]
(3)
Where \(IL_n\), \(TAL_n\), \(PD_n\), and \(MW_n\) are normalized values assigned to irrigated land, total agricultural land, population density, and municipal water, respectively. Each indicator is normalized within own range and common distribution interval is adjusted for all indicators to overcome the different unit effects. Then, the DVI is re-scaled into four classes: Low vulnerability \((0 < DVI < 0.25)\); Moderate \((0.25 < DVI < 0.50)\); High \((0.5 < DVI < 0.75)\) and Very high \((0.75 < DVI < 1.0)\).
3.1. Drought Risk Index (DRI)
Drought risk assessment is investigated by incorporating the hazard and vulnerability assessments. Typically, the Drought Risk Index (DRI) is calculated as multiplication between DHI and DVI. There will be no risk when either of DVI or DHI is 0, however, higher value of either DVI or DHI will result in increased risk from the drought event. Therefore, to quantify drought risk both hazard and vulnerability information is essential. The quantitative assessments of drought risk are vital for coping with drought hazard consequences; therefore, Drought Risk Index is calculated by using a conceptual model presented in Figure 5 using Drought Hazard Index (DHI) and drought Vulnerability Index (DVI).
4. Results and discussion
4.1. Drought hazard assessment
After obtaining DHSs for 250 gauges, drought hazard contour map is generated by using Kriging methodology as seen in Figure 6. Cumulative sum of DHS values between 1971 and 2010 can be directly related to drought hazard. Accordingly, Figure 6 proves consistency with higher drought scores over southern and western parts of Turkey. Because, magnitude of precipitation is lower in southern and western parts of Turkey.
**Fig. 6** Drought hazard assessment contour maps and sample illustration DHS and corresponding areas of Konya for DHI calculation
The cumulative distributions of DHS for rain gauges are fitted by normal CDF as seen in Figure 7. The fitted normal CDF is validated by Kolmogorov-Smirnov test for 95% confidence interval. It is expected that; SPI and DHS distributions should be similar probability distributions. Therefore, this coherence of normal probability distribution makes DHS calculation well directed.
To obtain province scale DHI, contour map percentage area A (%) and corresponding DHS are aggregated within province boundary by using Equation 2. In Figure 6, DHS and corresponding area percentage are presented for Konya which is the largest province of Turkey to illustrate the DHI calculation procedures.
First drought hazard scores (DHS) and drought severity percentages are calculated. Then, DHI is calculated as 1229 (1229=1250x0.79 + 1450x0.05 + 1050x0.16) by using Equation 2 for Konya. The similar calculation procedure is applied for 81 provinces in Turkey. Then, DHI scores are normalized through re-scaling between 0 and 1. Provinces of Turkey are classified based on the DHI into four classes such as “Low” between 0 and 0.25, “Moderate” between 0.25 and 0.50, “High” between 0.5 and 0.75, “Very High” between 0.75 and 1.0. After obtaining four drought hazard classes, drought hazard map is generated as shown in Figure 8. The DHI map shows more severity on south and west provinces of Turkey. Because south and west part of the Turkey’s altitudes are lower with respect to the east and north. This feature makes these provinces warmer due to the sea effects as well.
### 4.2. Drought Vulnerability Assessment
Generally, vulnerability is known as an indicator of sensibility or resilience to cope with the consequences of natural disasters (Wilhelmi and Wilhite, 2002). Several studies investigated the link between climate change impacts on water resources and drought vulnerability (Eakin and Conley, 2002; Metzger et al., 2005; Brooks et al., 2005; Kim et al., 2015), however, the objective assessment of vulnerability often neglects socio-economic variables. Therefore, we incorporated several socio-economic local variables to assess drought vulnerability to fill these kinds of regional assessment gap.
Prolonged drought event has a direct impact on socio-economic sectors, for example, the rate of evapotranspiration increases during drought period leading to depletion in soil moisture which is directly linked to the agricultural activity and food productions. Similarly, the reductions in streamflow and reservoir storage cause agricultural and municipal water supply deficits. Thus, drought is directly associated with municipal and agricultural water shortages which severely affects irrigated agricultural areas, and population. In this paper, depending on the availability of reliable socio-economic data, four indicators are selected, such as Irrigated Land (IL), Total Agricultural Land (TAL), Population Density (PD) and Municipal Water (MW). First, the drought vulnerability is calculated by using four socioeconomic indicators parameters into Equation 3. Then, vulnerability map based on DVI is presented as seen in Figure 9. It was observed that Konya and Şanlıurfa witnessed very high vulnerability because of their extensive agricultural lands, whereas, Istanbul is designated as very high vulnerability because of its population density. Similarly, Adana, Ankara and İzmir are identified as high vulnerability because of their dense population and large agricultural land. Likewise, many interpretations can be extracted from this vulnerability map to understand existing vulnerability circumstances of each province in Turkey. The common feature for moderate vulnerability regions that consist of 15 provinces can be attributed to agriculture and population density. In these 15 provinces, the ratio of Irrigated Land (IL), Total Agricultural Land (TAL), Population Density (PD) and Municipal Water (MW) are calculated as 36%, 26%, 27%, and 29%, respectively. Furthermore, it can be interpreted that northern Turkey’s vulnerability is low due to the relatively lower population and agricultural land. Most of the provinces in northern and eastern side of Turkey are located at higher altitudes with mountainous areas and it may be possible to say that lower vulnerability pattern may be correlated with physical elevation of Turkey.
**Fig. 9** Drought vulnerability map for Turkey based on DVI
### 4.3. Drought Risk Index Assessment
In this paper, the drought risk index (DRI) is generated based on meteorological and socio-economic information by multiplying drought hazard index (DHI) and drought vulnerability index (DVI). The drought risk map is generated based on DRI as presented in Figure 10. Each province is categorized into four groups similar to DHI and DVI class intervals.
**Fig. 10** Drought risk map for Turkey based on DRI
If one of DVI or DHI is equal to “0”, the DRI score becomes “0”, which means there is no drought risk, for example Artvin province as seen in Figure 10. Similarly, if one of DVI or DHI is higher, then the DRI becomes higher. In other words, DVI and DHI make important contributions on DRI assessment. This drought risk assessment method can able to identify as well as compare drought risk among provinces to reduce and mitigate the adverse results of drought hazard. The generated maps for drought hazard, vulnerability, and risk for 81 provinces of Turkey will help to identify spatial distribution of drought risk indicators. Based on the DHI map (Fig. 8), Sinop, Bartın, Bolu, Bilecik, Balıkesir, İzmir, Aydın, Muğla, Burdur, Niğde, Hatay, Mardin, Batman, Elazığ and Tunceli are classified in the highest level of drought hazard. Whereas, depending on the DVI maps in Figure 9, three major provinces (Istanbul, Konya and Şanlıurfa) have very high degree of vulnerability. Hence, considering both the DHI and the DVI, the DRI map (Fig. 10) indicates Konya province poses a highest drought risk in Turkey. Also, Istanbul, Ankara, İzmir, Adana, Şanlıurfa and Aydın have moderate drought risk based on DRI scores. The results of DHI, DVI and DRI are summarized in Table 2 to identify drought risk for provinces of Turkey.
Table 2. DHI, DVI and DRI scores for 81 provinces in Turkey.
| No | Province | Score | DHI Class | Score | DVI Class | Score | DRI Class |
|----|--------------|-------|-----------|-------|-----------|-------|-----------|
| 1 | Adana | 0.59 | HIGH | 0.52 | HIGH | 0.30 | MODERATE |
| 2 | Adıyaman | 0.73 | HIGH | 0.14 | LOW | 0.10 | LOW |
| 3 | Afyonkarahisar | 0.67 | HIGH | 0.21 | LOW | 0.14 | LOW |
| 4 | Ağrı | 0.46 | MODERATE | 0.20 | LOW | 0.09 | LOW |
| 5 | Amasya | 0.34 | MODERATE | 0.13 | LOW | 0.05 | LOW |
| 6 | Ankara | 0.46 | MODERATE | 0.67 | HIGH | 0.31 | MODERATE |
| 7 | Antalya | 0.61 | HIGH | 0.37 | MODERATE | 0.23 | LOW |
| 8 | Artvin | 0.00 | NO | 0.04 | LOW | 0.00 | NO |
| 9 | Aydın | 0.82 | VERY HIGH | 0.33 | MODERATE | 0.27 | MODERATE |
| 10 | Balıkesir | 0.87 | VERY HIGH | 0.25 | MODERATE | 0.22 | LOW |
| 11 | Bilecik | 0.75 | VERY HIGH | 0.04 | LOW | 0.03 | LOW |
| 12 | Bingöl | 0.32 | MODERATE | 0.06 | LOW | 0.02 | LOW |
| 13 | Bitlis | 0.48 | MODERATE | 0.08 | LOW | 0.04 | LOW |
| 14 | Bolu | 0.82 | VERY HIGH | 0.05 | LOW | 0.04 | LOW |
| 15 | Burdur | 0.87 | VERY HIGH | 0.10 | LOW | 0.08 | LOW |
| 16 | Bursa | 0.63 | HIGH | 0.32 | MODERATE | 0.20 | LOW |
| 17 | Canakkale | 0.72 | HIGH | 0.17 | LOW | 0.12 | LOW |
| 18 | Çankırı | 0.63 | HIGH | 0.08 | LOW | 0.05 | LOW |
| 19 | Çorum | 0.34 | MODERATE | 0.20 | LOW | 0.07 | LOW |
| 20 | Denizli | 0.73 | HIGH | 0.30 | MODERATE | 0.22 | LOW |
| 21 | Diyarbakır | 0.39 | MODERATE | 0.29 | MODERATE | 0.11 | LOW |
| 22 | Edirne | 0.65 | HIGH | 0.14 | LOW | 0.09 | LOW |
| 23 | Elazığ | 0.95 | VERY HIGH | 0.14 | LOW | 0.14 | LOW |
| 24 | Erzincan | 0.42 | MODERATE | 0.10 | LOW | 0.04 | LOW |
| 25 | Erzurum | 0.37 | MODERATE | 0.31 | MODERATE | 0.11 | LOW |
| 26 | Eskişehir | 0.57 | HIGH | 0.28 | MODERATE | 0.16 | LOW |
| 27 | Gaziantep | 0.62 | HIGH | 0.28 | MODERATE | 0.18 | LOW |
| 28 | Giresun | 0.26 | MODERATE | 0.07 | LOW | 0.02 | LOW |
| 29 | Gümüşhane | 0.31 | MODERATE | 0.04 | LOW | 0.01 | LOW |
| 30 | Hakkari | 0.27 | MODERATE | 0.05 | LOW | 0.01 | LOW |
| 31 | Hatay | 0.82 | VERY HIGH | 0.30 | MODERATE | 0.25 | LOW |
| 32 | Isparta | 0.47 | MODERATE | 0.12 | LOW | 0.06 | LOW |
| 33 | Mersin | 0.39 | MODERATE | 0.35 | MODERATE | 0.13 | LOW |
| 34 | İstanbul | 0.29 | MODERATE | 0.90 | VERY HIGH | 0.26 | MODERATE |
| 35 | İzmir | 0.91 | VERY HIGH | 0.54 | HIGH | 0.49 | MODERATE |
| 36 | Kars | 0.40 | MODERATE | 0.08 | LOW | 0.03 | LOW |
| 37 | Kastamonu | 0.43 | MODERATE | 0.08 | LOW | 0.04 | LOW |
| 38 | Kayseri | 0.66 | HIGH | 0.27 | MODERATE | 0.18 | LOW |
| 39 | Kırklareli | 0.62 | HIGH | 0.09 | LOW | 0.05 | LOW |
| 40 | Kırşehir | 0.29 | MODERATE | 0.13 | LOW | 0.04 | LOW |
| 41 | Kocaeli | 0.14 | LOW | 0.15 | LOW | 0.02 | LOW |
| 42 | Konya | 0.62 | HIGH | 1.00 | VERY HIGH | 0.62 | HIGH |
| 43 | Kütahya | 0.72 | HIGH | 0.12 | LOW | 0.09 | LOW |
| 44 | Malatya | 0.45 | MODERATE | 0.23 | LOW | 0.10 | LOW |
| 45 | Manisa | 0.66 | HIGH | 0.36 | MODERATE | 0.24 | LOW |
| 46 | Kahramanmaraş| 0.50 | HIGH | 0.36 | MODERATE | 0.18 | LOW |
| 47 | Mardin | 0.76 | VERY HIGH | 0.28 | MODERATE | 0.21 | LOW |
| 48 | Muğla | 0.88 | VERY HIGH | 0.19 | LOW | 0.17 | LOW |
| 49 | Muş | 0.58 | HIGH | 0.13 | LOW | 0.07 | LOW |
| 50 | Nevşehir | 0.44 | MODERATE | 0.14 | LOW | 0.06 | LOW |
| 51 | Niğde | 0.84 | VERY HIGH | 0.15 | LOW | 0.13 | LOW |
| 52 | Ordu | 0.31 | MODERATE | 0.11 | LOW | 0.03 | LOW |
Table 2. Continue.
| Province | DVI | DRI | DHI |
|------------|------|------|------|
| Rize | 0.18 | LOW | 0.03 | LOW |
| Sakarya | 0.47 | MODERATE | 0.15 | LOW |
| Samsun | 0.31 | MODERATE | 0.24 | LOW |
| Siirt | 0.63 | HIGH | 0.06 | LOW |
| Sinop | 0.84 | VERY HIGH | 0.05 | LOW |
| Sivas | 0.50 | MODERATE | 0.26 | MODERATE |
| Tekirdağ | 0.64 | HIGH | 0.14 | LOW |
| Tokat | 0.67 | HIGH | 0.16 | LOW |
| Trabzon | 0.31 | MODERATE | 0.08 | LOW |
| Tunceli | 0.89 | VERY HIGH | 0.04 | LOW |
| Şanlıurfa | 0.61 | HIGH | 0.75 | VERY HIGH |
| Uşak | 0.65 | HIGH | 0.07 | LOW |
| Van | 0.63 | HIGH | 0.26 | MODERATE |
| Yozgat | 0.26 | MODERATE | 0.20 | LOW |
| Zonguldak | 0.42 | MODERATE | 0.05 | LOW |
| Aksaray | 0.53 | HIGH | 0.16 | LOW |
| Bayburt | 0.31 | MODERATE | 0.05 | LOW |
| Karaman | 0.65 | HIGH | 0.14 | LOW |
| Kirikkale | 0.31 | MODERATE | 0.09 | LOW |
| Batman | 0.77 | VERY HIGH | 0.08 | LOW |
| Şırnak | 0.66 | HIGH | 0.07 | LOW |
| Bartın | 1.00 | VERY HIGH | 0.02 | LOW |
| Ardahan | 0.62 | HIGH | 0.02 | LOW |
| Iğdır | 0.65 | HIGH | 0.08 | LOW |
| Yalova | 0.40 | MODERATE | 0.03 | LOW |
| Karabük | 0.65 | HIGH | 0.03 | LOW |
| Kilis | 0.60 | HIGH | 0.04 | LOW |
| Osmaniye | 0.65 | HIGH | 0.11 | LOW |
| Düzce | 0.44 | MODERATE | 0.05 | LOW |
Among 81 provinces of Turkey (with respect to Table 2), 73 provinces are exposed to the low drought risk (0 < DRI < 0.25), 6 provinces to the moderate drought risk (0.25 < DRI < 0.50), 1 province (Konya) to the high drought risk (0.50< DRI < 0.75), and only 1 province (Artvin) to the no drought risk (DRI=0.00). The district of Konya has extensive agricultural and irrigated land which leads it to the high drought vulnerability and risk. Whereas, Arvin has relatively zero DHI which results no drought risk, which may be due to its highest amount of annual rainfall among the provinces. Among the moderate risk scored provinces, Istanbul can be explained by highest population density. However, other provinces in moderate score level (Ankara, Adana, İzmir, Aydın, and Şanlıurfa) can be explained by both agricultural land and population density with respect to low scored provinces.
To the best of our knowledge, previous studies did not assess drought risk based on DVI and DHI for provinces of Turkey. Therefore, this approach can provide meaningful information for improving Turkey’s drought management. High risk provinces can mitigate drought risk through the innovative water resources management. Also, it can be recommended that policy makers should develop appropriate measures to protect existing water supplies in risky provinces.
5. Conclusion
In this paper, spatial drought risk pattern is quantified by incorporating hazard and vulnerability for provinces located in Turkey. The drought hazard index is identified by using SPI weight and rating scores between 1971 and 2010. The
drought vulnerability analysis is conducted using four socio-economic indicators related to water demand and supply. Then, drought risk is assessed by using DHI and DVI for the administrative districts of Turkey. Drought hazard, vulnerability, and risk maps are generated based on DHI, DVI and DRI for investigating spatial variability of droughts. It was observed that 73 cities are exposed to the low drought risk (0 <DRI < 0.25), 6 cities to the moderate drought risk (0.25 <DRI < 0.50), 1 city (Konya) to the high drought risk (0.50< DRI < 0.75), and finally only 1 city (Artvin) to the no drought risk (DRI=0.00). Furthermore, the conceptual drought risk model which depends on actual socio-economic variables can help to minimize drought impacts in Turkey. Overall this information can be used to identify provinces which are most vulnerable to drought as well as an relative assessment between provinces. Additional (i.e., current or future) socio-economic indicators can be further included to generate drought risk maps for scenario analysis as well as to develop strategies to minimize socio-economic impacts.
6. Acknowledgments
This study is supported by The Scientific and Technological Research Council of Turkey (TUBITAK) with grand number 1059B141501044. The corresponding author would like to express his appreciation to TUBITAK for its research support at Clemson University. Also, the authors wish to thank Turkish State Meteorological Service (TSMS) for the supply of long-term monthly mean climatic variables.
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RESILIENCE AND REALITIES OF
Food Insecurity & Poverty in the Okanogan Highlands
Sarah Reaveley, M.S.D.
Ferry County Grant Administrator and WSU Research Assistant
Trevor C Lane, Ed.D.
Washington State University, State Specialist
Food security in a remote, frontier community like Ferry County is critical. To better understand the needs, challenges, and opportunities for community and economic development, WSU Ferry County Extension collaborated with elected officials and community leaders to create a framework for data-driven decisions and strategic planning in both the local and regional economies. The driving factors in this research from town halls, listening sessions, and other community outreach were community resilience, food security, and sustainability. This formal research project was a critical piece in the county formally adopting a Community Economic Development Strategy (CEDS) in 2019.
- Sarah Reaveley (Author and Lead Researcher): Ms. Reaveley holds a Masters in Sustainable Development and Social Innovation as well as Bachelors in Cultural Studies and Communications. Her interests include food systems, health, and regenerative agriculture.
- Trevor C Lane, Ed.D. (Editor): Dr. Lane holds a Doctorate in Organizational Change and Leadership and a Master’s of Science in Education Leadership. His interests include agritourism, small business ecosystems, and entrepreneurialism.
CERTIFICATE OF EXEMPTION - The WSU Human Research Protection Program (HRPP) and the SIT Institutional Review Board (IRB) determined “The Okanogan Highlands: A Case Study on Economic Access, Food Security, and Local Development,” (IRB #17008-002) to be Exempt Research. This study satisfied both criterions for exempt research by determining that all identifiable survey, interview, focus group or educational testing (cognitive, diagnostic, aptitude, achievement) data collected in this study did not reasonably place any of the subjects at risk of liability or socioeconomic damage in the event of a disclosure, release, and/or publication.
This publication was completed using a double blind peer review system.
Introduction
Communities with a vision for the future will always be more successful than communities that just accept the status quo or whatever comes along. Abraham Lincoln once said, “The best way to predict the future is to create it yourself.” Community resilience is important to local economic development and food systems. Community leaders in rural communities rely on case studies, existing models, surveys or evaluations, and evidence or science based best-practices to achieve organizational change leading to resilience in the community. When food is scarce, communities need strategies and action that lead to security. The importance of innovation in agriculture as a mechanism for food system productivity will continue to be driven by public interests and policy shifts. It is also responsible for promoting socially acceptable policies that facilitate small-scale, decentralized markets and encourage a greater dependence on locally available foods (Norberg-Hodge, Merrifield, & Gorelick, 2002). More importantly, ecological anthropology (Orlov, 1983) is the academic lens to view alignment with the local culture, politics, and personalities to achieve stronger small business ecosystems and a robust local food system with added value structures for entrepreneurialism.
Ecological anthropology supports successful economic development because improving a local economy is rarely about one big thing. Rather, it is typically about a series of little steps or efforts working systematically, culturally, and socially in a plan that makes sense. However, it is paramount there continues to be global interests and local implementation strategies to develop sustainable food systems that support area farmers and impacts community resilience and redundancy with food and resources, as well. This study conducted action research alongside a longitudinal community assessment by WSU Ferry County Extension to benefit Ferry County as part of a comprehensive community and economic development strategy (CEDS) for the region known as the Okanogan Highlands.
The observations and formulas in this study provide insight into the importance for rural communities focusing their economic development strategies on localization efforts, while simultaneously understanding the regional intersections of a global food system. The observations and formulas from this study help to ensure the community’s sustained vibrancy or resilience. This study further aids with long-term community resilience in alignment with the local culture (ecological anthropology). This study was informed by programs and services using technology, broadband, storytelling, and placemaking to describe a few of the key activities emanating from this action research. The individual, localized efforts in each small community created a place where new development went from being possible to being actual, while demonstrating the possibility of sustainability. The communities in this study exhibited efforts to reinvent and localize strategies consistent with reshaping a food system with global implications through local production or regionalized planning by fostering smart economic growth and sustainable development.
Sustainable development is often associated with economic and agricultural security. Within the current discourse of sustainable development, both economic decline and food insecurity are attributed to more impoverished communities, often known as food deserts. The current problem with sustainable development is the challenge of improving local food systems and quality of life when exacerbated by food insecurities inherent to a food desert. Sustainability efforts are approached through economic and agricultural diversification and other alternatives, including locally owned small businesses and cooperative enterprises. These types of businesses are essential for both residents and communities in search of a more robust economy and a healthy food system. Essentially, these three counties experienced a significant downturn to their local economy. The research in this study taps into the region’s entrepreneurial foundation with a local culturally appropriate desire to create social or organizational change. This foundation became known as Ferry County Sunrise and it wraps these action research findings into sound business practices leading to a formal strategy adopted by county commissioners and used within the communities across the region.
This action research offers new insights on how area developers can support local entrepreneurs making sustainable improvements across the region by developing their own scalable solutions to food security and improved programs to bolster new business ecosystems. Local participants across the Okanogan Highlands took control over their lives by nurturing local community strengths and problem-solving abilities with community leaders to kickstart, incubate, and mentor the growing social enterprise community taking form across the region. The participation of Ferry County Sunrise in tandem with other leaders in the community guided these current and future development efforts as they are redesigned to attract and maintain new business prospects and community revitalization programs. The effects of globalization have significantly changed the face of many state and national economies. As the demand side of the economy is constantly evolving, so is the need for jobs. The search for work has become increasingly more competitive and exceptionally daunting for a lot of rural residents who have elected to remain in their remote communities. Entrepreneurialism and innovation are essential for the survival of rural these communities.
**Review of the Literature**
The review of the literature focused on local food systems, as well as rural community and economic development. The continuous influx of populations is creating significant social and environmental problems. As major cities begin to buckle due to the demands of a larger population and narrowing infrastructure support (i.e. housing, food, transportation and employment), the real threat to rural communities is food insecurity caused by rapid growth from urban and suburban sprawl. This dynamic is changing with a shift toward urban families returning to their rural communities (Bender and Binet, 2020). The viability of every community hinges on the quality of life it affords its residents. Careful planning is crucial to building resilience in rural communities. The authority for this study emphasizes the importance of entrepreneurs, smart growth techniques, re-localization efforts, and food security when practicing sustainable community and economic development strategies. Smart growth is a way to build both neighborhoods and communities that are economically prosperous, socially equitable, and environmentally sustainable. All of which are necessary to address the insecurity issues that many economically disadvantaged communities face in known federally-designated food deserts. Smart growth takes an approach to development that encourages community engagement, diversifies both housing and transportation options, and creates a mix use of building types and spaces within already existing neighborhoods and communities (What is Smart Growth, n.d.).
Communities are at a pivotal moment for the global food system while faced with a variety of different disruptions, especially as COVID-19 causes more remote work and people returning to rural areas (Bender and Binet, 2020). By 2050, the global population will exceed 9.8 billion people and the demand for food will increase to more than 70% of what is currently being consumed today (Shaping the Future of Food Security and Agriculture, n.d.). There will be a need to make substantial improvements to the global food system in order to feed an extended number of the population both nutritiously and sustainably. This means increasing the global food system’s capacity to not only provide healthy food options and other nourishing agricultural products, but we must also address the need to increase the livelihoods of our farmers and ranchers. It is going to require a significant amount of leadership, coordination, and collaborative action to address the world’s current challenges and prepare for its future uncertainties. While new trends in the geopolitical environment are reshaping national governance and world trade policies, the industrial food and agricultural industry continues to put substantial strains on both local and regional environmental resources.
According to the UN Food and Agriculture Organization (UNFAO), at least 75% of the world's agricultural diversity has been lost over the last century (Norberg-Hodge, Merrifield, & Gorelick, 2002). As a result, collective calls-for-action and large-scale community organizing are on the rise worldwide. If we can align our visions across sectors and industries, and develop new partnerships to help reshape the global food system perhaps we can spur economic growth for a healthy population and a sustainable planet.
The United Nations envisions a world free of hunger by 2030. If it is supported by sustainable agriculture, it is possible to achieve improved nutrition and food security. The UN believes that food insecurities can be reduced and achieved through new business models, proactive policy, and meaningful civic engagement (Sustainable Development Knowledge Platform, n.d.). In addition to modern technology and innovation, there are opportunities to advance food security and food system insight by developing economic opportunities through a market-based and multi-stakeholder approach (Sustainable Development Goals, n.d.). The World Economic Development Forum is also ambitiously working alongside the UN and others to achieve the SDG’s. There are over 600 organizations worldwide that are currently working to strengthen food systems and translate these global-level commitments into action on the ground at the local level (New Vision for Agriculture, n.d.). Along with their strategic recommendations for emerging social and economic inclusion, this network of over 150 transformative action leaders is also advocating world governance to foster collective impact and improve environmental stewardship (Strengthening Global Food Systems, n.d.). As recognition continues to grow among consumers, policy makers, and researchers about the importance of providing safe and locally-sourced food products, it is also vitally important to keep in mind that not only do these decisions determine what food is available, but also how much it costs, how healthy it is, and what its overall impact on the environment and community might be (Richardson, 2009). These decisions also determine whether or not people can participate in their community food system as a livelihood which does have a significant impact on the overall functioning of that food system and the communities within which it serves (Phillips & Wharton, 2016). Now is the time for us to think about how we grow, share, and consume our food.
Recent trends in the global food system and world economy are making social enterprise facilitation more urgent. More women have entered the workforce and are interested in starting their own businesses (Shah, 2015). Others who have been laid off and discarded by the mainstream economy are also looking to launch new businesses in order to supplement their incomes. Meanwhile, younger generations are looking for more control over their working lives through their own entrepreneurial endeavors (Shuman, 2015). The demand side of the economy is also changing. Customers want variety, quality, service, and ethics in who they do business with. These new trends have created new ways of winning market share through niche marketing that is both personalized, labor-intensive, client-centered, and highly localized around cooperative endeavors. According to Ernesto Sirolli (a global advocate against poverty and hunger), every successful business needs to have a great product, a boundless marketing campaign, and strong bookkeeping capabilities. In order to ensure a strong foundation for long-term stability and growth, local economic development strategies need to be driven by local assets and realities, a diverse industry base, equal opportunity commitments, and sustainable business practices (Gonzalez, Kemp, & Rosenthal, 2017). A smart developer then taps into local strengths (including a community’s assets, its people, and the local demand) to nurture both the startup and growth of locally-owned and operated small businesses. This allows them to: 1) maximize cost-effective self-reliance through import substitutions, while also expanding exports from local businesses; and 2) to identify, celebrate, and spread models of triple-bottom-line (i.e. people, planet, and profit) success in local businesses; and 3) tries to accomplish as many of these goals as possible through private investment (Shuman, 2015). If you can grow it, make it, process it, and/or service it locally, then you should be able to buy it locally as well. This is an important strategy to remember when implementing local economic development initiatives.
There is a growing number of small private businesses that are beginning to carry out these important functions of economic development in their local communities. As members of this global platform, these individuals are facilitating local planning and place-making, nurturing local entrepreneurs, helping consumers to buy local, and are also financing some local businesses (Shuman, 2015). This is because locally owned businesses are by far the most significant contributors to community job growth, social equality, and sustainability. For example, when local nonprofits and for-profit businesses collaborate, it opens up new opportunities for innovation, scale, social benefit, and a growing business model (Haber, 2016). If implemented correctly, economic development can be both low-budget and high impact. Local governments can also help businesses overcome critical barriers to success by allocating resources for entrepreneurial and new business support services including: small business development centers, entrepreneur training, market information, networking opportunities, marketing assistance, business incubators, and even some
financing opportunities (Gonzalez, Kemp, & Rosenthal, 2017). There are also some self-financing alternatives or what are called, “pollinator” businesses that can carry the best elements of one local business to another, thereby supporting all local businesses and creating a healthy entrepreneurial ecosystem (Shuman, 2015). It is equally important for locally-elected officials to bring the same amount of commitment and enthusiasm to existing businesses as they do to new business prospects. Locally owned businesses are those with most owners living within the same geographical community where their business is based, usually within a 50-mile radius. These businesses are also often small (usually less than 500 employees) and usually come in the form of either a local corporation, nonprofit, co-op, regional chain, or a small franchise. The uniqueness of “small” area businesses also demonstrates the importance of place for many rural and remote communities.
One of the most compelling observations for rebuilding community food systems is that it requires people to build new relationships. These relationships help to strengthen local economies, conserve local landscapes, create entrepreneurial ecosystems, and enhance food security. True community-based development includes local concerns for the natural environment, social equity (or social justice), and economic development (Miller, 2017). Social justice, as defined as the “equality of outcomes” (i.e. fair and just relations and equitable access to wealth, opportunities, and privileges for individuals within a society), is just one way in which these three concerns can overlap and mutually reinforce one another. The best approach to social justice is a healthy economy rooted in strong local businesses (Shuman, 2015). By definition, social entrepreneurship is about justice, inclusiveness, fairness, saving lives, opportunity, hope, and human development (Lewis, 2017). To develop well, it is going to require a diversity of community players, experts from different fields, and some inevitable but carefully considered compromises. While older generations are looking to reclaim lost memories, meanings, and tastes from previous decades, the younger generations are looking forward with an eye towards food security and nutrition (Ackerman-Leist, 2013). Local food has the ability to connect people to their community, it tells a story, and it adds value to both people and their work. Local food can also play a vital role in place-making, economic development, and creating community narratives that can help to attract more visitors to rural communities and family farms for either educational or entertainment purposes. This is known as agritourism. By supporting both agribusiness and agritourism efforts, these locally-based enterprises can help to strengthen the connection between farmers and consumers through their direct-to-consumer marketing strategies, and in the process improve community well-being and promote economic inclusion. Especially in an era when unemployment is a chronic problem, the self-sustaining nature of a local food system makes it highly desirable. Small farms for example, employ far more people per acre than larger farms. This is largely due to the fact that smaller farms are not as conducive to the use of large-scale equipment. Instead, these small farms use proportionately more human labor to perform regular operations. Therefore, every effort to rebuild resilient communities needs to fit the community in question and its surrounding environment. As such, the viability of every community, regardless of its size or location, hinges on the quality of life it affords its residents. Throughout the U.S., many rural communities are losing its people, businesses, jobs, and vibrancy. However, the re-ruralization of these heartlands is on the rise, but in a lot of communities, it has become a slow and tedious process to gather the momentum necessary to move both residents and communities forward towards a more prosperous future. Those pushing for this kind of progress are rural residents who want a stable economy, small businesses, local schools, and family farms to remain in their local communities. Sustainable community-based economic development starts with education because an educated population is more resilient to a variety of potential future economic changes and challenges (Miller, 2017). When considering rural recovery, a lot of communities already have many of their building blocks in place, including infrastructure, entrepreneurs, and commerce. Rural communities can also build on these assets by supporting their residential entrepreneurial spirit and by reinvigorating their local agricultural sector. A social entrepreneur can be an individual, group, network, organization, or an alliance of organizations that seek sustainable, large-scale change through pattern-breaking ideas in what or how governments, nonprofits, and businesses do to address significant social problems (Haber, 2016). They are change agents and community activists that are schooled in the real world; by the real world, for the real world (Lewis, 2017). For them, passion propels action and as such, the most effective economic development strategy for rural communities is social entrepreneurship and locally-owned and operated small businesses.
The current food system is failing to serve both farmers and consumers. These are two of the most vulnerable actors in the global food system. Current statistics show that U.S. farmers are only earning a small fraction (about 15%) of the profits generated for every food dollar that is spent. This amounts to about 15 to 17 cents per dollar (Phillips & Wharton, 2016); and in the US (alone) more than 19,000 farmers rely solely on their nearby farmers’ markets to sell their produce. One reason for this stems from the numerous levels of diversity inherent in local food systems (i.e. differences in climate, geography, and natural resources). For local farmers who supply nearby markets, there are also strong incentives to diversify their production. By improving the economic welfare of farmers, farm workers, small producers, and shopkeepers, entire local economies benefit. There are also deep social benefits to be had for communities as well. While many farmers want to sell locally, it has been difficult to connect them with local grocers and restaurants who also want to sell locally-sourced farm products. Yet, this is an ideal opportunity for these local independent distributors and retailers to do what is called, a “joint procurement,” or to set up a producer-owned cooperative in order to mutually improve both their market values and sales revenue. It has been shown that local processing and distribution has the potential to both reduce prices for consumers and raise farmer incomes. A local cooperative would also provide neighboring consumers with fresher, healthier food options (Shuman, 2015). Other local food proponents agree that by supporting local farmers, it can help to slow suburban sprawl and reduce the amount of consumer-added carbon footprints. The increased use of cars and congestion by supermarket shoppers is leading to heavy costs for society as a whole; as an example, in the UK it is estimated that the total cost of car use for an out-of-town supermarket – including air pollution, carbon dioxide emissions, noise, and accidents – is almost 25% higher per week than for an equivalent market in the town center (Norberg-Hodge, Merrifield, & Gorelick, 2002). When people choose local farm products over supermarket fares, farmland becomes more economically viable. Supermarket prices are often based more on transportation costs rather than on its product quality assurance. On average imported vegetables travel an estimated 1,300 miles from their place of origin to their final destination.
For local businesses that offer a great value to their customers but lack certain marketing capabilities, the internet can also be a very powerful tool for sharing information, networking, and increasing product sales beyond just a small local consumer base. The key to technology use is to use it in such a way that it balances the equation that accounts for labor, productivity, value of the product, and the lifestyle of the grower (Robinson & Farmer, 2017). An effective marketing strategy has everything to do with how well a community can handle four specific elements of planning and three specific elements of execution. These seven elements include information about the product, the market, the strategy, and the appeal, as well as the message, the graphics, and the media when dealing with direct-to-consumer purchasing and increasing sales revenue (Gonzalez, Kemp, & Rosenthal, 2017).
A solution to this scenario is intensely local but its statewide impact is much greater. Food security exist when all people, at all times, have physical, social, and economic access to sufficient, safe, and nutritious food that meets their dietary needs and food preferences for an active and healthy life. Community food security is then a condition of an economically and environmentally sustainable food system that promotes community self-reliance and social justice (Ackerman-Leist, 2013). Part of rebuilding local food systems and working toward community resiliency is giving people a reason to cherish their roots and consider farming in or near where they live. When the web of economic links among small farmers, processors, retailers, and consumers is strong, both the economy and the sense of interdependence – a characteristics of real community, is strengthened as well (Norberg-Hodge, Merrifield, & Gorelick, 2002). Introducing new sales arrangements could very well help to preserve the integrity of many struggling farmers and ranchers who show interest in increasing their economic viability through the diversification of their farm products. Farming as a traditionally isolated activity is being rewritten with the advent of cooperative enterprises and new forms of agriculture (Richardson, 2009). As a developer, it is important to understand both the popularity and growing momentum behind “buying local” and keeping dollars in local circulation. For farmers, this means capturing a larger share of this trend is crucial for both their growth and longevity. New farmers need to look at their farms like any new business venture, while existing operations need to carefully evaluate how (if) any changes in their current practices might affect their land, labor, capital, resources, and profitability. As area farms transition, there is also profound interest in establishing new aggregation points, cooperative processing, institutional
buying, and food hubs to make local food a more viable source for a greater number of people (Robinson & Farmer, 2017). As food systems are redesigned to enhance food security, steward vital agroecosystems, and continue to build resilient communities, it is paramount that we understand the interrelationships between farmers, distributors, and consumers as they exist in the broader system. It is no surprise then that industry partners would want to continue linking farms and agribusinesses with communities and consumers in order to enable growers to get the best value for their agricultural products. This not only improves access to fresher, healthier locally-grown agricultural commodities, but it also supports new and existing farms and other agri-businesses, thus creating jobs and recirculating capital on a much larger scale. As these food-based enterprises help to strengthen the connections between farmers and consumers, they too, improve community well-being and prosperity through local ownership and sustainable development (Phillips & Wharton, 2016).
Locally-owned and operated businesses are extremely important because they provide communities with employment opportunities, taxes, building revitalization, and inspiration for other potential entrepreneurs. They sponsor local sports teams, community events, and festivals. Local businesses are also better at promoting smart growth, environmental responsibility, charitable giving, and political engagement. These businesses contribute to the overall betterment of communities and are usually the first ones to give whenever there is a public need (Shuman, 2015). Entrepreneurship has been equally vital to the economic survival of many rural workers, households, and the communities within which they reside (Miller, 2017). Entrepreneurship is also associated with reduced poverty rates. These individuals and families provide a great sense of hope for a community which is also evidence that legitimate local success is possible. Thus proving that economic justice and job creation can occur without the need for charitable fundraising appeals, fights in Congress over aid budgets or foundation grant applications (Lewis, 2017).
**Organizational Context and Stakeholder Overview**
Understanding the geography and culture of Washington State is critical to understanding this study at a local level in Eastern Washington. As evidenced in online spirited debates, Washington is arguably among the wealthiest and most socially progressive states in the country. These spirited debates demonstrate that the State is politically, technologically, and culturally divided along the Cascade Mountains in Central Washington. These divisions are important to understanding that even though the state consistently ranks among the best for life expectancy and low unemployment, these findings are not true in Eastern or Central Washington. According to Wikipedia, “The State of Washington is a state in the Pacific Northwest region of the United States. Named for George Washington, the first U.S. president, the state was made out of the western part of the Washington Territory, which was ceded by the British Empire in 1846, in accordance with the Oregon Treaty in the settlement of the Oregon boundary dispute. The state, which is bordered on the west by the Pacific Ocean, Oregon to the south, and Idaho to the east, and the Canadian province of British Columbia to the north, was admitted to the Union as the 42nd state in 1889. Olympia is the state capital; the state’s largest city is Seattle. Washington is often referred to as Washington State to distinguish it from the nation’s capital, Washington, D.C.” Understanding this geographic, economic, and progressive structure is essential to understanding the role of ecological anthropology especially as it impacts the Indian Reservations and economic or social disparities pervading across the Okanogan Highlands. Many argue these disparities are perpetuated by historical development differences of urban living that are negatively impacting small rural communities and local businesses.
There is an entire international agriculture and economic landscape with global scale that is essential to all of Washington. Wikipedia further states the following about the State:
“Washington is the 18th largest state, with an area of 71,362 square miles (184,827 km²), and the 13th most populous state, with more than 7.6 million people. Approximately 60 percent of Washington’s residents live in the Seattle metropolitan area, the
center of transportation, business, and industry along Puget Sound, an inlet of the Pacific Ocean consisting of numerous islands, deep fjords, and bays carved out by glaciers. The remainder of the state consists of deep temperate rainforests in the west; mountain ranges in the west, central, northeast, and far southeast; and a semi-arid basin region in the east, central, and south, given over to intensive agriculture. Washington is the second most populous state on the West Coast and in the Western United States, after California. Washington is a leading lumber producer; its rugged surface is rich in stands of douglas fir; hemlock, ponderosa pine, white pine, spruce, larch, and cedar; Washington is the nation’s largest producer of apples, hops, pears, red raspberries, spearmint oil, and sweet cherries, and ranks high in the production of apricots, asparagus, dry edible peas, grapes, lentils, peppermint oil, and potatoes. Livestock and livestock products make important contributions to total farm revenue, and the commercial fishing of salmon, halibut, and bottom fish makes a significant contribution to the state’s economy. Washington ranks second only to California in wine production.
Manufacturing industries in Washington include aircraft and missiles, shipbuilding, and other transportation equipment, lumber, food processing, metals and metal products, chemicals, and machinery. Washington has more than a thousand dams, including the Grand Coulee Dam, built for a variety of purposes including irrigation, power, flood control, and water storage.
Along with Colorado, Washington was one of the first to legalize medicinal and recreational cannabis, was among the first thirty-six states to legalize same-sex marriage, doing so in 2012, and was one of only four U.S. states to have been providing legal abortions on request before the 1973 Supreme Court decision in Roe v. Wade loosened abortion laws nationwide. Similarly, Washington voters approved a 2008 referendum on legalization of physician-assisted suicide, and is currently one of only five states, along with Oregon, California, Colorado and Vermont, as well as the District of Columbia to have legalized the practice. The state is also one of eight in the country to have criminalized the sale, possession and transfer of bump stocks, with California, Florida, New Jersey, New York, Vermont, Maryland, and Massachusetts also having banned these devices.”
When understanding the economic, political, and cultural shift east of the Cascade Mountains defining the Okanogan Highlands, it is important to know that many historically located residents to the area depend on the exact language of the U.S. Constitution to justify their lifestyle. Meaning, freedom of speech, gun rights, and local control are sources for significant debate and disruption, making policy development and bureaucracy extremely complicated or difficult. Residents are known to embrace liberal notions of freedom and have a free spirit or independent attitude surrounded by a sense of survival resilience indicative of the historical pioneers living in the area with Native Americans. This nostalgic sense of history pervading in these communities attributes to the region’s overall ability for recovery and resilience which are important to progress and economic endurance. There is a clear understanding that in these small communities, organizations and individuals must work together to be more effective and efficient to achieve sustainable results. During times of disaster and other challenges, as evidenced in recent wildfire and flood activity, community leaders like commissioners have said, “Only together, can we coordinate the development of opportunities for economic growth, strong health and public service programs, and a healthy population.” The Okanogan Highlands are known for its local, high quality, nutritious, and sustainably grown farm and ranch products with added value chains and agritourism activities fueling local commerce. According to the USDA, Okanogan, Ferry, and Stevens County combined have over 280 farm operators in the area. These very different farms, ranches, and orchards contribute to a significantly vast agriculturally enriched environment that ensures the distinct value in locally sourced food across the entire region. However, the region is not geographically proportionate to the population density which in turn makes the Okanogan Highlands a federally designated food desert. The USDA defines food deserts as parts of the country that are vapid of fresh fruits, vegetables, and other healthful foods which are usually found in more impoverished communities (USDA Defines Food Deserts, n.d.).
**Community Profile.** The communities that reside within the Okanogan Highlands region are both small and extremely limited in financial resources where barter and trade often prevail leading to the resilience of families historically located in the area.
Due to the high unemployment and increased poverty across the Okanogan Highlands region, access to capital and extra-mural funding is exceptionally challenging for agencies, schools, and businesses. Furthermore, the communities in this region are uniquely isolated from one another due to the mountainous terrain and extreme distances between them. Thus, the communities are often referred to as frontier or remote. In some ways, these types of characteristics add to a disconnected rural living environment. A majority of the towns in this region are unincorporated and set up along major highways, roads, and rivers, resulting in at least two access points (one on each end of town), and most are mainly small residential communities. On average, each of these communities are at least 10 to 20 miles apart and at most, over 60 miles from one another. Almost all of them include some form of a public service or commercial retail outlet such as a gas station, convenient store, or a small grocer. These social and commercial constructs enable residents to buy basic goods; but for all other needs, the main shopping centers remain centrally located within each county, and include Omak, Republic, and Colville. While public transportation in the region is limited and Uber does not exist due to broadband and cell phone tower shortages, a majority of residents do travel a significant amount, outside of their communities to maintain their self-sufficiency and shop for supplies often resulting in processed foods and bulk inventory.
Ferry County is one of the last remaining regions (at least in Washington) that is not only opposed to but completely obstinate towards any new business operations in the area that may be a derivative of any non-local, commercial, or bureaucratically corporate enterprise. Evidence of this practice can be found in Ferry County’s Development Regulations (Ordinance #2008-03) where it clearly states in the general provisions for rural development that the rural lifestyles and economies (or employment in Ferry County) is based predominately on jobs located outside of the urban growth area (i.e. the town of Republic), which means, a majority of these jobs are more resource-based and driven by local agriculture, mining, timber production, recreation, as well as home occupations, small businesses, and other cottage industries that are critical to the overall economic success of Ferry County (Development Regulations, n.d.). Therefore, most businesses and organizations in the region are both small and locally-owned. Thus, making Ferry County a unique environment in that it is one of the most authentic (and last remaining) frontier communities in northeastern Washington. In 1898, the town of Republic saw its first streets, and lots platted. A year later, residents elected to formulate their own government and become a county. Since the early mining days (of the 1900s), its fortunes and fame have shifted with the times as war and peace, depression and “boom” have left their marks (Perry, 2013). Major industries have come and gone, including the decline in both timber sales and mining operations. This type of decline is prevalent in almost all regions that have been traditionally highly dependent on the extraction of natural resources by industries such as timber and mining (Miller, 2017). However, despite the more recent economic decline, the area continues to survive and its residents (though incredibly resilient) reserve the right to preserve the once tough but mainly independent attitude of this frontier community. The goal now is to protect more of the natural environment, focus on community assets, build both social and financial capital, and then begin to address individual community needs by embracing regionalism efforts and greater statewide impact through entrepreneurial ecosystems (including food system work). There is a significant amount of relevance and opportunity here for communities that elect to develop their own local food system and connect it to other neighboring systems (Phillips & Wharton, 2016). In addition to system interconnectivity, there are also significant economic benefits for farmers and ranchers who can demonstrate both local and/or organic crop production, as well as the revival of indigenous crop species for commercial application. Some of these species are already well-known for their economic, ecological, and genetic benefits. Then when combined with other cold-weather vegetation projects, these plant varieties can also play an integral role in the maintenance and restoration of the regions overall environment and food system as it directly correlates to the health and resiliency of agroecosystems statewide. Studies also show that small-scale, diversified agricultural systems have a higher output per unit of land over their large-scale monocultureed counterparts. In the US alone, small farms produce more than ten times as much value per hectare as large farms (Norberg-Hodge, Merrifield, & Gorelick, 2002).
All across the Okanogan Highlands, major industries have come and gone, including the decline in both timber and mining operations. Local agriculture is almost non-existent with alfalfa as the primary crop in a majority of neighboring communities, with
the exception of some small to large home gardens which are also often difficult to assess. Ranching (on the other hand) is one of the only farming enterprises to have survived over the last century and its main commodities now are the simple act of raising livestock and producing its feed, thus the alfalfa production. This gradual transition away from major industries and local agriculture has caused substantial economic decline over time that includes the high unemployment, increased poverty, and food insecurities in the region today. As a region, the Okanogan Highlands has some of the highest unemployment rates in the state (Map of County Unemployment Rates, n.d.); and it ranks the lowest in overall health and nutrition (County Health Rankings, n.d.). According to 2016 data from the USDA, at least 22% of the population (est. 20,360) is living at or below the national poverty level. As for local economics and employment statistics, the average median household income across the region is approximately $40,277 annually, whereas the state average is about $61,062. The average unemployment rate is approximately 9.3% (est. 9,254), whereas the state average is just over 6.1% (SNAP Community Characteristics, n.d.). As for regional health and nutrition, current statistics show that at least 45% of households (est. 41,640) receive Supplemental Nutrition Assistance (SNAP). Yet, only 75% of the population (est. 69,400) is consuming at most, half the number of USDA recommended nutritional servings per day, with the remaining 25% consuming even less or none at all. Nevertheless, 60% of the population (est. 55,520) is either overweight or classified as obese, and at least 60% of the K-12 student population (est. 55,520) qualifies for free or reduced-priced meals (Research Your Community, n.d.). These results are the consequences of poor planning and stagnant development practices. A life lived in poverty is fragile, cheap, dangerous, and unpredictable (Lewis, 2017). Now there is an underlying social problem: unhealthy diets that contribute to a strain on the local health-care system and produce unnecessarily sick residents (Haber, 2016). It is also well known that both poverty and limited economic opportunity impacts people’s ability to access housing, transportation, insurance, and healthy food; all of which have both direct and indirect impacts on their health and their healthcare access. So, it is not far-fetched to believe that community-based economic development can play an important and constructive role in re-growing local economies and food systems.
**Geographic Profile.** The Okanogan Highlands are located in central and northeastern Washington (known as NEWA). The geographic makeup of NEWA and Central Washington include parts of Okanogan, Ferry, and Stevens Counties. This region is home to two First Nations separated and federally recognized on tribal reservations; including the Spokane Tribe, a treaty tribe, and the Colville Confederated Tribe (CCT), which actually consists of 12 Tribes confined to the reservation by executive order. Major industries in this region are extraction based from natural resources and the economic makeup historically includes timber sales, mining operations, and agri-businesses (farms, ranches, and orchards). The Okanogan Highlands are home to two separate national forests including the Okanogan National Forest (which is 2,342 sq. miles) and the Colville National Forest (which is 1,491 sq. miles). As a region, the Okanogan Highlands is approximately 18,000 square miles. It is roughly 90 miles in length (from north to south) and about 200 miles in width (from east to west). To the north, it shares an international border with British Columbia, Canada. To the west (in Okanogan County), the region is situated along the North Cascades and the upper Columbia River Basin. In Ferry County, the Kettle River Mountain Range divides the area into two parts, with elevations ranging between 5,000ft to more than 7,000ft above sea level (WA DNR, n.d.). To the east, the Okanogan Highlands are separated from Stevens County by the Kettle River and the Columbia River (which also runs along its southern border). It is also home to the highest all-season paved road in the state, at approximately 7,200ft. The Stevens County line is approximately 40 miles northwest of Spokane, and the Okanogan County line is well over 200 miles northeast of Seattle, with Ferry County being centrally located between the two. The entire profile means that, due to Indian Reservations and land controlled by the US Forest Service, very little land is easily accessible or available for community and economic development.
Overall, the region is characterized as a hilly to mountainous topography with deep, narrow stream valleys. These valleys at most, have a diameter of approximately 10-miles or less. It is also filled with several different kinds of microclimates. Each of these microclimates has its own varying growth rate, however, most of them usually result in a very brief growing season. The growing season generally lasts between 45 and 120 days (WA DNR, n.d.). Regional vegetation is primarily forestland (over 70%) with a mix
of grassland (16%), shrubland (6%), and riparian (4%). Annual precipitation totals average between 30 to 80 inches, usually in the form of snow in the winter and rain in the late spring.
Food system insecurity. As a result of the geography, the land is very limited in its capacity to serve area residents and new business prospects with feasible crop land and infrastructure support. With more than 70% of the land mass serving as national forest or Indian Reservation, there is little room for unadulterated or uninhibited community or economic development. This inability to develop the economy or agriculture landscape leads to a lack of grocery stores, farmer’s markets, whole food providers, and other healthy food options in what are known as “low access” communities (American Nutrition Association, n.d.). These communities are area towns with at least 500 people (or at least 33% of the census tract’s population) that reside more than a mile (or 10 miles for rural census tracts) from a large grocery store or supermarket. Food deserts also often rely more heavily on local convenient stores and/or mini-marts that unfortunately, also provide a wealth of processed foods that are known to contribute to the nation’s obesity epidemic (USDA Defines Food Deserts, n.d.). Other than work, people tend to go to the grocery store more than any other place in their community, and yet there are entire towns within the Okanogan Highlands that do not have access to a grocery store with fresh produce at all (Pipkin, 2017).
Despite the region’s agricultural abundance, there are definite gaps or disparities in the regional food system that cause food insecurities for a significant amount of the population. At least 11 out of the 25 total census tracts in the region are known low-income, low-access tracts (Research Your Community, n.d.). This equates to approximately 5,500 people that are known to be food insecure based on the current USDA criteria. However, the actual number of individuals and families who are facing food insecurity in the region is much higher when considering the entire landscape of the Okanogan Highlands. The following table is from a 2016 report that aims to demonstrate both food access in the region and its population’s limited access to area supermarkets.
| | Okanogan County | Ferry County | Stevens County | Total |
|------------------------|-----------------|--------------|----------------|-------|
| **Population** | 41,299 | 7,639 | 43,744 | 92,682|
| **Full-Service Supermarkets** | 13 | 2 | 8 | 23 |
| **Limited-Service Stores** | 6 | 2 | 6 | 14 |
| **SNAP Retailers** | 50 | 12 | 38 | 112 |
| **Farmer’s Markets** | 4 | 0 | 4 | 8 |
| **Fast-Food/Take-Out Restaurants** | 19 | 0 | 26 | 45 |
The superiority of food or food access is not based on geography, but it does have a lot to do with intensely localized economic conditions. For instance, food security begins by knowing what is available and how to access it, which contributes to increased self-reliance and community resilience. Community resilience is the sustained ability of a community to utilize its available resources to respond to and recover from adverse situations such as economic decline and food insecurity. Better resilience planning can improve a community’s quality of life and its ability to both attract and maintain its residents and businesses as integral parts of the local economy. Most people simply want a job that provides them with dignity and a livelihood (Haber, 2016). Rural residents are no different, they simply want stable communities, family farms, small businesses, and local schools. In community development, small is good and given the rising interests in local foods, both agribusiness and entrepreneurship are essential components of a healthy food system and a stable economy for the communities within which they serve. For social entrepreneurs, the most important thing for them is progress towards social justice and impact; which serves as their connection to their community (Lewis, 2017).
Impact is important to the local culture and serves as an effective economic development strategy for rural communities to continue to support their local businesses and social entrepreneurs. However, communities need to be methodical in moving forward in their approaches to harvesting the potentials of local food. It is a process of labor, timing, curing, contemplation, and stamina that works with the natural system and its seasons to produce sustainable results. At best, local food connects people to their surroundings, it rebuilds community, and it restores value to both people and their work. It also re-humanizes people’s social life and it reconnects them to the natural environment (Robinson & Farmer, 2017). Thus, proving that it is possible for locally-sourced and produced food to be a significant economic benefactor for communities in need of addressing both economic concerns and food insecurity (Phillips & Wharton, 2016). So, for as long as communities can continue to invest in themselves, they will be better able to both keep and attract the kinds of people who also energize their communities and start new businesses. Therefore, modeling local food and community-based economic development offers a prime opportunity for intentionally designed research for sustainable outcomes. Economic insecurity is known to drive food insecurity that then creates these public health concerns which tend to generate additional economic burdens for both households and communities. As this evidence shows, the significance of this problem (in this area) is heavily influenced by multi-generational poverty, a large area demographic, limited access to public services, and the consequential health concerns that include cancer, heart disease, diabetes, and other cardiovascular disorders (Northeast Washington Trends, n.d.).
**FERRY COUNTY ECONOMIC PERFORMANCE INDICATORS**
| Business by Type | 2015 | 2016 | 2017 |
|------------------|--------|--------|--------|
| All | 406 | 395 | 411 |
| Resident | 60.8% | 63.3% | 65.7% |
| Nonresident | 3.7% | 3.3% | 3.9% |
| Noncommercial | 35.5% | 33.4% | 30.4% |
| Jobs by Stages | | | |
|------------------|--------|--------|--------|
| All | 2.7K | 2.7K | 2.7K |
| Self-Employed | 2.3% | 2.6% | 2.6% |
| One (2 to 9) | 44.0% | 43.5% | 43.9% |
| Two (10 to 99) | 43.7% | 43.9% | 43.5% |
| Three (100 to 499)| 10% | 10% | 10% |
| Four 500 (+) | 0.0% | 0.0% | 0% |
| Jobs Change | | | |
|------------------|--------|--------|--------|
| Gained | 217 | 356 | 166 |
| Lost | 252 | 351 | 169 |
| Net Change | -35 | 5 | -3 |
| Sales/Revenue | | | |
|------------------|--------|--------|--------|
| All | $343M | $334M | $207M |
| Sales per Employee| $127K | $123K | $77K |
| Sales per Business| $843.7K| $844.5K| $502.5K|
It is important to note the strong impact from the evidence pointing to the significant presence of locally owned and operated small businesses and the economic impact to the local economy. In Ferry County, the biggest employers are residential or local businesses followed by noncommercial enterprises with a majority of those being staffed with less than 100 employees. This table also shows the amount of sales and revenue generated by each local business, which is right on the money regarding Shuman’s
(2015) business analysis that proclaimed, if a local business could generate a net value of $840K, it could then generate at least 21 new jobs with annual salaries of at least $40,000. Which if appropriated, would move people out of poverty by providing local workers with annual salary ranges that are well above the national “living wage” standards. Yet, this community remains stagnant and heavily depended on its traditional forms of revenue (i.e. mining and logging) despite those industries unpredictability and uncertain future in this region due to the loss in permitting contracts, human resources (i.e. employees), and exhausted mineral rights and resources. However, from this perspective, the main sources of job creation in this area can be future startups and existing small to medium-sized businesses. In April (2018), Governor Jay Inslee designated all of Ferry County as one of the newest Opportunity Zones in Washington. The aim of this effort is to drive more long-term capital into more rural communities across the state. This program provides tax incentives to investors who elect to fund local businesses and/or other economic activities in more underserved communities (Opportunity Zones, n.d.). As the year progresses, the Treasury Department will provide further guidance on how to set up area Opportunity Funds, local investment vehicles, and how to create a market for this new community asset. Whether it is developing new or expanding small businesses, affordable housing, infrastructure support, clean energy, and/or commercial developments, the Opportunity Zones program is flexible enough to support the diversity of needs and opportunities in rural communities combined with the ability to scale both social and financial capital. What is now known as the NorthStar Opportunity Zone, could very well be the dawning of a new era in economic development and community investment in Ferry County and across the Okanogan Highlands.
Research Design and Methodology
The objectives or purpose of this action research study was to better understand how locally owned small businesses and cooperative enterprises promote, intersect, and support food access and economic opportunities. The study also sought to identify the current needs, challenges, and opportunities that are related or overlapping. Ultimately, this study sought to propose new, more scalable solutions to achieve better food security, economic opportunity like access to capital, and sustainable change through policy and education. Using action research as a community development framework allowed researchers to move quickly and achieve desirable processes, outcomes, and impacts leading to sustainable change. As such, the research methodologies in this study included a community survey, a food systems resource map, an environment scan, and documents analysis. The survey was used to quantify and identify specific community and economic development strategies for local businesses across the region. The food systems resource map combined an interactive mapping platform with data regarding the regional food system using population census tracts. In addition, these tools identified new local food options and other business-related ecosystems, as well as provided insight into emerging opportunities that included much needed technological advancements for many communities across the region.
Farming and small business enterprise, inherent to rural or small suburban communities, is complex work supported by Cooperative Extension services and motivated by constructs that impact farmer thinking and performance, which directly correlates to specific types of expected outcomes. A gap analysis and scientific, systematic approach to understanding the problem of practice in this study is important to solving rural issues which can improve performance with knowledge and motivation among stakeholders and organizations (Clark & Estes, 2008; McEwan & McEwan, 2003, p.21; Merriam & Tisdale, 2016). This economic and food system study was designed to understand local businesses, communities, governments, technologies, and the residents through the geospatial confines known as The Okanogan Highlands. The findings and results were intended to subsequently aid the communities and inform elected officials with implementing the findings. The study was intended to provide affordable solutions for efficiency and scaling expansion, especially as it relates to those who can help promote and support economic access, food security, and sustainable change across the region. Ultimately, the findings identified in the needs, challenges, and opportunities from this study resulted in a formally adopted Community & Economic Development Strategy (CEDS) for Ferry County.
The action research in this study aimed to achieve three goals: a) analyze how small businesses and cooperative enterprises promote and support economic access and food security across the Okanogan Highlands; b) identify the current needs, challenges, and opportunities that are related to economic access and food security; and c) propose new, scalable solutions to achieve better food security, economic access, and sustainable change. A mixed methods approach to data collection included a three-pronged approach using community surveys, geospatial analysis with a food systems resource map, and an environment scan using document analysis. These tools were used to triangulate evidence and analyze how locally-owned small businesses and cooperative enterprises promote and support economic access and food security across the Okanogan Highlands. The conceptual framework guiding the mixed methods approach for studying the needs, challenges, and opportunities were guided by a review of the literature, previous studies, and practical experiences from those working in Cooperative Extension. According to Maxwell (2013), strategically seeing the world qualitatively (e.g. with processes, people, events, or situations) and quantitatively (with variables and constructs) helps connect and demonstrate the linkages with the evidence from a study (p. 29). The author further stated that deeper analysis can reveal how these aspects influence each other. Specifically, the exploratory sequential approach will bring forth the key concepts, factors, and variables to shed light on the presumed causal “relationships among them” (p. 39). In other words, the mixed methods approach will give better clarity to the gaps that exist in knowledge, motivation, and organizational forces impacting the problem of practice, or barriers that preclude small farms from supplemental income found with studying the needs, challenges, and opportunities in the region (Creswell, 2013; Rocco & Plakhotnik, 2009). Since there is a causal and actual relationship between small farm operators, food banks, community members, and Cooperative Extension educators, this relationship was explored in this study to better understand how to improve the economy and food system.
Since the establishment of the Morrill Act of 1867, rural education has been an important aspect in understanding the knowledge, motivation, and organizational influences with Cooperative Extension that makes the relationship with small farm operators, food banks, and community members straightforward. Cooperative Extension has been a trusted and historical primary provider of education, information, resources, research, and the best available science to assist rural communities and farmers, which has helped shape how they think and relate to the world around them (Barbieri, 2013; Dooley, 2010; Eckert & Bell, 2005; Kirschner, Kirschner, & Paas, 2006; Schraw & McGrudden, 2006). The relationship between small farm operators, food banks, community members, and Cooperative Extension emanates from cognitive and social cognitive learning. When looking at the knowledge required to approach businesses or community ventures, Eckert and Bell (2005) found evidence linking Cooperative Extension to small farm operators and revealed that cognitive learning or “mental models” guide how farmers make decisions and think about their business or farm enterprise. Additionally, rural knowledge rooted in mental models illustrated that culture, values, and beliefs further guide decision making and performance outcomes or success (Baker, 2009; Barbieri, 2013; Brodt, Fecenstra, Kozloff, Klonsky, & Tourte, 2006; Burr, Chase, Ramaswamy, & Green, 2012; Di Domenico, & Miller, 2012; Dooley, 2010; Eckert & Bell, 2005; Krathwohl, 2002; Mayer, 2011). Cooperative Extension played a role in these studies or publications and continues to provide service, education, and information that is extremely vital to farm success, rural thinking, and motivation needed to be successful.
Farmer motivation is linked to aspects that Cooperative Extension can influence in rural communities. Specifically, there are three elements that are key to motivation with all small farm operators: 1) There is motivation from a strong need for extra farm revenue and supplemental income, 2) Self-efficacy is key to motivation and success, and 3) Culture, values, and beliefs are prime operatives to motivation (Barbieri, 2013; Brandth & Haugen, 2011; Clark & Estes, 2008; Denler, Wolters, & Benzon, 2006; Dooley, 2010; Eckert, et al., 2005; Hansson, Ferguson & Olofsson, 2012; Pajares, 2009; Rilla, Hardesty, Getz, & George, 2011; Sharpley & Vass, 2005; Sotomayor, Barbieri, Wilhelm, Aguilar, & Smith, 2014). Once it is understood that farmers and rural communities are influenced by and gain knowledge or motivation from Cooperative Extension, the organizational influences become clear.
Maxwell (2013) established the importance of triangulating data through multiple data points in the “collection of evidence or clues” that answer the research questions (p. 101). The methodology implemented for data collection accomplished credibility
and triangulation through diverse and multiple data points that culminated in member checks, reflective memos, and an audit or review of collection processes necessary to create a secure archive for data sources. Ethics were important to protect the identities of farmers and other sensitive information. Maxwell (2013) indicated that observation provides a direct and powerful way to learn about action or behavior and the context in which it occurs. Since Radhakrishna et al. (2012) determined that agriculture support agencies know how to best serve farmers, public observation of farmers in this setting was one way to collect more data in order to triangulate the findings. The observation data was collected and analyzed alongside the documents and semi-structured interviews with farmers, elected officials, and community leaders from the hospital to schools or libraries. Systematic and strategic alignment of documents to interviews followed by data collection through observations were important to structure the methodology for a rigorous analysis. Radhakrishna et al. (2012) found that it was imperative to use systematic processes and sound steps for rigorous research, as this approach ensures thorough research while maintaining the integrity of the relationships between farmers, academic colleagues, and agriculture support agencies. Validity and reliability tend to be distant thoughts in the field of qualitative research. These two concepts do not mesh well from a research lens typically associated with quantitative studies. Instead of focusing on reliability and validity, qualitative researchers substitute data trustworthiness. Trustworthiness consists of the following components: (a) credibility; (b) transferability; (c); dependability; and (d) confirmability. Thus, the terms involved in viable qualitative research are credibility and trustworthiness. Merriam, et al. (2016) stated that systematic rigor of qualitative data collection is the credible bridge to trustworthiness, despite a state of flux and contested terms correlating credibility with validity and reliability. The researcher serves as the data collection tool in qualitative analysis and must be dependable or trustworthy in data collection and analysis. Credibility contributes to a belief in the trustworthiness of the data collected.
Credibility and trustworthiness were achieved through prolonged engagement, persistent observations, triangulation, referential adequacy, and peer debriefing, coding, analysis, and member checks. The process of coding the data within and across categories was rigorously and systematically done through mentorship from Trevor C Lane, Ed.D. Community and Economic Development Director and State Specialist for WSU Ferry County Extension.
The data was organized into groups according to similar attributes, and then put into finer groups, categories, and themes. The credibility and reliability of all rigorous research is rooted in the conceptual framework, data collection, analysis, and the way the findings are presented (Merriam, et al., 2016). Triangulation and member checks are important methods to address these concepts. Essentially, triangulation was achieved by asking the same research questions of the purposive sampled population and by collecting data from different sources. Multiple sources of data collection were used to answer the study’s research questions. Member checks happened when the researcher followed up with participants to evaluate the information, working together to determine whether or not the researcher’s interpretation is consistent with the interview. Trust was an important aspect of the member check process and participants all appreciated the follow up. Member checks ensured that participants knew there was a chance to verify their statements and fill in any gaps and helped with establishing transferability of the findings. When presenting the findings of people and events through qualitative research, the author’s conclusions emanated from organized, systematic or scientific, and rigorous data collection and analysis due to the potential impact to communities and public policy (Merriam, et al., 2016).
Transferability is the generalization of the study findings to other situations and contexts. Transferability is not always considered a viable qualitative research objective. Thus, the contexts of the participants and research in qualitative data collection define the data and frame the interpretation of the data to achieve credibility and trustworthiness. Purposive sampling mandated the contemplation of the characteristics of the participants sampled in as much as those characteristics were directly related to the research questions and aligned with the literature. Through the process of writing memos, the qualitative researcher recorded notes about the emergence of patterns, changes in responses, and other considerations associated with developing themes, groups, and categories essential to refining the data analysis process. Categorical definitions and a code book changed over the course of the study. According to Maxwell (2013) and Merriam, et al. (2016), cross validating and triangulating the evidence gleaned from people
like farmers through observations, interviews, documents, artifacts, recordings and photographs can further strengthen multiple sources of data collection.
**Data Collection**
*Qualtrics* – This Stats iQ technology platform was used to implement the survey and distribute it to the communities. Qualtrics software uses frequency counts and validated algorithms to describe, relate, and create pivot tables to trigger participatory response statistics for each selected question. The functionality of this software allowed the researchers too quickly and efficiently code, summarize, visualize, and analyze the data in order to explore further data mining capabilities, including descriptive statistics, exploratory data analysis (EDA) and confirmatory data analysis (CDA).
*Geographic Information System (GIS)* – Through geospatial analysis in this software, researchers were able to map and layer the food system. The map was designed to capture, store, manipulate, analyze, manage, and present geographical data in a digital format in order to create an interactive, two-dimensional contour map of the region, with specific point measurements (i.e. food system resources) that were then overlaid with other maps (i.e. population census tracts) that also covered the same region. The researcher was then able to analyze and compare those regional food system resources with nearby population census tracts as a mechanism for finding the best geographical location for new business ideas, industry prospects, and other such resources.
*The Community Survey* – This was an online survey about local community and economic development across the Okanogan Highlands. It was 48 questions long. Participation was both voluntary and anonymous. There was no IP logging either. It was supported by Qualtrics Software. An anonymous survey link permitted participant access. The survey took approximately 10 to 15 minutes to complete. The survey results included both qualitative and quantitative data.
*The Food System Resource Map* – This is an online interactive mapping platform. It is supported by Geographic Information System (GIS) Mapping, Google Maps, Google Earth, and Microsoft Excel. It includes data on the regional food system, its resources, and area population census tracts. The information collected is of public knowledge and of Washington State record. The map as 20 total industry layers (i.e. farms, feed stores, grocers, markets, etc.). Each layer is color coordinated and associated with its own pin icon. Under each layer is almost every identifiable industry-related resource in the region. Each of these resources are pinned to the map (with its color-coordinated icon) based on its current location and/or physical address.
*The Environment Scan* – This was a process that systematically surveyed the acquisition and use of regional information on local development strategies, programs, and practices that are used to promote healthy communities. The aim was to understand the scope and involvement of various health centers, community groups, local governments, and public service agencies in the areas of land use planning, built environments, and community-based economic development to determine the impacts that those have on the overall health and well-being of the regional population. The findings are being used to inform future development strategies to positively impact the Okanogan Highlands’ built, natural, social, and economic environments.
*The Documents Analysis* – This was a process that interpreted regional data that had been generated from the examination of several different documents and various public records that were relevant to this research study. These documents included annual reports from a number of different government agencies, including the USDA and the Department of Natural Resources. It also included business directories from each different county, including Okanogan, Ferry, and Stevens. In addition to several other local assessments, including the WSU Mobile Health Needs Assessment; these documents comprised regional health statistics and other economic trends for all of northeastern Washington, with a primary emphasis on the tri-counties (or the Okanogan Highlands Region). Information was also collected from the WSU Farm Database and the Okanogan Highlands 2018 Food
Systems Survey. Other documents included regional food and health coalition meeting minutes, other county health insights, local press releases, and several different state and national resource guides for both community and economic development as well as sustainable agriculture and other topic-related university publications (including food system work in other northern-tier states).
The sample selection included adults over the age of 18 who reside within the Okanogan Highlands (including Okanogan, Ferry, and Stevens Counties) and had both male and female participants. Participant responses came from local business owners, government officials, nonprofit and for-profit entities, farmers and ranchers, as well as other area residents, retirees, and young adults. All research study participants were identified and elicited through the internet, primarily using social media platforms (i.e. Facebook and Twitter) as well as our local community partner websites (i.e. WSU Ferry County Extension and Ferry County Sunrise) to facilitate community participation. An anonymous survey link was posted on each social media site (by county and in a few various local community groups) twice a week to ensure adequate transparency, exposure, and enough public notice to encourage additional community participation. The sample selection was structured this way in order to achieve the most web-driven participation from such a large area demographic and a diverse group of local stakeholders.
The data analysis was performed using both Qualtrics and GIS capabilities. These tools were used to analyze local community and economic development strategies and food insecurities by studying area residents, small business owners, government officials, and other public sector staff—who either elected to participate in the community survey or they operate a food system resource in the region. The results were then coded to create a visual representation of the region in order to exemplify both local community consensus and participatory projections as a regional decision-making mechanism for both current and future community and economic development, including new entrepreneurial ecosystems and regional food system work across the Okanogan Highlands.
What the data analysis techniques revealed in order to guide the literature review and methodology was that mapping through Qualtrics and GIS capabilities has huge potential for spatiotemporal assessments in a local food system. It also has the potential for risk analysis on a regional basis. The proliferation of such freely available data creates new opportunities to both monitor and assess the economic impacts of food system re-localization efforts. By having the ability to combine this kind of data with other localized information, this not only improves information awareness, but it also promotes adaptive decision-making as well. So, by leveraging these tools, this kind of technology will help to modularize future data acquisitions (including analytic models) that can then be customized to fit the contexts of the specific needs of communities. This will help to eliminate any unnecessary duplication of efforts, it will save money, and it will ensure access to higher quality data through real-time data updates that both businesses and communities can use to support their future data-driven changes in both their business practices and their strategic plans.
However, there were some inherent limitations in the research design, which included regional survey fatigue and limited access to both broadband and cellular service in most areas which did limit some community response rates. By using Google and GIS software to map regional resources, it also had its limitations, which created small margins of error based on the researcher’s ability to pin exact locations. This resulted in some local businesses having to be pinned within a small proximity to their exact location. One other final limitation was having the ability to maintain an on-going list of current resources as new operations started-up and others closed during the course of this study, which did exclude some now known entities from being fully represented or included in the research findings. Yet, most of the region’s resources are accounted for now that the project results have been finalized.
**Results and Findings**
For starters, the known (emergent or immediate) economic barriers to food access affecting communities across the Okanogan Highlands are tied to its remote and rural location. However, the overall loss of industries and businesses in the area has created a
devastating impact. The closure of an important gold mine after the loss of a critical lumber mill and railway left a hole in jobs and employment opportunities that is not easy to replace in a historically existing extraction-based community. What the environmental scan and document analysis revealed in order to guide the literature review and methodology was that there is an extraordinary opportunity here to affect real social change (i.e. increased economic access and food security) within a known federally-designated food desert. With this opportunity comes room for improvement, renovation, and revitalization of the region’s resources and its infrastructure. As a low-access community, strong leadership, cross-sector collaborations, cooperative endeavors, and mobile infrastructure will be key to moving this region forward. By taking a community-based approach to local economic development efforts, this will help local developers to re-evaluate the significance and importance of area entrepreneurs and small businesses. As mentioned in the literature review, these individuals are key catalysts to promoting local economic growth, job creation, and community revitalization. Early results did indicate the importance of establishing new food markets and aggregation points, as well as focusing local development efforts on specific main street regeneration programs, and it identified a more integrated approach to increasing local tourism efforts by promoting more of the region’s natural environment (and its resources), its agricultural sector, and its many other (all-season) outdoor recreational activities. The results of this research should also encourage other local communities to be more strategic in their business development and recruitment strategies by having the ability to offer better incentive packages that are uniquely tailored and resource-driven by their own community assets in order to meet the specific needs of new area residents and other possible business prospects.
When the gold mine closed after losing critical infrastructure and other industry, the economy suffered losses negatively impacting not only employment but local timber sales, mining operations, and other agri-business or added value functions that resulted in higher measurable unemployment and underemployment rates, loss of well-paying jobs, increased health risks, and a greater dependence on government assistance or public service programs. As noted by the WSU Medical College, there is little in the way of industry apart from government or medical jobs in this region which means both poverty and economic opportunity (or the lack thereof) tend to significantly impact residential access to specific things like housing, food, transportation, education, healthcare, and insurance (Manriquez, 2018). These social determinants are the economic barriers to food access that are affecting populations and communities across the region. These social determinants can also be directly attributed to the region’s overall negative attitude towards systemic change, economic growth, and renewable industries due to its higher rates of historical trauma and multi-generational poverty. Yet, these social determinants can also be used to effectively determine not only a population’s quality of life and their life longevity but as life-enhancing resources, they too can also be used to improve both health and other economic inequities across region’s as well (Brennan Ramirez, Baker, and Metzler, 2008). Thus, proving that different economic development strategies are going to be needed for different parts of the region. Still, for most area residents, their economic barriers to food access have everything to do with their own economic security (i.e. their ability to access a steady job or have the opportunity to grow within an industry or company). Some of this issue can be attributed to the region’s lack of internet, phone service (particularly cellular), and/or broadband access, especially for the majority of the region’s telework and/or freelance personnel. Without this access, a lot of local entrepreneurs and other cottage industry personnel are heavily reliant on local consumer purchases and their consumer consumption habits. But that purchasing power and consumption level is not enough to fully support these local businesses. So, a majority of them are also having to rely more heavily on local tourism and recreation, but too has its limitations due to the region’s remote location, its seasonality, its limited infrastructure (or built capacity), and its lack of appeal to broader audiences. This lack of appeal not only limits what is possible as far as new ideas for potential businesses and other industry prospects; but it is even furthermore putting the region at risk of enveloping due to the ever-increasing dangers and demands that come with reoccurring natural disasters (i.e. flooding and wildfires) and a constantly evolving predator presence. Both of which continue to threaten the economic viability of this region and the livelihoods of its residents. The challenge in all of this will be finding a way to address these barriers in such a way that it balances the economic equation (i.e. residents + jobs = community). As a community, it can no longer afford to wait or think that someone else might do this for them. The time has come for its local officials and other development specialists to take the initiative to undertake the tasks of community and economic
development in this region. The question is, how do they do it and where do they start. The answer is with a strategic plan and a targeted, systems-based approach to local community and economic development. As a region, it needs to look into new job markets, feasible industry prospects, regional workforce development programs, other community revitalization techniques, and its own local (community) investment networks in order to improve local economic access and food security for both its residents and the local business community.
Secondly, the people and/or organizations who are responsible for addressing these economic concerns and supporting local businesses and other entrepreneurial endeavors across the region are without a doubt, a combination of local county and city government, chambers of commerce, economic development centers or districts, university extension programs, health districts, local tribes, and other job creators. Sustainability will rely on a combination of the municipal and county entities because (on their own) not one single entity has the full capacity to serve the entire region (both adequately and equally). So, a collaborative approach is not only necessary but needed in order to negate counter-productivity and work performed across the region in service silos. As a region, its communities are too remote and rural for the free market to function on its own. Therefore, these same individuals are also responsible for implementing the current “attract and maintain” business development strategy. However, this strategy has not been working to fully develop and support the local businesses in the region’s more economically disadvantaged and smaller communities. This is primarily because up until recently, the economic development in this region had been the sole responsibility of only a few select organizations. Yet, for a number of reasons, those organizations have exhausted their capacities to fully serve the tri-county area and as a result, several local governments, university extension programs, and other neighboring county health and/or hunger coalitions have had to step up in order to fill service gaps, take questions from the public, and facilitate next steps as part of an ongoing regional conversation about how to move these communities, their residents, and local businesses forward.
**Implications and Community Development**
As it turns out, the locally owned small businesses and other cooperative enterprises can promote and support economic access and food security across the Okanogan Highlands by simply creating shared space and sharing their resources. These types of environments provide both businesses and other area entrepreneurs, including local farmers with an immense opportunity to not only build relationships and create new products but increase local sales revenue as well. This increase in local sales revenue is exactly how local businesses can help recirculate local consumer capital, which is also what ultimately drives the local economy too. Another way for these locally owned small businesses and other cooperative enterprises to promote and support economic access and food security across the region is by being what is called a “business incubator.” Business incubators are known as companies that help startups and other new companies or organizations to develop, grow, and succeed by providing them with industry-specific opportunities that include local leadership and guidance, business and management training, financial resources and tools, and some are even providing these individuals with their own office and/or retail space. This kind of space also provides these area entrepreneurs with a place to scale their business model without having to risk significant failure or financial loss. In a small community, these types of businesses are incredibly important because they are integral to providing local entrepreneurs and other area farmers with the opportunity to not only access the local economy but contribute to it as well and in response, that local economy is then what supports their entrepreneurial endeavor as well as the other economic livelihoods of this region. This approach is about cultivating the success of an already established business community and its owners as a mechanism to empower the next generation of local business owners, entrepreneurs, and other area farmers. In this case, the evidence is clear. When faced with adversity, severe economic decline, limited infrastructure, and a smaller consumer base; it makes sense that a lot of our locally-owned small businesses and other cooperative enterprises would already be participating in such a program because it makes room for new businesses and other industries in the area without having to unnecessarily impact the region’s overall (yet limited) built capacity in order to fully support these new entrepreneurial endeavors.
However, some of the more current needs, challenges, and opportunities that are related to these efforts are going to require a more systems-based (or regional) approach in order to affluently promote and support economic access, food security, and local development across the Okanogan Highlands. For starters, without a properly educated workforce, the local economy cannot support itself. As a region, its current approach to doing development actually leaks more money (from the local economy) than it recirculates. The cause of this economic leakage is primarily due to the region’s limited workforce, which as a result, causes much of the region to rely more heavily on other outside workers and/or contractors in order to complete most of their local development work. Yet, the problem with that is that many of these contractors only come here to work, stay for a short period, and then leave when the job is done. Thus, taking a majority of their proceeds with them, rather than recirculating them back into the local economy the same way a local resident would. Therefore, the only way to tip the scale in this example is through education. This region and its communities need more opportunities for education for both its residents and its business owners. For example, for a lot of the local residents who lack the education and/or skills necessary to start a new business, vocation, or trade; this simple provision (alone) would have an immense impact on the local economy by simply equipping local workers and other residents with the knowledge and/or skills necessary for them to be successful in a new occupation or trade. This is also a prime opportunity for the region’s local officials and other development specialists to explore new innovations and technologies across the industries and fields that are already pertinent to this area, which could also help more local businesses and other area entrepreneurs to expand and/or upgrade their social venture or enterprise. More specifically, this action research is talking about agriculture, clean technology, communications infrastructure, forestry, healthcare, and other life sciences or occupational trades that help to support local entrepreneurism and rural health. This not only helps to diversify the local industry base, but it also helps keep local communities more viable as it directly correlates to the region’s overall economic endurance as well. So, in addition to a more diverse industry-base, many local residents would also like to see their local officials prioritize a) increasing local job growth, b) creating a more diverse tax base, c) expanding local healthcare services, and d) providing local entrepreneurs with new business incubators and/or other cooperative work spaces. These (they believe) are the best ways to improve local economics and provide area support for small businesses as they continue to grow and expand across the region. Which also according to this action research, is about to increase substantially over the next five years. Where at least half of the community survey respondents in this study (74 in total) are planning to either start or expand a local business in the next five years. Which for this area is extremely significant and with that kind of growth opportunity, the best ways for our local officials to assist these area entrepreneurs is to help them: a) access capital or startup funds, b) improve broadband access and infrastructure, c) reduce regulations and fees, and d) streamline permitting processes. Given these needs, the challenges are going to be in how this region can effectively and efficiently meet those needs, and still have time to explore other options and possibilities. Yet (even in the last year), there have been significant strides made by several local officials and other development specialists to meet and exceed the needs of these area residents. Some of which are still ongoing as Ferry County continues to establish itself as the new NorthStar Opportunity Zone, which is not only supported by a local (community) investment network, but it also provides tax incentives for investors who want to fund or finance other local development projects and help make accessing capital and/or startup funds a lot easier for our local residents and other area entrepreneurs. As a region, it is also working with Microsoft and a few other government officials as part of a new statewide initiative to increase local broadband access in more underserved and/or under-resourced rural communities, including those across the Okanogan Highlands. This approach is part of an ongoing strategy by Ferry County to continue building its working relationships with both state and federal agencies in order to advocate (on behalf of its residents) for less regulations and more streamlined application (or permitting) processes in order to better support its local businesses community in their future start-up and/or expansion plans across the region.
In addition to these plans, there are a few other local community and economic development initiatives that aim to address both economic access and food security in this known federally designated food desert. These initiatives have become part of a larger opportunity (especially for Ferry County) to reboot, rebrand, and redesign its community and economic development strategy and regional framework to better promote and support its own economic access, food security, and local development. This
is by far, one of the best decisions for Ferry County (and this region) to make because by investing in themselves, they will be better situated to accommodate both future growth and other new development opportunities as more businesses and industries startup and expand across the region. Part of this new re-localization effort by Ferry County is to continue emphasizing both local food and local ownership (or entrepreneurship) as essential components to the regional economy, thus creating greater resilience and better functioning communities by way of its residents, businesses, and other local development efforts. So (in response to that), several local organizations have come together as a sort of collaborative effort to ensure that the local business community has immediate access to the information and/or resources that they might need to not only maintain their current operations but to also empower them to expand their current product and/or service reach into new consumer markets and/or other economic hubs across the region. These resources include access to nearby small business development centers, highly personalized entrepreneurial training and support, local business incubation (where and when necessary), and other possible funding opportunities from one of the region’s own local (community) investment networks. These funding opportunities are designed to help increase local development efforts by specifically addressing the economic barriers for both businesses and area residents, thus also positively impacting their food security status and the local economy as well. Yet, because these two ideals (both economic security and food security) are so inextricably linked, it is also necessary for this region to at least start to consider other possible alternatives to its current business and industry base. For too long, residents have considered this idea to be a negative approach to local development efforts. However, it does not have to be. There are plenty of other alternatives to corporate expansion plans that include the relocations of other small (like-minded) enterprises that could actually help to complement existing resources (in the region) and help to revitalize many of its local communities as well. Therefore (as a region), it needs to be working simultaneously on its current “attract and maintain” business development strategy in order to better promote and support the local business community. When it comes to business recruitment, we (as a region) need to be very strategic in our approach to reaching out to new businesses and other industries that may have the capacity or potential to serve our local communities, even if they continue to serve greater audiences and/or larger consumer markets elsewhere. While further research is still needed to determine who these specific businesses, companies, and/or industries might be; but for starters, we can now compare and contrast the likelihood of local residential buy-in with specific industry areas of interest and from there, determine which of those businesses and/or industries are worth further pursuit. So, as new areas of need are identified, the possibilities for new businesses and other industries across the region is almost endless. There is a lot of potential here and because of that, this is also where the regional food system map could play a major role in helping local officials and other development specialists to prioritize and place these new community assets by being able to virtually align them with other valuable and/or similar resources in the region. As a module, it can also help to improve local workforce development strategies, increase residential access to education and training, and help to streamline local community and economic development plans as they pertain to the regional food system.
**Conclusion**
To summarize, this action research project set out to identify and analyze seven different key components that are related to economic access, food security, and other local development efforts across the Okanogan Highlands. Those seven key components include 1) categorizing the known (emergent or immediate) economic barriers to food access that are affecting populations and communities across the region; then 2) discovering who the people and/or organizations are that are responsible for addressing these economic concerns as well as supporting local businesses and other entrepreneurial endeavors; then 3) determining if their current “attract and maintain” business development strategy is still working to fully develop and support other local businesses in the region’s more economically disadvantaged and smaller communities; and if it is not, then 4) how can the region’s locally-owned small businesses and other cooperative enterprises promote and support local economic access and food security on their own; 5) what are the current needs, challenges, and opportunities that are related to these efforts; 6) are there any current local community and economic development initiatives that aim to address both economic access and food security in this known
federally-designated food desert; and 7) can this action research propose any new, more scalable solutions in order to achieve better food security, economic access, and sustainable change.
So, in order to achieve better food security, economic access, and sustainable change, this action research needed to propose new, more scalable solutions to improve local development efforts, including those within the regional food system. The primary intent behind this organizing principle was to increase domestic production, consumption, nutrition, and access to locally-sourced agricultural products as a mechanism to better serve area farms, ranches, residents, and businesses. People do not simply live here just for its rural character and scenic beauty, they live here because of the quality of life and/or the lifestyle it provides; which includes its primal opportunities for subsistence living, recreation, and all things frontier related – including its agriculture. This action research proved and confirmed the increased need (by several local residents) for more agriculture and natural resource development; including better access to fresher, healthier local foods and other value-added products. This means that there are still some significant opportunities (across the region) to expand local processing and manufacturing efforts in order to meet these new wholesale demands that are stemming directly from the region’s consumers. These consumers are local residents who want to be able to shop at their own local marketplace without having to leave their community in order to access specific consumer goods (including local food products). These local marketplaces are what ultimately supports the regional economy as well and it is growing in size as the population continues to steadily rise across the region. But, in order to fortify and strengthen that economy, Ferry County (specifically) needed to create a strategic plan for its own community and economic development. This is where innovation (and new technologies – including the regional food system map) become a major contributing factor to not only guiding this new economic development strategy, but also helping these local officials and other development specialists to refocus their efforts and prioritize local community revitalization projects by simply using more localized data to drive local community decision-making processes as well as this written strategy. Residents want to see progress and as a result of several new, local community assessments (including this action research), we now have a surveying mechanism in place to derive this kind of participatory data (i.e. community input, buy-in, and/or local participation levels) directly from our residents without having to outsource it to another group or entity. So by having this kind of mechanism in place, it is likely to positively impact and improve both local business and residential access to the regional food system and its resources. As a result of this research, we now have a better understanding of the regional food system (and its economy), so we can begin to develop new market opportunities for our farms, ranches, and other food hub operations, including more agritourism, commercial kitchens, cooperative processing, cold storage units, and new mobile food infrastructure. This information is also likely to help our local businesses and other area farmers to identify more strategic opportunities for expanding their current operations as well as helping to modernize their basic livestock management and/or farming practices. Thus, improving local efficiencies in the regional supply-chain, which should also help us to develop more ergonomic ways to both transport and distribute food system goods and other resources across the region. So, while this renewed interest in both local food and local ownership (i.e. entrepreneurship) is good news, it also means that as the region continues to evolve and adapt to these newer, smaller industry-type prospects, the local workforce will need to opt to do the same; which means, that many of our local communities will need to find a way to make these adaptation processes as seamless as possible. Hence, the need for our local officials and other development specialists to champion the local attitude and change the ways in which this area and its residents think about new development opportunities, community growth, business expansions, and/or other industry alternatives that could also help to better support the region’s economic access and its food security.
In closing, while many small towns across the U.S. continue to look for ways to strengthen their economies, build on their local assets, and provide a better quality of life for their residents. Many of them continue to face significant challenges and struggle financially in order to keep up with new modernization projects even as rapid growth and populations continue to rise along metropolitan edges. Whereas, in many rural communities, the population continues to decline, and the promise of new small family farms and other available working lands is slow to return or able to financially prosper. Here in the Okanogan Highlands, many of our local communities continue to face similar challenges and other economic obstacles, even as the tri-county tries to bring
change and prosperity back to the region. These economic hardships are exceptionally more difficult for the many residents who continue to reside in the region’s more rural and/or remote locations; which has also put them at greater risk for food insecurity due to the lack of resources and/or other food options in those areas. However, it should also be noted that the people in this region have been thriving here for over 100 years; which means, the people (themselves) are already incredibly hearty, self-reliant, and self-sustaining. So in that regard, the essence of frontier-living (i.e. adaption and repurpose) has served them and this community well; despite its loss of industries, severe economic decline, and limited food access. Yet, some communities could actually start to see some significant growth across the region as Ferry County continues to structure its new smart growth development strategies as one of the newest Opportunity Zones in Washington. Remember, these strategies are aimed at helping rural communities to achieve their goals for growth and development while also maintaining their distinctive rural character; which is exactly what the residents here are asking for. They want a community-based approach to increasing local economic access, food security, and community development; which for its local officials and other development specialists, this means focusing their efforts on four main areas including a) improving local infrastructure and broadband access; b) increasing local tourism and recreation; c) expanding local markets as a means to increasing residential access to both healthy and affordable foods; as well as d) finding alternative ways to promote and support the growing population’s health and well-being. So, by taking this kind of approach, not only will this help to eradicate poverty (across the region) but it will also emphasize the livelihoods of area residents as a means (or motivator) for improving and expanding the local job market in order to establish a more virtuous cycle of continuous and inclusive economic growth. Looking ahead, there is a lot of room and flexibility to explore the region’s economic potential and its other community development options. However (as a region), it needs to be very strategic in its approach to promoting and supporting its local business community and its other area entrepreneurs when it comes to implementing its current business recruitment and retention strategy. This strategy needs to be simultaneous, community-based, and locally-focused in order to ensure that certain improvements to the region occur here first prior to expanding our bounds before we have the capacity to do so. This will give us the opportunity to establish a strong foundation for local development in order for us to achieve better food security, economic access, and sustainable change. This foundation will also help to ensure that we have the structural support (i.e. infrastructure, workforce, and communication technologies) in place and in as many of our local communities as possible in order to continue to accommodate the influx of new residents, businesses, and industries across the entire Okanogan Highlands region.
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Washington State University
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Evaluation of Bioagents and Biopesticides against *Colletotrichum lindemuthianum* and its Integrated Management in Common Bean
Bilal Ahmad PADDER, Prem Nath SHARMA, Renu KAPIL, Anju PATHANIA, Om Prakash SHARMA
CSK HP Agricultural University, Palampur-176062 (HP), Molecular Plant Pathology Laboratory, Department of Plant Pathology, India; firstname.lastname@example.org
**Abstract**
Three bioagents (*Trichoderma viride*, *T. harzianum* and *Gliocladium virens*) and five biopesticides (Achook, Neemgold, Wannis, Spictaf and Neemazal) were evaluated under *in vitro* and *in vivo* conditions against *Colletotrichum lindemuthianum*. All the three antagonistic fungi caused significant inhibition of mycelial growth, maximum being with *T. viride* (69.21%) followed by *T. harzianum* (64.20%). Among the biopesticides tested at four concentrations, Wanis applied @ 1000 µl/ml caused maximum inhibition of 82.12 per cent followed by Spictaf (52.85%). *T. viride* and Wanis @ 1000 µl/ml were most effective in reducing the seed borne infection. Integration of bioagents with Bavistin showed that disease can be effectively managed with seed dressing either with Bavistin or biopesticide followed by foliar treatment with fungicide or biopesticide.
**Keywords:** bean anthracnose, biopesticides, disease management
**Introduction**
Bean anthracnose caused by *Colletotrichum lindemuthianum* (Sacc. and Magn.) Bri and Cav. is a cosmopolitan seed borne disease. Infection of a susceptible cultivar in favourable conditions leading to an epidemic may result in 100% yield losses (Araya, 1989; Sharma et al., 1994; Sharma and Sugha, 1995; Somavilla and Prestes, 1999; Fernandez et al., 2000). Despite the availability of management practices like seed and foliar treatment with fungicides, crop rotation, use of certified seed and genetic resistance etc, bean anthracnose is still of regular occurrence in most of the areas. Best strategy to manage disease is planting resistant cultivars, which is most effective, least expensive and easiest for farmers to adopt. However, high pathogenic variability present in the pathogen population (Pastor-Corrales et al., 1995; Sharma et al., 1999; Mahuku and Riascos, 2004; Sharma et al., 2007; Padder et al., 2007) renders their use ineffective due to continuous breakdown of the resistance mainly in recommended cultivars with good agronomic and marketability traits (Sharma et al., 1994; Kumar et al., 1997).
In present day agriculture, farmers use integrated crop production strategies involving various inputs, practices and means of managing biotic and abiotic stresses. However, uses of chemicals dominate all other inputs, thus leads to degradation of the environment, development of fungicidal resistance along with their harmful effect on human beings and beneficial organisms. Bavistin being highly effective against the anthracnose is mostly used both for seed treatment and foliar sprays in high rainfall conditions which could create problem of fungicidal resistance in the pathogen in due course of time, it is important to find out an alternative to avoid this risk. So, use of non chemical ecofriendly means of control i.e. biocontrol and biopesticides have emerged as a viable alternative under such conditions (Singh, 2006). The presence of naturally occurring microorganisms with antifungal property has been well recognized and documented, but very few of them have been studied extensively in case of bean anthracnose. These bioagents have been tested against an array of *Colletotrichum* species infecting many commercially important crop plants (Singh, 1985; Silva and Pascholati, 1992). Hence in the present study, biocontrol agents, biopesticides along with fungicide (Bavistin) were evaluated under *in vitro* conditions and their integration was studied under *in vivo* to evolve an effective management strategy.
**Materials and methods**
*In vitro evaluation of bioagents and biopesticides*
Antagonistic activity of bioagents viz., *Trichoderma viride*, *T. harzianum* and *Gliocladium virens* against bean anthracnose pathogen was tested (local strains) on PDA using dual culture technique (Huang and Hau, 1976). Inhibition of pathogen by bioagent over control was calculated by using the formula as described by Vincent (1947).
Five biopesticides viz., Neemgold, Achook EC, Wanis, Neemazal and Spictaf along with Bavistin 50WP as a standard check were evaluated under *in vitro* conditions at 4 different concentrations (250 ppm, 500 ppm, 750 ppm and 1000 ppm) using poison food technique. All the bioagents and a few biopesticides (Neemgold, Wanis and Spictaf) were evaluated at two different concentrations (750 and 1000 ppm) against seed borne infection of anthracnose.
under pot culture conditions. Naturally infected seeds of common bean variety Jawala were dressed with spore mass slurry. The treated seeds were sown in iron trays filled with sterilized sand and incubated in growth chamber at 22 ± 1°C with 12 hour photoperiod with 90 per cent relative humidity for 48 hrs. Each treatment was replicated thrice. Seeds without treatment served as control. Efficacy of three biopesticides was tested at two different concentrations (750 ppm and 1000 ppm) against seed borne infection of bean anthracnose. Anthracnose affected seeds of Jawala variety were dipped in different concentrations of biopesticides for 5 minutes and sown in the trays having sterilized sand. The trays were incubated at 22 ± 1°C in growth chamber (Saver Biotech) and the humidity was maintained above 90 per cent using humidifier. All the treatments were replicated thrice and seed treatment with Bavistin was kept as check. Data on disease severity and Incidence was recorded.
Integrated management of bean anthracnose
In field experiments, most effective biocontrol agent (*T. viride*) and biopesticide (Wanis @ 1000 ppm) were integrated with fungicide Bavistin and resistant cultivar Baspa, which possess high field resistance, was used as check. Field trials were laid at Mountain Agricultural Research and Extension Centre (MAREC) Sangla (Kinnaur) and in farmer’s field at Ghiyaghi (Kullu) hotspots of bean anthracnose for consecutively 2 years. Seeds of highly susceptible local cultivars commonly grown by the farmers in Sangla and Ghiyaghi areas were used for experimentation purpose with a view to get maximum disease. Naturally infected seed was used for both the field trials. Two sprays of fungicide (Bavistin @ 0.1%) and biopesticide (Wanis @ 1%) were given at 45 and 60 days after sowing, respectively. Both the field trials were laid in Completely Randomized Block Design with three replications for each treatment. Size of plot at MAREC, Sangla was 2 X 2 m² while the size of plot at Ghiyaghi was 2 X 5 m². Ten plants per treatment per replication were randomly selected for recording the data on disease severity and disease index following the formula of Mickwney (1923).
Results
Antagonistic activity of three bioagents (*Trichoderma viride*, *T. harzianum* and *Gliocladium virens*) and five neem based biopesticides (Achook, Neemazal, Neemgold, Spictaf and Wanis) against *C. lindemuthianum* in dual culture and poisoned food technique is presented in Fig 1 and 2. All the three antagonistic fungi caused significant inhibition of mycelial growth ranging from 57.45 to 69.21 per cent. Maximum inhibition of mycelial growth was obtained with *T. viride* (69.21%) followed by *T. harzianum* (64.20%) though both were statistically at par with each other. Effect of biopesticides on mycelial growth of *C. lindemuthianum* revealed (Fig. 2) that almost all biopesticides inhibited the mycelial growth over control, however, Wanis applied @ 1000 µl/ml caused maximum inhibition of 82.12 per cent followed by Spictaf (52.85%) which was statistically at par with Achook (51.22%) and Neemazal (50.40%). Neemgold at 1000 µl/ml was least effective. At 750 µl/ml concentration. Wanis, Spictaf and Neemazal caused 43.04 to 53.98% inhibition of mycelial growth. However, Bavistin used as a check was most effective over all biopesticides in controlling the growth of the pathogen.
Antagonistic activity of three bioagents viz., *T. viride*, *T. harzianum* and *G. virens* on seed borne infection of *C. lindemuthianum* tested under pot culture revealed that seed treatment with biocontrol agent had significant effect on seed borne infection as compared to check. Seeds treated with *T. viride* showed only 9.87 per cent seed borne infection as compared to 49.56 per cent in control causing 80.08 per cent reduction, followed by *T. harzianum* and *G. virens* which caused 74.88 and 68.34 per cent reduction though both were statistically at par with each other (Tab. 1). Three biopesticides viz., Neemgold, Spictaf and Wanis applied at 750 and 1000 µl/ml concentration also showed similar effects on seed borne infection (Tab. 2). However, bavistin used as check caused maximum reduction of 88.91 per cent. Wanis applied @ 750 µl/ml and 1000 µl/ml showed maximum 74.65 and 81.95 per cent reduction in seed borne infection followed by Spictaf (57.32 and 64.15%). Most effective bioagent and botanical found effective under *in vitro* conditions were used to develop an integrated disease management module against bean anthracnose using *T. viride*, Wanis @ 1000 µl/ml and Bavistin as seed treatment and foliar sprays. It is evident from the tab. 3 that majority of treatments used either alone or in combination caused significant reduction in disease incidence as well as terminal severity at both the locations. However, seed treatment alone was not as ef-
Fig. 2. Effect of biopesticides on mycelial growth of *C. lindemuthianum*
Tab. 1. Effect of bioagents on seed borne infection of *C. lindemuthianum* *
| Bioagents | % seed borne infection | % inhibition |
|--------------------|------------------------|--------------|
| *Trichoderma viride* | 9.87 (18.31) | 80.08 |
| *T. harzianum* | 12.45 (20.66) | 74.88 |
| *Gliocladium virens* | 15.69 (23.33) | 68.34 |
| Control | 49.56 (44.47) | - |
| C.D (p = 0.05%) | 2.64 | |
* Average of three replications; Figures in parentheses are arc sine transformed values
Tab. 2. Effect of biopesticides on seed borne infection of *C. lindemuthianum* *
| Treatment | % seed borne infection | % inhibition |
|-----------------|------------------------|--------------|
| | 750 µl/ml | 1000 µl/ml | 750 µl/ml | 1000 µl/ml |
| Neemgold | 27.42 (31.56) | 24.54 (29.68) | 48.02 | 51.22 |
| Spictaf | 22.56 (28.34) | 18.91 (25.72) | 57.32 | 64.15 |
| Wānis | 13.37 (21.44) | 9.52 (17.95) | 74.65 | 81.95 |
| Bavistin | 5.85 (13.99) | 5.85 (13.96) | 88.91 | 88.91 |
| Control | 52.75 (46.57) | 52.75 (46.57) | | |
| CD= (p = 0.05%) | 2.19 | 2.22 | | |
* Average of three replications; Figures in parentheses are arc sine transformed values
Tab. 3. Integrated management of bean anthracnose under field conditions
| Treatments | Location I | Location II |
|-------------------------------------------------|------------|-------------|
| | % Disease incidence | % Disease severity** | Yield/pot (q/ha)* | % Disease incidence | % Disease severity | Yield/pot (Kg)* |
| Seed treatment with bioagent<sup>a</sup> | 63.10 (52.59) | 33.30 (35.24) | 1.27 | 25.64 (30.42) | 17.47 (24.71) | 4.68 |
| Seed treatment with biopesticide<sup>b</sup> | 59.70 (50.60) | 32.07 (34.49) | 1.38 | 24.97 (29.98) | 16.21 (23.74) | 4.77 |
| Seed treatment with fungicide<sup>c</sup> | 60.71 (51.18) | 32.85 (34.97) | 1.26 | 21.22 (27.43) | 14.14 (22.05) | 4.83 |
| Seed treatment with bioagent + spray with biopesticide | 45.11 (42.36) | 26.19 (30.78) | 1.30 | 16.63 (24.07) | 9.31 (17.76) | 4.94 |
| Seed treatment with bioagent + spray with fungicide | 43.37 (41.19) | 23.11 (28.73) | 1.43 | 14.06 (22.02) | 9.07 (17.52) | 5.25 |
| Seed treatment with biopesticide + spray with fungicide | 40.23 (39.36) | 20.72 (27.08) | 1.79 | 12.09 (20.35) | 7.86 (16.28) | 5.10 |
| Seed treatment and spray with fungicide | 39.33 (38.84) | 18.84 (25.72) | 1.83 | 10.45 (18.86) | 7.77 (16.18) | 5.13 |
| Control | 82.45 (65.23) | 47.59 (43.62) | 0.73 | 63.47 (44.29) | 34.73 (28.89) | 2.98 |
| Check (Baspal) | 0.00 (0.85) | 0.00 (0.85) | 2.74 | 0.00 (0.85) | 0.00 (0.85) | 5.45 |
| CD = (p = 0.05%) | 2.91 | 0.44 | 3.73 | 2.47 | 0.56 | |
* Average of three replications; a = *T. viride*; b = Wānis; c = Bavistin; ** Disease severity on pods; Figures in parenthesis are arc sine Transformed values
fective as combination of seed treatment along with foliar sprays. Minimum disease incidence and severity of 39.33 and 18.84 per cent was recorded in plots when Bavistin was used both for seed treatment and foliar sprays. However, it was statistically at par with biopesticide seed treatment and foliar sprays with fungicide (40.23 and 20.72%). Cultivar Baspa which possesses high field resistance did not show any infection. There was significant effect of disease on yield per plot.
Field trial conducted in Ghiyaghi (location II) area showed almost similar trend of disease (Tab. 3). However, incidence and severity values were significantly low as compared to Sangla. Minimum incidence (10.45%) and severity (7.77%) was recorded in seeds treated with Bavistin and followed by sprays of fungicide which was statistically at par with seed treatment with biopesticide followed by spray with Bavistin (12.09 and 7.86%). Seed treatment alone with biocontrol agent, biopesticide and fungicide showed high incidence and severity ranging from 21.22 to 25.64 and 14.14 to 17.47 per cent, which were statistically at par with each other. The maximum yield per plot was recorded in Baspa check (5.45 Kg) which was at par with the plots having seed treatment with biocontrol agent, biopesticide or fungicide followed by foliar spray either with Bavistin or biopesticide.
**Discussion**
Excessive use of chemicals in plant disease management has resulted in number of problems related to fungicide resistance, damage to non target flora and fauna and other useful organisms along with hazardous effects of residue on environment have become the main concern of scientists at present (Singh, 2006). Bean anthracnose a cosmopolitan seed borne disease can effectively be controlled if the healthy or treated seed is used for planting. Hence, in the present investigation biocontrol and biopesticide approaches were evaluated along with fungicide/chemical to evolve ecofriendly module for its management. In the present investigation all the three biocontrol agents viz., *T. harzianum*, *T. viride* and *G. virens* significantly inhibited the mycelial growth and seed borne infection of *C. lindemuthianum*. Antagonism with *Trichoderma* species against an array of phytopathogens has been reported by many workers (Dennis and Webster, 1971; Mortuza, 1997; Kumar and Satyavir, 1998; Kaur et al., 2006). Most of them have been reported to produce volatile and non-volatile compounds that inhibit the growth of fungal phytopathogens. Besides, production of various antibiotics along with large number of volatile secondary metabolites plays an important key role in biocontrol (Vey et al., 2001). The capacity shown by these bioagents to overgrow colonies of *C. lindemuthianum* and coil around its hyphae suggests hyphal interaction mechanism. Hyperparasitism along with the production of secondary metabolites and antibiotics might have attributed in inhibition of mycelial growth and seed borne infection, as the *Trichoderma* species either added to the soil or applied as seed treatment, grow rapidly along with the developing root system of the treated plant (Harman, 2000; Howell et al., 2000; Adebanjo and Bankole, 2004).
Among various biopesticides (Neengold, Neemazal, Wanis, Achook and Spicaf’) Wanis applied @ 1000 µl/ml inhibited the mycelial growth and seed borne infection significantly over control. Similar effects of *Azadirachta indica* extracts have also been observed by Amadioha and Obi (1998) against *C. lindemuthianum*. Similarly spraying of *Ocimum sanctum* and citrus lemon extracts reduced the bean anthracnose infection under glass house conditions (Amadioha, 1999). Wanis containing monoterpenes as active ingredient might have attributed for the control of pathogen whereas other biopesticides contain Azadarictin as active molecule reported to possess antifungal properties against many plant pathogenic fungi.
Results of integrated disease management experiments including use of fungicide, biocontrol agent, biopesticide and resistant variety revealed that seed treatment and spray with fungicide (Bavistin) was most effective in reducing the incidence and severity of the disease followed by seed treatment with biopesticide (Wanis) and spray with fungicide. Hegde et al. (2001) evaluated biocontrol agent *P. fluorescens* along with fungicides under green house conditions against chilli and observed that *P. fluorescens* significantly decreased the seedling mortality in chilli which was at par with Captan. Joshi and Tripathi (2002) investigated the cultural, biological and chemical methods of management to control *C. capsici* on urd bean and reported that *T. harzianum* and *G. virens* effectively controlled the anthracnose disease under field conditions. Esfahani and Bak (2004) reported that seed treatment of potato with *T. harzianum* not only reduced the black dot disease incited by *C. coccodes* but also increased various plant growth factors including the yield. In this study seed treatment with biocontrol agent was not effective which could be due to least rhizosphere colonization as the bioagent to be effective must colonize rhizospere beyond 2cm depth from the seed for proliferate or to a concentration that exceeds the initial population coated on the seed (Ahmad and Baker, 1987; Harman, 2000; Howell, 2003). In the present investigation an attempt was made to devise integrated disease management with the aim to reduce fungicide resistance in the pathogen. However, for development of such a module large number of *Trichoderma* species are to be isolated from the rhizosphere of beans and their screening along with the exploitation of phylloplane microorganisms.
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Continuous monitoring of the flooding dynamics in the albufera wetland (Spain) by landsat-8 and sentinel-2 datasets
Original
Continuous monitoring of the flooding dynamics in the albufera wetland (Spain) by landsat-8 and sentinel-2 datasets / Cavallo, C.; Papa, M. N.; Gargiulo, M.; Palau-Salvador, G.; Vezza, P.; Ruello, G.. - In: REMOTE SENSING. - ISSN 2072-4292. - ELETTRONICO. - 13:17(2021), p. 3525. [10.3390/rs13173525]
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DOI:10.3390/rs13173525
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Continuous Monitoring of the Flooding Dynamics in the Albufera Wetland (Spain) by Landsat-8 and Sentinel-2 Datasets
Carmela Cavallo 1,*, Maria Nicolina Papa 1, Massimiliano Gargiulo 2, Guillermo Palau-Salvador 3, Paolo Vezza 4 and Giuseppe Ruello 2
1 Department of Civil Engineering, University of Salerno, 84084 Fisciano (SA), Italy; firstname.lastname@example.org
2 Department of Information Technology and Electrical Engineering, University of Napoli “Federico II”, 80125 Napoli, Italy; email@example.com (M.G.); firstname.lastname@example.org (G.R.)
3 INGENIO CSIC-UPV, Universitat Politècnica de Valencia, 46022 Valencia, Spain; email@example.com
4 Department of Environment, Land and Infrastructure Engineering, Polytechnic University of Torino, 10129 Torino, Italy; firstname.lastname@example.org
* Correspondence: email@example.com
Abstract: Satellite data are very useful for the continuous monitoring of ever-changing environments, such as wetlands. In this study, we investigated the use of multispectral imagery to monitor the winter evolution of land cover in the Albufera wetland (Spain), using Landsat-8 and Sentinel-2 datasets. With multispectral data, the frequency of observation is limited by the possible presence of clouds. To overcome this problem, the data acquired by the two missions, Landsat-8 and Sentinel-2, were jointly used, thus roughly halving the revisit time. The varied types of land cover were grouped into four classes: (1) open water, (2) mosaic of water, mud and vegetation, (3) bare soil and (4) vegetated soil. The automatic classification of the four classes was obtained through a rule-based method that combined the NDWI, MNDWI and NDVI indices. Point information, provided by geo-located ground pictures, was spatially extended with the help of a very high-resolution image (GeoEye-1). In this way, surfaces with known land cover were obtained and used for the validation of the classification method. The overall accuracy was found to be 0.96 and 0.98 for Landsat-8 and Sentinel-2, respectively. The consistency evaluation between Landsat-8 and Sentinel-2 was performed in six days, in which acquisitions by both missions were available. The observed dynamics of the land cover were highly variable in space. For example, the presence of the open water condition lasted for around 60–80 days in the areas closest to the Albufera lake and progressively decreased towards the boundaries of the park. The study demonstrates the feasibility of using moderate-resolution multispectral images to monitor land cover changes in wetland environments.
Keywords: wetland monitoring; flooding; satellite data; multispectral images; Landsat-8; Sentinel-2
1. Introduction
Wetlands, natural or man-made, permanent or temporary, provide essential ecosystem services all over the Earth. They contribute to improving water quality, protecting shorelines, recharging groundwater, reducing flood and drought severity and providing unique habitats for many plants and animals [1]. The role of wetlands in maintaining the biodiversity of aquatic ecosystems has motivated several international environmental protection initiatives, such as the Ramsar Convention [2]. Despite their recognized importance, wetlands are among the most threatened ecosystems in the world. Indeed, more than 50% of the world’s wetlands have been converted or lost in the last century [3]. They were either completely converted to other land uses or their ecological functionality was gradually altered by changing the hydrologic regime and introducing farming and agriculture [4]. In the Mediterranean region, approximately 80–90% of natural wetlands have disappeared and 23% of the remaining wetlands have been artificially managed as rice fields, salt pans or water storage for irrigation purposes [5]. Many studies have
speculated about the ecological value of artificial wetlands as surrogate habitats for many species of aquatic invertebrates and birds [6–10]. Rice fields, currently accounting for 15% of the world’s wetlands [11], are one of the essential artificial habitats for the conservation of many aquatic species [12]. Aquatic habitat availability for many species depends on several factors, including the duration and extent of flooding [13], the water depth [14], the sediment content [15], the water quality [3,16–18] and the presence of aquatic and terrestrial vegetation [18,19]. Wetland management practices that shorten the duration of flooding periods may significantly reduce the ecological value of rice fields and cause the decline of many aquatic species [11,20]. The conservation of biodiversity in artificial wetlands and rice fields requires proper duration, frequency and seasonality of flooding. Many studies have shown how the winter flooding of rice fields contributes to increase habitat availability for birds [12,21,22].
Satellite-based remote sensing (RS) provides cost-effective products to monitor the extent and duration of flooding in natural and man-made wetlands [23]. Indeed, the Ramsar Convention encouraged the development and implementation of remote sensing applications for wetland monitoring [24]. A significant advantage of satellite remote sensing, compared to conventional mapping, is the possibility of monitoring wide areas with high spatial, temporal and spectral resolutions. Moreover, some satellite archives are distributed at no cost for the users and provide time series longer than 30 years.
Multispectral sensors acquire data with high spectral resolution in the visible and infrared range and this makes them suitable for identifying different types of land cover, such as water, vegetation and bare soil (see, e.g., [24–26]). Their main drawback is the inability to observe the Earth’s surface in the presence of clouds; consequently, long periods without observation may occur in areas with frequent precipitation. Among freely distributed multispectral datasets, Landsat-8, provided by the joint efforts of the United States Geological Survey (USGS) and the National Aeronautics and Space Administration (NASA), and Sentinel-2, provided by the European Space Agency (ESA), are frequently employed. These datasets have high spatial resolution (starting from 10 m for some bands) and a short revisit time (up to 5 days in recent years) even if the effective time interval between two subsequent observations of the scene can be longer in the presence of clouds. Nevertheless, the joint use of the two datasets can decrease the effective revisit time. Mandanici and Bitelli [27] showed that corresponding bands in Landsat-8 and Sentinel-2 are positively correlated. However, the impact of radiometric differences, between the images acquired by the two sensors, needs careful evaluation for each specific application. The combination of images provided by different sensors can be performed by combining the data, the indexes or the information retrieved separately from each set [28,29].
The practical exploitation of the high number of archive multi-temporal images depends on the possibility of automatic classification. Many methods are available in the literature, mostly exploiting the peculiar reflectivity spectrum of wetlands. Amani et al. [30] developed an extensive analysis of Sentinel-2, Landsat-8 and other multispectral datasets, investigating the capability to distinguish soil, water and vegetation by exploiting their spectral signatures. They found that the red, red-edge (RE) and near-infrared (NIR) bands are the most appropriate for wetland classification, while the SWIR bands exhibited intermediate separability and were helpful in specific cases (e.g., for discriminating the shallow water class). In particular, the reflectance of the SWIR band decreases as the moisture content increases, allowing dry soils to be distinguished from wet soils. However, moist soils and soils covered by shallow water provide similar reflectance in the SWIR band and cannot be separated. The different spectral responses have been frequently exploited to define multispectral indices. For example, Davranche et al. [31] combined various multispectral indices in a classification tree, in order to monitor the Camargue wetland by multispectral SPOT-5 images (10 m spatial resolution). Pernollet et al. [12] used the Modified Normalized Difference Water Index (MNDWI), extracted from the Landsat dataset, to map open water areas in five study regions. Li et al. [32] used multispectral indices with
ALI and Landsat data (30 m spatial resolution), while Li et al. [33] used MODIS data (250 m spatial resolution).
Supervised classification algorithms were also used by many authors (e.g., [24,25]). Forkuor et al. [34] used random forest and support vector machine algorithms and showed the potentialities of multi-sensor approaches. Dronova et al. [35] performed change detection using object-based analysis for the mapping of four wetland land cover classes (water, vegetation, sand and mud flood), by using multispectral data from the Beijing-1 microsatellite sensor, with a resolution of 30–40 m. However, the use of supervised classification methods is limited in practical application because they need a large amount of training data. A comprehensive review of remote sensing data and methods for wetland classification was provided by Mahdavi et al. [36].
Despite many advances in RS technology, wetland land cover classification is still an unresolved problem due to the difficulties linked to their extreme heterogeneity and frequent time changes. Ozesmi and Bauer [23] pointed out that, in the case of wetlands, satellite image classification is challenging due to fluctuating water levels, which change the spectral reflectance of vegetation, and the presence of floating masses of periphyton. Indeed, the classification of flooded areas is particularly challenging, especially when the water depth is shallow, water turbidity is high and there is emergent or submerged vegetation and a continuous succession of small emerged and submerged patches.
The main objective of this work is to develop a simple method for monitoring the wetland land cover and the temporal succession of flooding and drying. We jointly used two freely distributed datasets: Landsat-8 and Sentinel-2. In order to reduce the complexity of the processing and improve the accessibility of the information outside the circle of remote sensing experts, we chose to merge the information separately extracted from each homogeneous set of data. We developed a simple method, based on three multispectral indices, to classify open water, shallow turbid water, patches of submerged and emerged areas, vegetation and bare soil. An automatic, rule-based classification method was used to discriminate four land cover classes and monitor the evolution and duration of flooding. A specific procedure was implemented to combine the land cover maps obtained autonomously from the two datasets so as to produce winter flooding duration maps.
We calibrated and validated the classification method in the Albufera wetland, located in the western area of the Mediterranean Sea, in the Iberian Peninsula. Previous research on the satellite remote sensing of Albufera wetland had objectives other than the one presented here, such as water quality estimation [37–40]. The Albufera wetland can be used as an example of a natural wetland that was transformed into an artificially managed one over the years. It has an extensive area of approximately 220 km$^2$, which is now mostly dedicated to rice cultivation [40]. Despite its transformation, Albufera was designated on 5 December 1989 as a “Wetland of International Importance” under the Ramsar Convention, because, during the winter flooding, it offers habitats for migratory birds. This work is part of a larger research project that aims to understand the relation between the dynamics of the flooding, its duration, extension and spatial continuity and the availability of habitats in the Albufera wetland.
2. Study Case
The Albufera is a Mediterranean coastal wetland located 10 km south of the city of Valencia in Spain (Figure 1). This wetland covers an area of 210 km$^2$; it includes the Albufera lake, with a surface of approximately 24 km$^2$, and rice fields with an area of around 150 km$^2$.
Figure 1. Overview of the Albufera wetland (© Google 2020) and outline of the rice fields with lower (*Tancats*) and higher elevation (highlands). The points represent the locations of field surveys performed on 5 February 2020 and 14 February 2020.
The Albufera wetland was declared Natural Park in 1986 and was included in the Ramsar Convention on “Wetlands of International Importance” in 1989. It is also part of the Natura 2000 network as a Special Protection Area for Birds (SPA) under the Birds Directive 2009/147/EC (site code ES0000471), and a Site of Community Importance (SCI) under Habitats Directive 92/43/EEC (site code ES0000023). The SCI site hosts, in total, 115 species, referred to in Article 4 of the Birds Directive and listed in Annex II of the Habitats Directive. Among them, 64 winter and 35 reproduce in the wetland. Among protected fish species, there are the Spanish Cyprinodont, classified as endangered, and the Valencia Toothcarp, classified as critically endangered. The endangered plants Marsilea and Marsilea Quadrifolia are also present.
From a geological point of view, the site is located in a sedimentary basin of Holocene origin that includes the coastal plain of the province of Valencia. The climate is Mediterranean, with mild winters and warm to hot summers. The average annual precipitation is less than 460 mm, with a maximum in October and a minimum in July.
The Albufera lake is the largest freshwater body on the Iberian Peninsula; it is fed by irrigation channels, storm water streams and urban and industrial wastewater treatment plants. The Albufera lake is connected to the Mediterranean Sea through two natural channels and one artificial channel called “golas”, where sluice gates control the freshwater outflow towards the sea and regulate the water level of the lake. The wetland flooding is managed in two different ways (see Figure 1). The rice fields close to the lake correspond to the traditional area previously occupied by the lake. Earth dikes and pumping stations were introduced to regulate the water level in these lowlands, which are locally called “*Tancats*”. The highlands, further away from the lake and at higher elevation, are flooded from the Turia and Xuquer Rivers. In addition to these water sources, since 1990, the
northern part of the wetland has been irrigated with the outlet of the wastewater treatment plant of Pinedo, located at the northern boundary of the natural park.
Water levels and the extension of the flooding area are regulated by different irrigation communities according to the needs of rice cultivation. There are two flooding periods, in winter and in summer. The summer flooding usually starts in May and ends in mid-September, when the farmers dry up the fields for harvesting. The duration of summer flooding is determined by the rice cultivation technique. Winter flooding starts around the end of October and lasts until the beginning of March. The purposes of winter flooding are to provide habitats for water-related animals and to support recreational activities such as hunting [40]. The winter flooding is economically supported by the European Agricultural Fund for Rural Development (EAFRD). In winter periods, the Tancats are completely flooded with the water level at the top of the dikes and the rice fields are hydraulically connected to each other. Parts of the highlands are also flooded but the water depth may be of the order of a few centimeters only. Given the unpredictability of the duration of winter flooding and its importance for maintaining biodiversity, in this work, we focused specifically on the monitoring of the winter period.
3. Material
We used a set of cloudless Landsat-8 (L8) and Sentinel-2 (S2) images to map land cover classes. In addition, we employed very high-resolution images (VHR) of the GeoEye-1 and WorldView-4 satellites and field data to validate the results obtained from the L8 and S2 images.
3.1. Landsat-8 Dataset
The Landsat mission provides an archive of Earth’s observations by multiple satellites launched in orbit at different times since 1972. Landsat data are provided for free by the joint efforts of the USGS and NASA. The data, acquired from 2013 to 2020 by the Operation Land Imager (OLI) sensor of the L8 satellite, were downloaded from the USGS web portal (https://earthexplorer.usgs.gov/, accessed on 30 August 2021). The OLI sensor acquires 9 spectral bands (see Table 1), in the visual (VIS, 1-2-3-4 bands), near-infrared (NIR, 5 band) and short-wave infrared (SWIR, 6-7-9 bands). The temporal resolution is around 9 days and the spatial resolution is 30 m, except for the panchromatic band, which has a spatial resolution of 15 m [41]. The surface reflectance of L8 products (Level-2 data products) is generated by the Earth Resources Observation and Science (EROS) center. The on-demand interface EROS Science Processing Architecture (ESPA) corrects satellite images for atmospheric effects through the Land Surface Reflectance Code [42]. In this work, 81 cloud-free images, acquired from 2013 to 2020, from September to April, were used.
Table 1. Spectral coverage of the employed satellite data.
| Bands [µm] | Sentinel-2 | Landsat-8 | GeoEye-1 | WorldView-4 |
|------------|------------|-----------|----------|-------------|
| VIS | 0.46–0.52 | 0.45–0.51 | 0.53–0.59| 0.45–0.51 |
| | 0.54–0.58 | 0.64–0.67 | | 0.52–0.58 |
| | 0.65–0.68 | | | 0.65–0.69 |
| | 0.698–0.712| | | |
| RED-EDGE | 0.733–0.747| | | |
| | 0.773–0.793| | | |
| NIR | 0.784–0.9 | 0.85–0.88 | 0.78–0.92| 0.78–0.92 |
| | 0.855–0.875| | | |
| SWIR | 1.565–1.655| 1.57–1.67 | | |
| | 2.1–2.28 | 2.11–2.29 | | |
| TIR | | 10.6–11.2 | | |
| | | 11.5–12.5 | | |
| PAN | | 0.500–0.680| 0.450–0.90| 0.450–0.800|
3.2. Sentinel-2 Dataset
The Copernicus S2 mission has provided multispectral images of the Earth’s surface since 2015. The free and open access to Sentinel missions’ data is guaranteed by the European Commission (EC) and the ESA. The data products were downloaded from the Copernicus Open Access Hub (https://scihub.copernicus.eu/dhus/#/, last accessed on 30 August 2021). The S2 mission comprises a constellation of two polar-orbiting satellites placed in the same orbit. The first satellite, Sentinel-2A, launched in 2015; it provides images with a revisit time of approximately 10 days. Since the launch of the second satellite, Sentinel-2B, in 2017, the overall revisit time has become around 5 days. Both satellites are equipped with an opto-electronic Multi Spectral Instrument (MSI) that acquires thirteen spectral bands (see Table 1) in the VIS (1-2-3-4 bands), RED-EDGE (5-6-7), NIR (8-8a bands) and SWIR (9-10-11-12 bands). The spatial resolution is 10 m for the 2, 3, 4 and 8 bands; 60 m for the 1, 9 and 10 bands and 20 m for the other bands. S2 collection delivers Top-of-Atmosphere (TOA) reflectance (level-1C) products for data acquired before 2017 and Bottom-of-Atmosphere (BOA) reflectance images (level-2A) for data acquired after 2017 [41]. Therefore, it is necessary to correct the atmospheric effects on the S2 Level 1C images acquired before 2017. The Sen2Cor tool, developed by ESA and Telespazio VEGA Deutschland GmbH, was used for this purpose. In addition, we adopted a bilinear interpolation algorithm, implemented in the Sentinel Application Platform (SNAP) tool, to resample at 10 m all the spectral bands that were originally acquired with lower resolutions. In this work, 69 cloud-free images, acquired from 2015 to 2020, from September to April, were used.
3.3. Very High-Resolution Images
Thanks to their very high spatial resolution, WorldView-4 (WV-4) and GeoEye-1 (GE-1) satellite images can be used as a reference condition to validate the classification tool. These images were provided by the European Space Agency (ESA) in the framework of the ESA third-party mission (© TPMO 2019). The WV-4 and GE-1 satellites were launched in 2016 and 2008, respectively. The WV-4 acquires five spectral bands covering the blue, green, red (VIS) and NIR bands at a resolution of 1.24 m and panchromatic images at a resolution of 0.31 m. GE-1 acquires VIS and NIR bands at 2 m and panchromatic images at 0.5 m. For both WV-4 and GE-1, pan-sharpened images, with a spatial resolution of 50 cm, were used. Details of all bands provided by all the considered missions are given in Table 1.
3.4. Field Data
Field data were also used as ground truths to validate the land cover classification. Geo-located pictures of the area of interest were acquired in various conditions: dry, flooded, with and without vegetation. On 5 February 2020, the photos were taken in correspondence to 18 points located in different parts of the Albufera wetland (see Figure 1). In this survey, the acquisition points were preferentially fixed in correspondence to the Tanca ts, where, at the time of acquisition, the area was mostly covered by water. On 14 February 2020, 38 geo-located pictures were taken in the north-west of the Albufera at the boundary between the Tanca ts and the highlands. This area is characterized by a variety of land cover patches. The survey was purposely scheduled on the same day of the WV-4 acquisition and within a few days of the L8 and S2 acquisitions. A set of the acquired pictures, showing the most common land cover types in the winter period, is provided in Section 4.1.
4. Methods
In this work, we jointly used the information acquired by L8 and S2 data in order to reduce the revisit time and consequently improve the temporal continuity of monitoring. The multidisciplinary nature of the project required simple, automatic and robust processing, easily employable also for non-expert users. Given the above-defined goal and constraints, we used a method based on the integration of information retrieved separately from L8 and S2 processing. This choice avoided the implementation of cross-calibration algorithms that
could be challenging in the technical applications. The results and the compatibility of the information retrieved by the heterogeneous data were verified by checking the coherence of the land classification obtained by the two datasets (details are reported in Section 4.3).
4.1. Rule-Based Classification of Land Cover Classes
Different types of surfaces, such as water, vegetation, bare soil and urbanized areas, have different reflectivity spectra [43]. The spectrum of water depends on its chemical and physical characteristics. Indeed, the clear water reflectance spectrum peaks in the green wavelength band (0.50–0.56 μm) and decreases against increasing wavelengths, reaching a reflectance close to zero in the near-infrared (NIR) region (0.75–1.4 μm). The turbid water reflectance spectrum exhibits higher values than clear water in the near-infrared region and approaches zero at longer wavelengths [44]. This is due to the concentration of solutes, sediments and organic matter, whose presence reinforces the reflection in the near-infrared band. The above-described patterns are displayed in Figure 2. Typically, the water of wetlands, lakes and rivers contains solid particles and appears not clear. In the case of shallow water, the turbidity of the surface layer can be particularly high. Furthermore, in the case of shallow transparent water, the spectral signature can be influenced by the reflectance of the bed.
**Figure 2.** Spectral reflectance of clear and turbid water compared to L8 and S2 acquired bands.
The differences in spectral signatures are typically exploited for the automatic classification of land cover, defining appropriate multispectral indices. For instance, the widely used Normalized Difference Water Index (NDWI) [45] is defined as:
\[
\text{NDWI} = \frac{\rho_{green} - \rho_{NIR}}{\rho_{green} + \rho_{NIR}}
\]
(1)
where \( \rho_{green} \) and \( \rho_{NIR} \) are the reflectivity in the green and NIR bands. It can be argued from the spectra presented in Figure 2 that areas covered with clean water will be characterized by positive values of NDWI. On the contrary, it is expected that the surfaces covered by turbid waters will manifest almost null values of NDWI. In contrast, both clean and turbid water will be characterized by positive values of MNDWI [46], which uses the short-wavelength infrared \( \rho_{SWIR\_1} \) (SWIR) (1.4–3 μm) in place of the NIR reflectivity:
\[
\text{MNDWI} = \frac{\rho_{green} - \rho_{SWIR\_1}}{\rho_{green} + \rho_{SWIR\_1}}
\]
(2)
Along with water indices, the Normalized Difference Vegetation Index (NDVI) [47] is used to identify vegetated areas. The NDVI is defined as a combination of the NIR and visible red ($\rho_{red}$) to bring out the significant difference in the vegetation spectrum in these bands:
$$\text{NDVI} = \frac{\rho_{NIR} - \rho_{red}}{\rho_{NIR} + \rho_{red}}$$ \hspace{1cm} (3)
Following previous literature studies [48,49], we used a threshold of 0.3 to discriminate the presence of vegetation in the observed area. In Table 2, the bands used to compute the NDWI, MNDWI and NDVI indices are specified for both the L8 and S2 datasets.
**Table 2.** Specification of bands used in the multispectral indices’ calculation for both data sources.
| Landsat-8 | Sentinel-2 |
|-----------|------------|
| NDWI = $\frac{\rho_3 - \rho_5}{\rho_3 + \rho_5}$ | NDWI = $\frac{\rho_3 - \rho_8}{\rho_3 + \rho_8}$ |
| MNDWI = $\frac{\rho_3 - \rho_{11}}{\rho_3 + \rho_{11}}$ | MNDWI = $\frac{\rho_3 - \rho_{11}}{\rho_3 + \rho_{11}}$ |
| NDVI = $\frac{\rho_3 - \rho_4}{\rho_3 + \rho_4}$ | NDVI = $\frac{\rho_3 - \rho_4}{\rho_3 + \rho_4}$ |
As illustrated in Figure 3, the Albufera wetland’s land cover, in the winter period, is extremely variegated. Considering the classification capacity of the multispectral indices, land cover types were grouped into four classes (see Table 3). In the following, we describe these four classes and the rule-based classification method used to discriminate them.
**Figure 3.** Photographs of land cover classes taken in the Albufera wetland on 14 February 2020; (a,b) water; (c) shallow turbid water; (d) shallow water with dead vegetation; (e,f) mosaic of water ponds, mud and vegetation; (g,h) flooded area partially covered by vegetation; (i) wet soil; (j) dry soil; (k,l) vegetated soil.
Table 3. Rule-based classification method for the mapping of the four land cover classes.
| Land Cover Classes | Photos | Class | NDWI | MNDWI | NDVI |
|-------------------------------------|--------|-------|------|-------|------|
| Open water | a/b | W | >0 | >0 | <0.3 |
| Mosaic of water, mud and vegetation| c/d/e/f/g/h | M | <0 | >0 | ∀ |
| Bare soil | i/j | S | <0 | <0 | <0.3 |
| Vegetated soil | k/l | V | <0 | <0 | >0.3 |
The first class, labeled “Open water” (W), represents the typical winter condition in the Tancats that are flooded, with water depths ranging from around 0.5 to 1 m (see Figure 3a,b). Note that in some Tancats, dried rice plants could emerge from the shallow water, as shown in the background of Figure 3b. The W class refers to flooded areas with a smooth clear surface and significant depth (higher than approximately 20 cm). In these areas, the sediment content of the water layer close to the surface is low, as shown in the pictures in Figure 3. As the multispectral response is determined by this surface layer, the NDWI results in a positive value. Consequently, the W class can be identified in the satellite images because we expect that the corresponding pixels will exhibit positive values of the water indices (NDWI and MNDWI) and below-threshold values of the vegetation index (NDVI).
In the marginal areas of the wetland, patches of shallow water, mud and vegetation may coexist for transitional periods. As an example, Figure 3e,f show ponds of shallow water surrounded by mud, grass and dead vegetation. Figure 3c shows an area flooded with shallow and turbid water; Figure 3d shows an area flooded with a thin layer of water, from which dry rice plants emerge; Figure 3g,h show flooded areas partially covered with vegetation. All these situations are grouped into the second class, labeled “Mosaic of water, mud and vegetation” (M). These areas can be identified in the satellite images because we expect that the corresponding pixels will exhibit low values of the NDWI, high values of the MNDWI and any value (the ∀ sign) assumed by the NDVI. The third class, labeled “Bare soil” (S), represents wet and dry bare soils (see Figure 3i,j). These areas can be identified in the satellite images because we expect that the corresponding pixels will exhibit low values of the water and vegetation indices.
The fourth class, labeled “Vegetated soil” (V), represents soils partially or entirely covered by vegetation, in wet and dry conditions, as presented in Figure 3k,l. These areas can be identified in the satellite images because we expect that the corresponding pixels will exhibit negative values of the water indices and above-threshold values of the vegetation index.
Based on these considerations, we developed a rule-based classification that allows to distinguish the four classes by exploiting the combination of the responses of the three multispectral indices. The adopted rule-based classification method is summarized in Table 3. The few pixels that do not meet the adopted conditions were considered outliers and labeled as non-classified.
The actual possibility of identifying and distinguishing the four land cover classes was verified by calculating the values of the three multispectral indices for surfaces with known characteristics. These surfaces were mapped by the combined use of VHR images taken on the 14 of February 2020 and geo-located pictures. The detailed procedure for the generation of this ground truth is described in Section 4.2. The results displayed in Figure 4 show that for S2 data, pixels with positive NDWI values can be exclusively associated with the W class. For L8 data, pixels with positive NDWI values can be mostly associated with the W class, with a limited superposition with the M class. Pixels with positive MNDWI values can be only associated with the W and M classes. Pixels with negative MNDWI values can be associated with the V and S classes. Despite small regions of superposition, the MNDWI seems to be able to discriminate the four classes. Pixels with values of NDVI greater than 0.3 represent areas with a significant presence of vegetation and can be mostly associated with the V class. In the case of NDVI, the separability of classes is limited. In particular, the S and M classes are hardly separable with the exclusive use of the NDVI.
In synthesis, we can deduce that, although there is limited overlapping of the values of the indices if applied individually, the joint use of the three indices allows to separate the four classes fairly well.
4.2. Validation Approach
In order to validate the results of the land cover classification method, we compared the classification obtained from S2 and L8 images with the evidence extracted from the VHR images and the field data. Given the slow dynamic of the flooding, the scene can be assumed unchanged in a time interval of few days. Accordingly, we decided to accept the comparison between acquisitions with a maximum of three days of time-lapse. Such an approach led us to define 6 test cases. The acquisition dates of S2, L8, VHR images and field campaigns, of the 6 tests, are shown in Table 4.
Given the different types and consistencies of the data available on the various cases listed in Table 4, it was necessary to use three different validation approaches. In particular, (i) a pixel-based comparison was employable for case 1, where both VHR images and field pictures were available, (ii) an object-based comparison was possible for case 2 by using only field data as ground truth, and (iii) a more qualitative visual comparison was possible for the cases in which only VHR images were available (cases 3, 4, 5 and 6). The three validation approaches are described below.
Table 4. Acquisition dates of the data used for the validation tests.
| Case No. | Sentinel-2 | Landsat-8 | Very High-Resolution Image | Field Survey | Spatial Coverage VHR Images |
|----------|------------------|---------------|----------------------------|--------------|-----------------------------|
| 1 | 15/02/20 | 13/02/20 | 14/02/20 GeoEye-1 | 14/02/20 | 160 km$^2$—see Figure 5a |
| 2 | | | | 05/02/20 | - |
| 3 | 01/01/19 | 02/01/19 | 02/01/19 GeoEye-1 | - | 43 km$^2$ |
| 4 | 28/10/18 | | 25/10/18 WorldView-4 | - | 28 km$^2$ |
| 5 | 12/03/18 | | 13/03/18 WorldView-4 | - | 22 km$^2$ |
| 6 | 21/01/18 | 22/01/18 | 20/01/18 GeoEye-1 | - | 37 km$^2$ |
Figure 5. (a) RGB GeoEye-1 of 14 February 2020 provided by ESA (© TPMO 2020); (b) Land cover classification extracted by S2 image of 15 February 2020; (c) Land cover classification extracted by L8 image of 13 February 2020.
In the pixel-based approach, we reported the point of geo-located pictures on the VHR images, and then we manually drew polygons on the VHR images, to identify the extent of given classes. This operation is based on the visual analysis of the VHR image and therefore depends on the interpretation by the operator. However, the geo-located pictures allow us to identify the type of land use with good accuracy and, once the type is defined, it is quite clear to identify the extension of the assigned type on the VHR image. The manually generated ground truth, thus obtained, was compared on a pixel basis with the predicted land cover classification. The performances were estimated by the computation
of the confusion matrix for a multi-class classification [50]. The number of true positive \((TP_i)\), false positive \((FP_i)\), true negative \((TP_i)\) and false negative \((FN_i)\) results for the \(i\)-th class (\(W, S, V\) or \(M\)) were computed as follows:
\[
TP_i = C_{ii}
\]
\[
FP_i = \sum_{l=1}^{n} C_{li} - TP_i
\]
\[
FN_i = \sum_{k=1}^{n} C_{ik} - TP_i
\]
\[
FN_i = \sum_{l=1}^{n} \sum_{k=1}^{n} C_{lk} - TP_i - FP_i - FN_i
\]
where \(C_{lk}\) is the generic confusion matrix element, the index \(l\) relates to the ground truth and the index \(k\) refers to the predicted classification. Overall Accuracy, Precision \((P_i)\), Recall \((R_i)\) and F1 score \((F1_i)\) were then computed by:
\[
\text{Overall Accuracy} = \frac{\sum_{i=1}^{n} C_{ii}}{\sum_{l=1}^{n} \sum_{k=1}^{n} C_{lk}}
\]
\[
P_i = \frac{TP_i}{TP_i + FP_i}
\]
\[
R_i = \frac{TP_i}{TP_i + FN_i}
\]
\[
F1_i = 2 * \frac{P_i * R_i}{P_i + R_i}
\]
This approach could only be used in case 1, when we have contemporary acquisitions of VHR and ground pictures. The rule-based classification method was applied separately to the L8 image of 13 February 2020 and the S2 image of 15 February 2020, and the results were compared to the ground truth generated by the combination of ground pictures and VHR image.
The object-based approach consisted in the comparison between the predicted classification in a specific area and the land cover shown in the ground pictures for the same area. This approach was used for case 2. The acquisition points are concentrated inside the *Tanca*ts (see Figure 1), where water is almost always present in this period (\(W\) and \(M\) classes), and not enough points are available for the other two classes (\(S\) and \(V\)). For this reason, the comparison with the ground truth was made only for \(W\) and \(M\) classes. A two-class confusion matrix was computed and the classification metrics were then estimated by Equations (8)–(11).
The qualitative visual comparison is based on the simultaneous vision of the VHR image and the predicted land cover classification map. This approach is influenced to a greater extent by the interpretation made by the operator and therefore has a lower level of reliability than the other two approaches.
### 4.3. Consistency Check between the L8 and S2 Datasets
To evaluate the consistency between L8 and S2, the coherence of the land classification obtained by the two datasets was checked. With this aim, S2 and L8 cloud-free images, acquired on the same day, were selected. In the observation period, there are six contemporaneous S2 and L8 acquisitions. For this analysis, we resampled the L8 at the same resolution of the S2 images (10 m) using a bilinear interpolation algorithm. The performances were estimated by comparing each pixel of the so-called predicted condition (L8) with the so-called truth condition (S2). After computation of the confusion matrix,
the Overall Accuracy, Precision ($P_i$), Recall ($R_i$) and F1 score ($F1_i$) were estimated with Equations (8)–(11).
4.4. Winter Flooding Duration Maps
The winter flooding duration is key information to evaluate the habitat availability for water-related species. Given the varied management of the wetland, this duration varies from point to point and can be represented with a raster map showing, for each pixel, the number of days in which the corresponding surface was covered with water. For this purpose, we jointly used the L8 and S2 datasets in order to exploit the maximum possible frequency of observation. We first implemented a temporal gap-filling on the MNDWI and NDWI maps. The gap-filling was separately performed on the S2 and L8 datasets to obtain two separate daily series of index values. For each day, the closest S2 or L8 acquisition was identified and the corresponding synthetic map included in the merged series. When the acquisitions S2 and L8 are contemporary, the S2 map is preferred. We used the linear temporal gap-filling proposed by Inglada et al. [51] to monitor vegetative processes and map land coverage through the NDVI on S2 data. This method has the advantage of being easily implemented and more robust than higher-order models. The temporal gap-filling is obtained by:
$$\hat{I} = \frac{\Delta_+}{\Delta_- + \Delta_+} \cdot I_- + \frac{\Delta_-}{\Delta_- + \Delta_+} \cdot I_+$$ \hspace{1cm} (12)
where $\hat{I}$ is the estimated value of the multispectral index (i.e., NDWI and MNDWI) at a specific date, $I_-$ and $I_+$ are the previous and the subsequent available values, and $\Delta_-$ and $\Delta_+$ are the left and right temporal gaps.
Once we had obtained the two daily series of MNDWI and NDWI maps, we applied the rule-based classification to identify the $W$ and $M$ classes. Finally, for each pixel, the number of days per year, in which the $W$ or $M$ class was present, was computed.
5. Results and Validation
5.1. Pixel-Based Quantitative Validation through Comparison with Contemporary Field Data and VHR Images
In this section, we present the results of the quantitative validation, which used both the field and the VHR data (case 1 of Table 4). Figure 5 displays the RGB GeoEye-1 image acquired on 14 February 2020 along with the land cover maps derived by the S2 of 15 February and by the L8 of 13 February. These images show the Albufera wetland in the drying phase, a typical situation at the end of the winter flooding. In this period, several *Tancats* are still flooded and placed in the $W$ class, while some fields are drying up and are partially or completely in the $M$ class.
Following the procedure described in Section 4.2, 95 polygons of known soil cover classes were drawn for 1136 km$^2$, of which 675 km$^2$ were in the $W$ class, 165 km$^2$ in the $M$ class, 147 km$^2$ in the $S$ class and 150 km$^2$ in the $V$ class. The ground truth in the $W$ class was found to be larger than the others. This occurred because the identification of the areas in the $W$ class is more straightforward as these areas are clearly visible in the VHR. Furthermore, this class had a greater spatial extension than the others. In Tables 5 and 6, the confusion matrices for S2 and L8 classification are reported.
**Table 5.** Confusion matrix between predicted S2 classification and ground truth.
| Predicted Condition | W | M | S | V | TOT$_{pixel,i}$ |
|---------------------|-----|-----|-----|-----|-----------------|
| **True condition** | | | | | |
| W | 6691| 54 | 2 | 0 | 6747 |
| M | 3 | 1602| 25 | 17 | 1647 |
| S | 0 | 1 | 1468| 2 | 1471 |
| V | 0 | 0 | 72 | 1429| 1501 |
| TOT$_{pixel}$ | | | | | 11,366 |
Table 6. Confusion matrix between predicted L8 classification and ground truth.
| True condition | Predicted Condition | W | M | S | V | $TOT_{pixel,i}$ |
|----------------|---------------------|---|---|---|---|-----------------|
| | | | | | | |
| | W | 744 | 0 | 1 | 0 | 745 |
| | M | 25 | 145 | 6 | 1 | 177 |
| | S | 0 | 2 | 166 | 1 | 169 |
| | V | 0 | 0 | 9 | 166 | 175 |
| | | | | | | $TOT_{pixel}$ = 1266 |
It is worth noting that the pixel number in the ground truth classes was different for L8 and S2 because of the different spatial resolutions of the two datasets. In both the L8 and S2 cases, the confusion matrix was almost diagonal, showing that the rule-based classification method is efficient and reliable. The overall accuracy was very high for both datasets and, in particular, it was 0.985 for S2 and 0.965 for L8. In Tables 7 and 8, the most relevant performance metrics are presented for S2 and L8, respectively. The precision was always higher than 0.9, with minor differences between the classes: the W class was identified with the highest precision, while the S class was identified with the lowest value. The recall was higher than 0.950 for all the classes except for the M class derived by L8, for which the lowest metric was obtained (0.819). Similar results were obtained for the F1 score, which was always higher than 0.950, except for the M class of L8, for which it was 0.895. The performances obtained with the S2 data were slightly higher than those obtained with the L8 data, as was expected due to the lower spatial resolution of the L8 images. However, the small differences and the high performances for both datasets give a first positive indication in the direction of the joint use of the two datasets. The possibility was also verified by a direct comparison, as reported in Section 5.4.
Table 7. Performance metrics estimated for S2 land cover classification.
| | W | M | S | V |
|------------------|---|---|---|---|
| Precision | 1.000 | 0.967 | 0.937 | 0.987 |
| Recall | 0.992 | 0.973 | 0.998 | 0.952 |
| F1 score | 0.996 | 0.970 | 0.966 | 0.969 |
Table 8. Performance metrics estimated for L8 land cover classification.
| | W | M | S | V |
|------------------|---|---|---|---|
| Precision | 0.968 | 0.986 | 0.912 | 0.988 |
| Recall | 0.999 | 0.819 | 0.982 | 0.949 |
| F1 score | 0.983 | 0.895 | 0.946 | 0.968 |
5.2. Object-Based Quantitative Validation through Comparison with Field Data
In case 2, field data were available, but VHR images were not, and metrics were computed with the object-based procedure, as introduced in Section 4.2. It is worth noting that, in case 2, only the L8 image was available due to the absence of cloud-free S2 acquisition close enough in time. As specified above, in case 2, only a two-class (W and M) confusion matrix was computed. Of the 18 ground objects, one was excluded because it was in the S class, eight were correctly classified as W, eight were correctly classified as M and only one object of the M class was wrongly classified as W. The overall accuracy was 0.941. The F1 score was 0.947 for both the W and M classes. Albeit with a small number of comparisons, the estimated performances confirmed the previous paragraph’s evaluations (case 1).
5.3. Qualitative Validation through Comparison with VHR Images
The qualitative comparison between predicted land cover and VHR images was performed for all the cases in which VHR images were available (see Table 4). The results obtained in the various cases were comparable to each other and all showed satisfactory congruence. For the sake of brevity, we report in this paragraph only two examples, namely case 1 and case 5. Figure 6a reports a detail of the S2 land cover classification in the northern portion of the Albufera Park, for case 1. Figure 6b shows magnified sub-panels of the same map that are compared with the corresponding panels of the VHR image (Figure 6c) and with ground pictures (Figure 6d,e).
In Figure 6(1), an example of an area classified as “Open water” (W) is presented. The peculiar characteristic of the W class is the presence of water depths higher than approximately 20 cm. In this condition, the post-harvest rice plants, if present, are mostly submerged and the surface layer of water is characterized by low turbidity. Therefore, the rice fields are represented as a water body similar to the Albufera lake. As an example, the land cover classification, reported in Figure 6(1b), is in perfect agreement with the VHR (Figure 6(1c)) and the geo-located ground picture (Figure 6(1d)). The classification of Figure 6(2b) shows mosaic of water (M), bare soil (S) and a small vegetated area (V). The M class, frequently encountered at the boundary of the flooded area, is characterized by shallow water depths or a combination of water, mud and vegetation. Regions with ponds smaller than the resolution cell also fall into this class. The S class includes both dry and wet soil as the classification method could not distinguish the two. Looking at the picture of Figure 6(2d), it is possible to note an area (M1) with very shallow water that was correctly classified as the M class. In the picture of Figure 6(2e), bare soil (locations S1 and S2) was present in the foreground. In addition, a small isolated pond (M2) is also visible in the background. All these areas were correctly classified in their relative classes. It is worth noting that the classification could detect the presence of very shallow water (with a depth of few centimeters), pointing out the distinction between M and S, which is very well shown by Figure 6(2b,e).
Figure 6(3,4) display a composite of the S and V classes. Moreover, in these cases, the classification method responded confidently and could detect the vegetation patchiness. Figure 6(5) shows how the method could detect the presence of water mixed with the dry stalks of the cut rice and associated this area with the M class. The adjacent area, in which the water level was higher and there were no stalks emerging from the water surface, was correctly assigned to the W class.
The comparison between the classification obtained from the S2 image of 28 October 2018 and the GE-1 VHR image of 25 October 2018 is presented in Figure 7. W, M, S and V classes appear congruent with what can be deduced from the VHR image.
Figure 6. (a) Land cover classification extracted by S2 image of 15 February 2020 with field survey locations of 14 February (points) and the position of the frames displayed with larger scales in the panels 1, 2, 3, 4 and 5; (b) zoom of land cover classification; (c) zoom of the RGB GeoEye-1 (© TPMO 2020) of 14 February; (d,e) ground pictures taken on 14 February.
5.4. Consistency between Classification Maps Derived by L8 and S2
The consistency between the classifications made with L8 and those made with S2 is indirectly verified by the comparisons made in case 1. In fact, in case 1, the classifications obtained from two images, one L8 and one S2, close in time, were separately compared with the ground truth, obtaining satisfactory results for both. Further verification was obtained from direct comparisons between L8 and S2 cloud-free images acquired on the same day. As introduced in the Methods section, the comparison was performed between the land cover maps obtained with the rule-based classification. Table 9 reports the resulting performance metrics. The overall accuracy ranges from 0.848 to 0.944. The F1 score is always very high (between 0.931 and 0.984) for the $W$ class and is extremely variable for the $M$ class. The value of the F1 score is particularly low in the $M$ class for the acquisitions of October, November and the end of March. In these periods of the year, the presence of water is mainly limited to the Albufera lake and to small, scattered areas. In fact, the portion of pixels classified as the $M$ class by S2 on these dates is only 0.3% on 8 October 2019, 0.4% on 27 March 2018 and 6.5% on 12 November 2017. A high fragmentation of areas with pools or shallow and turbid waters occurs. In this situation, due to the higher resolution of S2 images, it is sometimes possible to distinguish single pixels or small groups of pixels that are in the conditions $W$, $S$ or $V$. In contrast, L8 images, characterized by lower spatial resolution, tend to return more frequently the $M$ class, which is intrinsically a mosaic of patches. This impacts the precision and, consequently, the F1 score of the classification for the $M$ class on these dates. The comparison made in the flooding period between December and March gives, for the $M$ class, higher classification performance (F1 score between 0.796 and 0.869). This is also coherent with the high performance obtained in the ground truth check of case 1, performed on 15 February and 13 February. The performances of $S$ and $V$ are less variable in time; the F1 score is between 0.755 and 0.964 for the $S$ class and between 0.787 and 0.835 for the $V$ class. The confusion matrixes showed that L8 places in the $V$ class some pixels labeled by S2 as $S$ class. This is the main source of discrepancy between the results of S2 and L8 for the $S$ and $V$ classes.
Table 9. Performance metrics estimated for “predicted” L8 indices compared with “ground truth” S2 indices.
| Date | W | M | S | V | Overall Accuracy |
|--------------------|-------|-------|-------|-------|-----------------|
| 17 March 2017 | 0.983 | 0.869 | 0.931 | 0.813 | 0.912 |
| 12 November 2017 | 0.941 | 0.572 | 0.875 | 0.787 | 0.853 |
| 31 January 2018 | 0.937 | 0.847 | 0.882 | 0.821 | 0.884 |
| 27 March 2018 | 0.984 | 0.552 | 0.964 | 0.811 | 0.944 |
| 8 October 2019 | 0.980 | 0.350 | 0.828 | 0.835 | 0.848 |
| 27 December 2019 | 0.931 | 0.796 | 0.755 | 0.808 | 0.848 |
The L8 and S2 consistency can also be assessed by comparing the temporal trends of the surfaces, represented in km$^2$, for the different classes. In this way, a cross-check with the daily tests described above is also possible and the impact of seasonality can be further assessed. An example is reported in Figure 8, where the temporal trend of land cover types extracted from L8 is compared with the same trends extracted by S2 for 2019/20. On two dates of this period, L8 and S2 were acquired on the same day (8 October 2019 and 27 December 2019). Good agreement between the flooding dynamics (M and W classes) extracted by the two datasets is shown (Figure 8a). In September and October, the W area almost corresponds with the Albufera lake, and the M area is negligible. The L8 and S2 trends are similar even if the F1 score is very low for the M class on the 8 October (see Table 9). The increasing and decreasing trends of the following months are also similar, and this shows that the good performances found for 27 December are stable over time. Figure 8b indicates that the V class mapped by L8 is sometimes more extended than the S2 one (e.g., on 8 October), while the opposite occurs for the S class.
Figure 8. (a) Extent of W, M areas extracted by L8 and S2 in 2019/2020; (b) extent of S and V areas extracted by L8 and S2 in 2019/2020.
The joint use of the two datasets offered excellent advantages in terms of reducing the revisit time. From September to April of the observation period (2013–2020), the L8 archive contains a total of 166 images, with an average revisit time of around 8 days. Due to the presence of cloud cover, only 81 images with an average revisit time of 18 days were actually employable. The longest time interval between two cloud-free images was 57 days. In the S2 archive, a total of 175 images were available in the period from September to April, with an average revisit time of around 10 days between 2015 and 2017 and 5 days between 2017 and 2020. Due to the presence of the cloud cover, only 69 images with an average revisit time of 16 days were actually employable. The longest time interval between two cloud-free images was 120 days. In the period covered by both missions (2015–2020), the merging of the two datasets led to an effective average revisit time of around 7 days. In addition, the longest time interval between two cloud-free images dropped to 16 days. As
an example, the revisit times of the separated and merged datasets in 2019 are shown in Figure 9.
**Figure 9.** Number of days between two usable images of the L8 and S2 datasets taken individually and of the merged dataset in 2019.
### 5.5. Observed Land Cover Dynamics
One of the most interesting applications of the rule-based classification method concerns the monitoring of the spatial distribution and the temporal trend of the flooding. This paragraph shows some examples of the information obtained by the merged S2 and L8 dataset from September to April, outside the rice growing period. Figure 10 shows the winter annual flooding trend for the seven years of observation. In addition to the areas in open water conditions (W class), the figure also shows the overall area in which water was present (W + M classes), even if with small thicknesses or in a spatially discontinuous way.
**Figure 10.** (a) Temporal trend of area in W class (open water); (b) temporal trend of area in W or M class (open water or mosaic of water, mud and vegetation).
The time evolution of the W area shows similar trends in the different years (Figure 10a). There is an enlargement period in autumn, a maximum extent of around 80 km$^2$ (almost the area of the lake plus the area of the *Tancats*) in December and January and a progressive reduction until March. In September and March, the flooded area is around 24 km$^2$, which is the area of the Albufera lake. In some years (2015/16 and 2018/19), the flooding started earlier than other years (at the beginning of October) and had a longer duration. The 2013/14 was the year with the shortest duration of flooding, which had already ended by 12 February.
The overall extension of the $W + M$ area showed a similar trend to the $W$ one, but with more pronounced variations between different years (Figure 10b). The maximum extent of around 120 km$^2$ was not reached every year, but the area always exceeded 100 km$^2$. The duration and seasonality of the $W + M$ flooding varied from year to year.
As an example, the spatial distribution and temporal dynamics of the land cover of February 2020 are reported in Figure 11. The areas of the four classes $W$, $M$, $V$ and $S$ are mapped. Figure 11 well depicts the drying phase. Indeed, the area initially in $W$ conditions progressively empties; for some time, there is still a residual water cover ($M$ class), and it finally dries up completely. The duration of the drying phase varies in space. In the areas further away from the lake, the $M$ conditions are prolonged for longer times.
5.6. Observed Winter Flooding Duration Maps
Figure 12 shows the spatial distribution of the duration of water presence. These figures were obtained with the technique explained in Section 4.4. Figure 12a shows the number of days on which open water ($W$ class) is present. Figure 12b shows the days on which water is present in any condition, even if in shallow layers or discontinuous patches ($W$ class plus $M$ class).
The average duration of open water presence in the Tancats and the highlands, in winter period, is reported in Figure 13. The Tancats are flooded for a period between two and three months depending on the year in question, while the highlands are flooded for shorter periods (around 20 days). The overall presence of water lasts longer; in fact, the period with the presence of the $W$ or $M$ class in the Tancats is in the range of three or even, in some years, almost four months. In the highlands, these conditions last around 40 days, except in 2017/18. This effect can be explained by the particular weather conditions during the winter on the Mediterranean coast. In this area, it is normal to have cold front events with rainfall up to 200 mm in less than 48 h. These storms produce local floods in areas with worse drainage, sometimes correlated with traditional natural springs (named locally “ullals”) with higher water tables. The winter of 2017/2018 was particularly dry, without any cold front event, which can explain the reduction in water in the highlands.
Figure 11. Maps of land cover classes in February 2020 obtained by L8 and S2. The continuous line is the boundary of Tancats area.
Figure 12. Days of water presence from October to April in 2019/20; (a) W class; (b) W class plus M class.
Figure 13. Average number of days of water presence in W and W + M classes, in the Tancats and in the highlands.
6. Discussion
The classification of wetland land cover from remotely sensed data is particularly complex due to the large spatial and temporal variability of water depth, water turbidity, floating or emerging vegetation and the growth and harvest of crops [23]. Supervised algorithms have been implemented with good results for wetland land cover classification [24,25,52]. In some cases, various land cover classes were identified, as in the present paper. For example, Dronova et al. [35] mapped four land cover classes with an object-based supervised procedure. Nevertheless, the application of supervised methods seems to be limited due to the lack of local training datasets. Very high-resolution images, besides limited availability, do not provide reliable ground truth because the interpretation of the land cover types is uncertain, especially when plants are growing into the water or at the edges of submerged areas. To obtain reliable training samples, it is necessary to support the
interpretation of high-resolution images with field surveys. Nevertheless, extensive field data collection is limited because it can be expensive and time-consuming. Unsupervised methods do not have these limitations and are generally characterized by higher transferability and therefore they can be implemented with less effort in different locations.
In this paper, we propose a straightforward and easily applicable, unsupervised, rule-based method for land cover classification in wetlands, exploiting the S2 and L8 datasets. The method is based on the combined use of three multispectral indices (MNDWI, NDWI and NDVI) and can be easily implemented by technicians and water managers with common GIS platforms. Another significant advantage of the proposed method is the possibility of distinguishing four land cover classes that are relevant for the evaluation of habitat availability for water-related animals and plants. The open water \((W\) class) is distinguished from very shallow water or from a mosaic of water pools, vegetation and mud \((M\) class). Adjacent non-water environments are also identified as vegetated land \((V\) class) and bare soil \((S\) class). After spectral analyses, Amani et al. [30] concluded that the spectral indices derived from the NIR, RE and red bands (e.g., NDWI and NDVI) were the most useful spectral bands for the differentiation of wetland land cover. They also found that the SWIR bands helped to discriminate the shallow water class from other wetland classes. In this application, the distribution of index values for the four land cover classes \((W, M, S, V)\) was computed (Figure 4). The analysis showed that the NDWI index is useful to distinguish the open water condition, and the MNDWI allows us to classify the areas characterized by a mosaic of shallow water, mud and vegetation. Finally, the NDVI index allows us to distinguish bare soil from vegetated soil. Therefore, the proposed combination of these indices in a rule-based classification enhances the discrimination properties and reduces the ambiguity of each index. Amani et al. [30] pointed out that the SWIR band is sensitive to the moisture content in soil and vegetation. This could lead to possible misclassification between wet soil and shallow water conditions. However, this aspect was not observed with the index combination proposed in this work (see Figures 4 and 6 and Tables 7 and 8). Considering the strong spatial and temporal variability of humidity conditions, further analysis, at different times of the year, could help to determine the possible occurrence of misclassification at particular times or locations.
The threshold values that we used for the NDVI, MNDWI and NDWI are literature values and were not calibrated against data of the specific study area. Since these literature values have been verified by different authors in different contexts, it is reasonable to suppose that they are not dependent on the specific study case. Consequently, we believe that the thresholds would still be valid and the classification rules would be applicable in other wetlands with different characteristics. Further analysis could investigate whether and to what extent the accuracy of the results may vary in different contexts. The availability of ground truths is important to relate remotely sensed data to real features and the correct land cover on the ground. The processing of the ground truth data with manual operation or a qualitative comparison by visual inspection can be influenced by the subjective interpretation of the operator. It is worth nothing that, in the present case, the ground truths were used for the validation of the method and not for calibration of the parameters. Consequently, potential subjectivity would affect the performance evaluation and not the classification results. To exploit the different types of data available, we implemented three different procedures for comparing the classification results to ground truth. Of course, different levels of objectivity and reliability correspond to each of the procedures. Undoubtedly, the most stringent validation test for the proposed classification method was the pixel-based one (case 1), in which the ground truth was obtained by the contextual use of geo-located ground pictures and VHR images. The combination of these two different types of data allowed us to obtain a more objective and reliable ground truth than the widespread practice of using only remote images. The overall accuracy was very high for both datasets (0.985 for S2 and 0.965 for L8). The F1 score values were 0.996 (0.983) for the \(W\) class, 0.970 (0.895) for the \(M\) class, 0.966 (0.946) for the \(S\) class and 0.969 (0.968) for the \(V\) class. The L8 results are reported in brackets next to the S2 ones. The identification of
the $M$ class showed the most significant difference between S2 and L8 metrics (difference between F1 scores higher than 0.02). The slightly lower performance of L8 data in $M$ class identification could be due to the lower spatial resolution of the L8 images, which had the greatest impact when the patchiness of land cover features was higher, as in the $M$ class. Further differences could be due to the slightly different frequency bands acquired by the two sensors. This point was further investigated by comparing L8 and S2 images acquired on the same day, which is discussed below.
The same ground truth data of case 1 were also used for a visual inspection of the results (see the examples reported in Figure 6). This analysis showed how the method could discriminate surfaces with similar characteristics, such as humid soil and isolated pools of water. Since wetlands are highly variable over time, with a seasonal regime, it was necessary to verify the performance of the classification tool throughout the year. This was done through qualitative validation tests of cases 3, 4, 5 and 6. These validation tests confirmed the high classification capacity of the method and allowed us to verify that the results were stable regardless of the particular conditions of the day of acquisition.
The revisit time of multispectral imagery can be highly impacted by the possible presence of the cloud cover. In order to mitigate this problem, we jointly used the two S2 and L8 datasets. In this way, the average revisit time between two cloud-free images dropped from 18 and 16 days for the L8 and S2 separate datasets to 6 days for the merged dataset. The possibility of integration of the two datasets was investigated by Mandanici and Bitelli [27]. They performed tests on images acquired with a time gap lower than 20 min and demonstrated a good correlation between corresponding bands of the two sensors. However, the radiometric characteristics of the two sensors were not identical. The authors suggested evaluating the impact of such discrepancies for each specific application, depending on the adopted methodology and the aim of the study. In this work, with the objective of providing a tool that is extremely easy to apply, the two datasets were separately processed, and the land cover maps were obtained independently for the S2 and the L8 datasets. To verify the validity of this approach, it is sufficient to verify the coherence between the classification results obtained by the two datasets. The direct comparison of the land cover classification, derived from S2 and L8 acquisitions made on the same days, showed satisfying coherence (overall accuracy between 0.848 and 0.944). The detailed analysis of the performance for the different classes showed that, when the flooding is scarcely present and scattered, pixels classified by L8 as the $M$ class were placed by S2 in other classes. This is probably due to the lower spatial resolution of L8, which induces a sort of spatial average, thus shifting the response towards classes characterized by higher patchiness (i.e., the $M$ class). Another small discrepancy was found between the $V$ and $S$ classes. In particular, L8 tended to classify as $V$ class pixels that S2 classified as $S$ class. These discrepancies may be adjusted by calibrating the threshold of the NDVI index separately for the L8 and S2. A further confirmation of the overall coherence between S2 and L8 classifications is reported in Figure 8, showing that the temporal trends of estimated areas in different classes are similar for the two datasets. This result is particularly significant because it shows how, despite the high dynamism of the wetland context, the coherence between the two datasets was quite stable over time.
The possibility of mapping the four classes and quantifying the extent of submerged areas ($W$ and $M$ classes) showed interesting aspects of the hydrometric regime of the Albufera wetland. The spatial extension of the $W$ class has an approximately constant trend from year to year, while the surface in the $M$ class is more variable (see Figure 10). This can be explained by the fact that the surface classified as the $W$ class is influenced by agricultural practices. The farmers can dry the rice fields easily and quickly by using pumps and opening the gates that connect the rice fields with the lake. The time at which the rice fields are dried up is decided by the irrigation communities and it is quite constant throughout the years. The variability of the $M$ class over time can be explained by the fact that it may not depend on irrigation and agricultural practices only. Indeed, a mosaic of
water, mud and vegetation (M class) can be observed also after intense precipitation or generated by high evapotranspiration.
Land cover maps, such as those shown in Figure 11, can be very useful for observing in detail the spatial distribution of the land cover and its evolution over time. For example, in 2019, the Tancats were flooded with high water depth in January and started emptying from the middle of February. In the southern area, the water depths started decreasing first and lasted until the end of February. Meanwhile, in the northern portion, the decrease began later and was more rapid. This is probably due to the different ways in which the emptying is carried out, as pumps are sometimes used to accelerate the drying up in the Tancats near the lake, while in the areas further away from the lake, the process takes place more slowly. Flood duration maps of the kind shown in Figure 12 can be produced for all years of observation and are particularly useful for the estimation of habitat availability for water-related species. The difference between the duration of the W and the M conditions is particularly evident in the highlands. The occasional and sparse presence of the M condition for short time intervals, as shown in Figure 12b, could be due to rainfall events and it can be independent of the artificial management of the wetland.
7. Conclusions
Artificial wetlands play a key role in the strategies to limit the decline of freshwater biodiversity. The timing, duration and extension of periodical flooding are crucial for the survival of many freshwater species. For this reason, continuous monitoring is essential to optimize water resources and quantify habitat availability for water-related organisms. In this work, remote sensing Landsat-8 (L8) and Sentinel-2 (S2) multispectral images were exploited to monitor the Albufera wetland (Spain).
The combination of three multispectral indices, NDWI, MNDWI and NDVI, allowed the implementation of an unsupervised, rule-based method for the automatic classification of four land cover classes: open water (W), mosaic of water, mud and vegetation (M), bare soil (S) and vegetated soil (V). The proposed method is simple and easily usable in practical applications. The MNDWI index, which exploits the SWIR band, allowed to distinguish the M class, characterized by shallow water depths or by patches of water, mud and/or vegetation. The comparison with ground truth data showed overall good agreement (overall accuracy equal to 0.985 for S2 and 0.965 for L8). The validation tests between the L8 and S2 datasets were performed on six days on which both L8 and S2 acquisitions were available. The overall accuracy was always higher than 0.840. The difference in radiometric characteristics and spatial resolution led to small discrepancies in peculiar conditions and classes, such as the occasional overestimation of the M class by the less resolute L8 images.
The joint use of the two datasets provides the advantage of reducing the revisit time; in the analyzed period, the maximum time interval between two cloud-free images was 120 and 57 days for S2 and L8, respectively, while, for the merged dataset, the maximum revisit time was reduced to 16 days.
The implemented method allowed to monitor the flooding dynamics of the wetland from 2013 to the present. Both the maximum extent of the flooding and its timing and duration showed differences from year to year. The analyses of the yearly flooding duration showed that the highlands are in the W class, on average, for less than 20 days, and the Tancats are in this class for between 60 and 80 days. Given the short duration of the open water condition (W class), the duration of the time interval in which there are shallow waters or isolated pools (M class) could be crucial for habitat availability. The overall presence of water (M plus W land cover classes) lasted, on average, around 40 days in the highlands and for a period between roughly 90 and 110 days in the Tancats. The automatic land cover classification can be very useful for water management in wetland environments. Monitoring and observing in detail the spatial distribution of submerged areas and their evolution over time may provide important insights that can be used establish the proper timing and duration of flooding in order to support both rice production and habitats for water-related organisms. In wetlands, where there is significant flood risk, the method
can also be used to observe the effects of extreme precipitation events and to assess their relative hazard.
**Author Contributions:** Conceptualization, M.N.P., G.P.-S., P.V. and G.R.; methodology, C.C., M.N.P. and M.G.; software, C.C. and M.G.; validation, C.C., M.N.P. and G.P.-S.; formal analysis, C.C.; acquisition of field data, C.C., G.P.-S. and P.V.; resources, C.C. and M.N.P.; data curation, C.C.; investigation, C.C.; writing—original draft preparation, C.C. and M.N.P.; writing—review and editing, C.C., M.N.P., M.G., G.P.-S., P.V. and G.R.; visualization, C.C., M.N.P., M.G., G.P.-S., P.V. and G.R.; supervision, M.N.P., G.P.-S., P.V. and G.R. All authors have read and agreed to the published version of the manuscript.
**Funding:** This research was funded by the PhD course on Risk and Sustainability in Civil, Architectural and Environmental Engineering Systems of Salerno University (PON Research and Innovation 2014–2020 scholarship).
**Institutional Review Board Statement:** Not applicable.
**Informed Consent Statement:** Not applicable.
**Data Availability Statement:** The data will be shared by the authors upon reasonable request.
**Acknowledgments:** The authors thank the European Space Agency (ESA) for the supply of very high-resolution images by GeoEye-1 and WorldView-4 satellites acquired in the framework of the Third-Party Mission within the project “Monitoring and modelling of surface water environments at large spatial and temporal scales by the integration of satellite remote sensing and local surveys”. We also thank the Assut Foundation for their field support during the study.
**Conflicts of Interest:** The authors declare no conflict of interest.
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|
Scheduling Distributed Clusters of Parallel Machines: Primal-Dual and LP-based Approximation Algorithms
Riley Murray\textsuperscript{1}, Megan Chao\textsuperscript{2}, and Samir Khuller\textsuperscript{3}
\textsuperscript{1} Department of Industrial Engineering \& Operations Research, University of California, Berkeley
Berkeley, CA 94709, USA
firstname.lastname@example.org
\textsuperscript{2} Department of Electrical Engineering \& Computer Science, Massachusetts Institute of Technology
50 Vassar St, Cambridge, MA 02142, USA
email@example.com
\textsuperscript{3} Department of Computer Science, University of Maryland, College Park
College Park, MD 20742, USA
firstname.lastname@example.org
Abstract
The Map-Reduce computing framework rose to prominence with datasets of such size that dozens of machines on a single cluster were needed for individual jobs. As datasets approach the exabyte scale, a single job may need distributed processing not only on multiple machines, but on multiple clusters. We consider a scheduling problem to minimize weighted average completion time of $n$ jobs on $m$ distributed clusters of parallel machines. In keeping with the scale of the problems motivating this work, we assume that (1) each job is divided into $m$ “subjobs” and (2) distinct subjobs of a given job may be processed concurrently.
When each cluster is a single machine, this is the NP-Hard concurrent open shop problem. A clear limitation of such a model is that a serial processing assumption sidesteps the issue of how different tasks of a given subjob might be processed in parallel. Our algorithms explicitly model clusters as pools of resources and effectively overcome this issue.
Under a variety of parameter settings, we develop two constant factor approximation algorithms for this problem. The first algorithm uses an LP relaxation tailored to this problem from prior work. This LP-based algorithm provides strong performance guarantees. Our second algorithm exploits a surprisingly simple mapping to the special case of one machine per cluster. This mapping-based algorithm is combinatorial and extremely fast. These are the first constant factor approximations for this problem.
1998 ACM Subject Classification F.2.2 Nonnumerical Algorithms and Problems
Keywords and phrases approximation algorithms, distributed computing, machine scheduling, LP relaxations, primal-dual algorithms
Digital Object Identifier 10.4230/LIPIcs.ESA.2016.234
* All authors conducted this work at the University of Maryland, College Park. This work was made possible by the National Science Foundation, REU Grant CNS 1262805, and the Winkler Foundation. This work was also partially supported by NSF Grant CCF 1217890.
© Riley Murray, Samir Khuller, Megan Chao; licensed under Creative Commons License CC-BY
24rd Annual European Symposium on Algorithms (ESA 2016).
Editors: Pietr Sankowski and Christos Zaroliagis; Article No. 234; pp. 234:1–234:17
Leibniz International Proceedings in Informatics
LIPICS Schloss Dagstuhl – Leibniz-Zentrum für Informatik, Dagstuhl Publishing, Germany
1 Introduction
It is becoming increasingly impractical to store full copies of large datasets on more than one data center [7]. As a result, the data for a single job may be located not on multiple machines, but on multiple clusters of machines. To maintain fast response-times and avoid excessive network traffic, it is advantageous to perform computation for such jobs in a completely distributed fashion [8]. In addition, commercial platforms such as AWS Lambda and Microsoft’s Azure Service Fabric are demonstrating a trend of centralized cloud computing frameworks in which the user manages neither data flow nor server allocation [1, 11]. In view of these converging issues, the following scheduling problem arises:
If computation is done locally to avoid excessive network traffic, how can individual clusters on the broader grid coordinate schedules for maximum throughput?
This was precisely the motivation for Hung, Golubchik, and Yu in their 2015 ACM Symposium on Cloud Computing paper [8]. Hung et al. modeled each cluster as having an arbitrary number of identical parallel machines, and choose an objective of average job completion time. As such a problem generalizes the NP-Hard concurrent open shop problem, they proposed a heuristic approach. Their heuristic (called “SWAG”) runs in $O(n^2m)$ time and performed well on a variety of data sets. Unfortunately, SWAG offers poor worst-case performance, as we show in Section 5.
Our contributions to this problem are to extend the model considered by Hung et al. and to introduce the first constant-factor approximation algorithms for this general problem. Our extensions of Hung et al.’s model are (1) to allow different machines within the same cluster to operate at different speeds, (2) to incorporate pre-specified “release times” (times before which a subjob cannot be processed), and (3) to support weighted average job completion time. We present two algorithms for the resulting problem. Our combinatorial algorithm exploits a surprisingly simple mapping to the special case of one machine per cluster, where the problem can be approximated in $O(n^2 + nm)$ time. We also present an LP-rounding approach with strong performance guarantees. E.g., a 2-approximation when machines are of unit speed and subjobs are divided into equally sized (but not necessary unit) tasks.
1.1 Formal Problem Statement
▶ Definition 1 (Concurrent Cluster Scheduling).
- There is a set $M$ of $m$ clusters, and a set $N$ of $n$ jobs. For each job $j \in N$, there is a set of $m$ “subjobs” (one for each cluster).
- Cluster $i \in M$ has $m_i$ parallel machines, and machine $\ell$ in cluster $i$ has speed $v_{\ell i}$. Without loss of generality, assume $v_{\ell i}$ is decreasing in $\ell$. \(^\text{1}\)
- The $i^\text{th}$ subjob for job $j$ is specified by a set of tasks to be performed by machines in cluster $i$, denote this set of tasks $T_{ji}$. For each task $t \in T_{ji}$, we have an associated processing time $p_{jit}$ (again w.l.o.g., assume $p_{jit}$ is decreasing in $t$). We will frequently refer to “the subjob of job $j$ at cluster $i$” as “subjob $(j,i)$.”
- Different subjobs of the same job may be processed concurrently on different clusters.
- Different tasks of the same subjob may be processed concurrently on different machines within the same cluster.
\(^1\) Where we write “decreasing”, we mean “non-increasing.” Where we write “increasing”, we mean “non-decreasing”.
A subjob is complete when all of its tasks are complete, and a job is complete when all of its subjobs are complete. We denote a job’s completion time by “$C_j$”.
- The objective is to minimize weighted average job completion time (job $j$ has weight $w_j$).
- For the purposes of computing approximation ratios, it is equivalent to minimize $\sum w_j C_j$. We work with this equivalent objective throughout this paper.
A machine is said to operate at unit speed if it can complete a task with processing requirement “$p$” in $p$ units of time. More generally, a machine with speed “$v$” ($v \geq 1$) processes the same task in $p/v$ units of time. Machines are said to be identical if they are all of unit speed, and uniform if they differ only in speed.
In accordance with Graham et al.’s $\alpha|\beta|\gamma$ taxonomy for scheduling problems [6] we take $\alpha = CC$ to refer to the concurrent cluster environment, and denote our problem by $CC||\sum w_j C_j$.\footnote{A problem $\alpha|\beta|\gamma$ implies a particular environment $\alpha$, objective function $\gamma$, and optional constraints $\beta$.} Optionally, we may associate a release time $r_{ji}$ to every subjob. If any subjobs are released after time zero, we write $CC|r||\sum w_j C_j$.
### 1.1.1 Example Problem Instances
We now illustrate our model with several examples (see Figures 1 and 2). The tables at left have rows labeled to identify jobs, and columns labeled to identify clusters; each entry in these tables specifies the processing requirements for the corresponding subjob. The diagrams to the right of these tables show how the given jobs might be scheduled on clusters with the indicated number of machines.
**Figure 1** Two examples of our scheduling model. **Left**: Our baseline example. There are 4 jobs and 2 clusters. Cluster 1 has 2 identical machines, and cluster 2 has 3 identical machines. Note that job 4 has no subjob for cluster 1 (this is permitted within our framework). In this case every subjob has at most one task. **Right**: Our baseline example with a more general subjob framework: subjob (2,2) and subjob (3,1) both have two tasks. The tasks shown are unit length, but our framework does not require that subjobs be divided into equally sized tasks.
### 1.2 Related Work
Concurrent cluster scheduling subsumes many fundamental machine scheduling problems. For example, if we restrict ourselves to a single cluster (i.e. $m = 1$) we can schedule a set of jobs on a bank of identical parallel machines to minimize makespan ($C_{\text{max}}$) or total weighted completion time ($\sum w_j C_j$). With a more clever reduction, we can even minimize total weighted lateness ($\sum w_j L_j$) on a bank of identical parallel machines (see Section 6). Alternatively, with $m > 1$ but $\forall i \in M, m_i = 1$, our problem reduces to the well-studied “concurrent open shop” problem.
Using Graham et al.’s taxonomy, the concurrent open shop problem is written as $PD||\sum w_j C_j$. Three groups [3, 4, 9] independently discovered an LP-based 2-approximation for $PD||\sum w_j C_j$ using the work of Queyranne [13]. The linear program in question has an exponential number of constraints, but can still be solved in polynomial time with a variant of the Ellipsoid method. Our “strong” algorithm for concurrent cluster scheduling refines the techniques contained therein, as well as those of Schulz [14, 15] (see Section 4).
Mastrolilli et al. [10] developed a primal-dual algorithm for $PD||\sum w_j C_j$ that does not use LP solvers. “MUSSQ”\footnote{A permutation of the author’s names: Mastrolilli, Queyranne, Schulz, Svensson, and Uhan.} is significant for both its speed and the strength of its performance guarantee: it achieves an approximation ratio of 2 in only $O(n^2 + nm)$ time. Although MUSSQ does not require an LP solver, its proof of correctness is based on the fact that it finds a feasible solution to the dual a particular linear program. Our “fast” algorithm for concurrent cluster scheduling uses MUSSQ as a subroutine (see Section 5).
Hung, Golubchik, and Yu [8] presented a framework designed to improve scheduling across geographically distributed data centers. The scheduling framework had a centralized scheduler (which determined a job ordering) and local dispatchers which carried out a schedule consistent with the controllers job ordering. Hung et al. proposed a particular algorithm for the controller called “SWAG.” SWAG performed well in a wide variety of simulations where each data center was assumed to have the same number of identical parallel machines. We adopt a similar framework to Hung et al., but we show in Section 5.1 that SWAG has no constant-factor performance guarantee.
### 1.3 Paper Outline & Algorithmic Results
Although only one of our algorithms requires solving a linear program, both algorithms use the same linear program in their proofs of correctness; we introduce this linear program in Section 2 before discussing either algorithm. Section 3 establishes how an ordering of jobs can be processed to completely specify a schedule. This is important because the complex work in both of our algorithms is to generate an ordering of jobs for each cluster.
Section 4 introduces our “strong” algorithm: CC-LP. CC-LP can be applied to any instance of concurrent cluster scheduling, including those with non-zero release times $r_{ji}$. A key in CC-LP’s strong performance guarantees lay in the fact that it allows different permutations of subjobs for different clusters. By providing additional structure to the problem (but while maintaining a generalization of concurrent open shop) CC-LP becomes
a 2-approximation. This is significant because it is UGC-Hard to approximate concurrent open shop (and by extension, our problem) with ratio $2 - \epsilon$ for any $\epsilon > 0$ [2].
Our combinatorial algorithm (“CC-TSPT”) is presented in Section 5. The algorithm is fast, provably accurate, and has the interesting property that it can schedule all clusters using the same permutation of jobs.\footnote{We call such schedules “single-$\sigma$ schedules.” As we will see later on, CC-TSPT serves as a constructive proof of existence of near-optimal single-$\sigma$ schedules for all instances of $CC||\sum w_j C_j$, \textit{including} those instances for which single-$\sigma$ schedules are strictly sub-optimal. This is addressed in Section 7.} After considering CC-TSPT in the general case, we show how fine-grained approximation ratios can be obtained in the “fully parallelizable” setting of Zhang et al. [17]. We conclude with an extension of CC-TSPT that maintains performance guarantees while offering improved empirical performance.
The following table summarizes our results for approximation ratios. For compactness, condition $Id$ refers to identical machines (i.e. $v_{\ell i}$ constant over $\ell$), condition $A$ refers to $r_{ji} \equiv 0$, and condition $B$ refers to $p_{jit}$ constant over $t \in T_{ji}$.
| | $(Id, A, B)$ | $(Id, \neg A, B)$ | $(Id, A, \neg B)$ | $(Id, \neg A, \neg B)$ | $(\neg Id, A)$ | $(\neg Id, \neg A)$ |
|----------------|--------------|--------------------|-------------------|------------------------|---------------|---------------------|
| CC-LP | 2 | 3 | 3 | 4 | $2 + R$ | $3 + R$ |
| CC-TSPT | 3 | - | 3 | - | $2 + R$ | - |
The term $R$ is the maximum over $i$ of $R_i$, where $R_i$ is the ratio of fastest machine to average machine speed at cluster $i$.
The most surprising of all of these results is that our scheduling algorithms are remarkably simple. The first algorithm solves an LP, and then the scheduling can be done easily on each cluster. The second algorithm is again a rather surprising simple reduction to the case of one machine per cluster (the well understood concurrent open shop problem) and yields a simple combinatorial algorithm. The proof of the approximation guarantee is somewhat involved however.
In addition to algorithmic results, we demonstrate how our problem subsumes that of minimizing total weighted lateness on a bank of identical parallel machines (see Section 6). Section 7 provides additional discussion and highlights our more novel technical contributions.
## 2 The Core Linear Program
Our linear program has an unusual form. Rather than introduce it immediately, we conduct a brief review of prior work on similar LP’s. All the LP’s we discuss in this paper have objective function $\sum w_j C_j$, where $C_j$ is a decision variable corresponding to the completion time of job $j$, and $w_j$ is a weight associated with job $j$.
For the following discussion only, we adopt the notation in which job $j$ has processing time $p_j$. In addition, if multiple machine problems are discussed, we will say that there are $m$ such machines (possibly with speeds $s_i, i \in \{1, \ldots, m\}$).
The earliest appearance of a similar linear program comes from Queyranne [13]. In his paper, Queyranne presents an LP relaxation for sequencing $n$ jobs on a single machine where all constraints are of the form $\sum_{j \in S} p_j C_j \geq \frac{1}{2} \left[ \left( \sum_{j \in S} p_j \right)^2 + \sum_{j \in S} p_j^2 \right]$ where $S$ is an arbitrary subset of jobs. Once a set of optimal $\{C_j^*\}$ is found, the jobs are scheduled in increasing order of $\{C_j^*\}$. These results were primarily theoretical, as it was known at his time of writing that sequencing $n$ jobs on a single machine to minimize $\sum w_j C_j$ can be done optimally in $O(n \log n)$ time.
Queyranne’s constraint set became particularly useful for problems with *coupling* across distinct machines (as occurs in concurrent open shop). Four separate groups [3, 4, 9, 10] saw this and used the following LP in a 2-approximation for concurrent open shop scheduling.
\[
\text{(LP0)} \quad \min \sum_{j \in N} w_j C_j \quad \text{s.t.} \quad \sum_{j \in S} p_{ji} C_j \geq \frac{1}{2} \left[ \left( \sum_{j \in S} p_{ji} \right)^2 + \left( \sum_{j \in S} p_{ji}^2 \right) \right] \quad \forall \frac{S \subseteq N}{i \in M}
\]
In view of its tremendous popularity, we sometimes refer to the linear program above as the *canonical relaxation* for concurrent open shop.
Andreas Schulz’s Ph.D. thesis developed Queyranne’s constraint set in greater depth [14]. As part of his thesis, Schulz considered scheduling $n$ jobs on $m$ identical parallel machines with constraints of the form $\sum_{j \in S} p_{ji} C_j \geq \frac{1}{2m} \left( \sum_{j \in S} p_{ji} \right)^2 + \frac{1}{2} \sum_{j \in S} p_{ji}^2$. In addition, Schulz showed that the constraints $\sum_{j \in S} p_{ji} C_j \geq \left[ 2 \sum_{i=1}^{m} s_i \right]^{-1} \left[ \left( \sum_{j \in S} p_{ji} \right)^2 + \sum_{j \in S} p_{ji}^2 \right]$ are satisfied by any schedule of $n$ jobs on $m$ uniform machines. In 2012, Schulz refined the analysis for several of these problems [15]. For constructing a schedule from the optimal $\{C_j^*\}$, Schulz considered scheduling jobs by increasing order of $\{C_j^*\}$, $\{C_j^* - p_j/2\}$, and $\{C_j^* - p_j/(2m)\}$.
### 2.1 Statement of LP1
The model we consider allows for more fine-grained control of the job structure than is indicated by the LP relaxations above. Inevitably, this comes at some expense of simplicity in LP formulations. In an effort to simplify notation, we define the following constants, and give verbal interpretations for each.
\[
\mu_i \doteq \sum_{\ell=1}^{m_i} v_{\ell i} \quad q_{ji} \doteq \min \{|T_{ji}|, m_i\} \quad \mu_{ji} \doteq \sum_{\ell=1}^{q_{ji}} v_{\ell i} \quad p_{ji} \doteq \sum_{t \in T_{ji}} p_{jit}
\]
From these definitions, $\mu_i$ is the processing power of cluster $i$. For subjob $(j,i)$, $q_{ji}$ is the maximum number of machines that could process the subjob, and $\mu_{ji}$ is the maximum processing power than can be brought to bear on the same. Lastly, $p_{ji}$ is the total processing requirement of subjob $(j,i)$. In these terms, the core linear program, LP1, is as follows.
\[
\text{(LP1)} \quad \min \sum_{j \in N} w_j C_j
\]
\[
\text{s.t.} \quad (1A) \quad \sum_{j \in S} p_{ji} C_j \geq \frac{1}{2} \left[ \left( \sum_{j \in S} p_{ji} \right)^2 / \mu_i + \sum_{j \in S} p_{ji}^2 / \mu_{ji} \right] \quad \forall S \subseteq N, i \in M
\]
\[
(1B) \quad C_j \geq p_{jit}/v_{1i} + r_{ji} \quad \forall i \in M, \ j \in N, \ t \in T_{ji}
\]
\[
(1C) \quad C_j \geq p_{ji}/\mu_{ji} + r_{ji} \quad \forall j \in N, \ i \in M
\]
Constraints $(1A)$ are more carefully formulated versions of the polyhedral constraints introduced by Queyranne [13] and developed by Schulz [14]. The use of $\mu_{ji}$ term is new and allows us to provide stronger performance guarantees for our framework where subjobs are composed of *sets* of tasks. As we will see, this term is one of the primary factors that allows us to parametrize results under varying machine speeds in terms of maximum to *average* machine speed, rather than maximum to *minimum* machine speed. Constraints $(1B)$ and $(1C)$ are simple lower bounds on job completion time.
The majority of this section is dedicated to proving that LP1 is a valid relaxation of $CC|r|\sum w_j C_j$. Once this is established, we prove the that LP1 can be solved in polynomial time by providing a separation oracle with use in the Ellipsoid method. Both of these proofs use techniques established in Schulz’s Ph.D. thesis [14].
2.2 Proof of LP1’s Validity
The lemmas below establish the basis for both of our algorithms. Lemma 2 generalizes an inequality used by Schulz [14]. Lemma 3 relies on Lemma 2 and cites an inequality mentioned in the preceding section (and proven by Queyranne [13]).
▶ **Lemma 2.** Let \( \{a_1, \ldots a_z\} \) be a set of non-negative real numbers. We assume that \( k \leq z \) of them are positive. Let \( b_i \) be a set of decreasing positive real numbers. Then
\[
\sum_{i=1}^{z} a_i^2 / b_i \geq (\sum_{i=1}^{z} a_i)^2 / \left( \sum_{i=1}^{k} b_i \right).
\]
The proof (found in the full version of this paper, [12]) cites the AM-GM inequality and proceeds with induction from \( z = k = 2 \).
▶ **Lemma 3 (Validity Lemma).** Every feasible schedule for an instance \( I \) of CC|r| \(\sum w_j C_j\) has completion times that define a feasible solution to LP1(I).
**Proof.** As constraints (1B) and (1C) are clear lower bounds on job completion time, it suffices to show the validity of constraint (1A). Thus, let \( S \) be a non-empty subset of \( N \), and fix an arbitrary but feasible schedule “\( F \)” for \( I \).
Define \( C_{ji}^F \) as the completion time of subjob \((j,i)\) under schedule \( F \). Similarly, define \( C_{jit}^F \) as the first time at which tasks of subjob \((j,i)\) scheduled on machine \( \ell \) of cluster \( i \) are finished. Lastly, define \( p_{ji}^\ell \) as the total processing requirement of job \( j \) scheduled on machine \( \ell \) of cluster \( i \). Note that by construction, we have \( C_{ji}^F = \max_{\ell \in \{1, \ldots, m_i\}} C_{jit}^F \) and \( C_j^F = \max_{i \in M} C_{ji}^F \). Since \( p_{ji} = \sum_{\ell=1}^{m_i} p_{ji}^\ell \), we can rather innocuously write
\[
\sum_{j \in S} p_{ji} C_{ji}^F = \sum_{j \in S} \left[ \sum_{\ell=1}^{m_i} p_{ji}^\ell \right] C_{ji}^F. \tag{2}
\]
But using \( C_{ji}^F \geq C_{jit}^F \), we can lower-bound \( \sum_{j \in S} p_{ji} C_{ji}^F \). Namely,
\[
\sum_{j \in S} p_{ji} C_{ji}^F \geq \sum_{j \in S} \sum_{\ell=1}^{m_i} p_{ji}^\ell C_{jit}^F = \sum_{\ell=1}^{m_i} v_{\ell i} \sum_{j \in S} \left[ p_{ji}^\ell / v_{\ell i} \right] C_{jit}^F. \tag{3}
\]
The next inequality uses a bound on \( \sum_{j \in S} \left[ p_{ji}^\ell / v_{\ell i} \right] C_{jit}^F \) proven by Queyranne [13] for any subset \( S \) of \( N \) jobs with processing times \( \left[ p_{ji}^\ell / v_{\ell i} \right] \) to be scheduled on a single machine,\(^5\)
\[
\sum_{j \in S} \left[ p_{ji}^\ell / v_{\ell i} \right] C_{jit}^F \geq \frac{1}{2} \left[ \left( \sum_{j \in S} \left[ p_{ji}^\ell / v_{\ell i} \right] \right)^2 + \sum_{j \in S} \left( \left[ p_{ji}^\ell / v_{\ell i} \right] \right)^2 \right]. \tag{4}
\]
Combining inequalities (3) and (4), we have the following.
\[
\sum_{j \in S} p_{ji} C_{ji}^F \geq \frac{1}{2} \sum_{\ell=1}^{m_i} v_{\ell i} \left[ \left( \sum_{j \in S} \left[ p_{ji}^\ell / v_{\ell i} \right] \right)^2 + \sum_{j \in S} \left( \left[ p_{ji}^\ell / v_{\ell i} \right] \right)^2 \right] \tag{5}
\]
\[
\geq \frac{1}{2} \left[ \sum_{\ell=1}^{m_i} \left( \sum_{j \in S} p_{ji}^\ell \right)^2 / v_{\ell i} + \sum_{j \in S} \sum_{\ell=1}^{m_i} \left( p_{ji}^\ell \right)^2 / v_{\ell i} \right]. \tag{6}
\]
Next, we apply Lemma 2 to the right hand side of inequality (6) a total of \( |S|+1 \) times.
\[
\sum_{\ell=1}^{m_i} \left( \sum_{j \in S} p_{ji}^\ell \right)^2 / v_{\ell i} \geq \left( \sum_{\ell=1}^{m_i} \sum_{j \in S} p_{ji}^\ell \right)^2 / \sum_{\ell=1}^{m_i} v_{\ell i} = \left( \sum_{j \in S} p_{ji} \right)^2 / \mu_i \tag{7}
\]
\[
\sum_{\ell=1}^{m_i} \left( p_{ji}^\ell \right)^2 / v_{\ell i} \geq \left( \sum_{\ell=1}^{m_i} p_{ji}^\ell \right)^2 / \sum_{\ell=1}^{q_{ji}} v_{\ell i} = p_{ji}^2 / \mu_{ji} \quad \forall \ j \in S \tag{8}
\]
Citing \( C_j^F \geq C_{ji}^F \), we arrive at the desired result.
\[
\sum_{j \in S} p_{ji} C_{ji}^F \geq \frac{1}{2} \left[ \left( \sum_{j \in S} p_{ji} \right)^2 / \mu_i + \sum_{j \in S} p_{ji}^2 / \mu_{ji} \right] \quad \text{“constraint (1A)”} \tag{9}
\]
\(^5\) Here, our machine is machine \( \ell \) on cluster \( i \).
2.3 Theoretical Complexity of LP1
As the first of our two algorithms requires solving LP1 directly, we need to address the fact that LP1 has \( m \cdot (2^n - 1) + n \) constraints. Luckily, it is still possible to such solve linear programs in polynomial time with the Ellipsoid method; we introduce the following separation oracle for this purpose.
**Definition 4 (Oracle LP1).** Define the *violation*
\[
V(S, i) = \frac{1}{2} \left[ \left( \sum_{j \in S} p_{ji} \right)^2 / \mu_i + \sum_{j \in S} p_{ji}^2 / \mu_{ji} \right] - \sum_{j \in S} p_{ji} C_j
\]
Let \( \{C_j\} \in \mathbb{R}^n \) be a *potentially* feasible solution to LP1. Let \( \sigma_i \) denote the ordering when jobs are sorted in increasing order of \( C_j - p_{ji}/(2\mu_{ji}) \). Find the most violated constraint in (1A) for \( i \in M \) by searching over \( V(S_i, i) \) for \( S_i \) of the form \( \{\sigma_i(1), \ldots, \sigma_i(j-1), \sigma_i(j)\}, j \in \{1, \ldots, n\} \). If any of maximal \( V(S_i^*, i) > 0 \), then return \( (S_i^*, i) \) as a violated constraint for (1A). Otherwise, check the remaining \( n \) constraints ((1B) and (1C)) directly in linear time.
For fixed \( i \), Oracle-LP1 finds the subset of jobs that maximizes “violation” for cluster \( i \). That is, Oracle-LP1 finds \( S_i^* \) such that \( V(S_i^*, i) = \max_{S \subset N} V(S, i) \). We prove the correctness of Oracle-LP1 by establishing a necessary and sufficient condition for a job \( j \) to be in \( S_i^* \).
**Lemma 5.** For \( \mathbb{P}_i(A) = \sum_{j \in A} p_{ji} \), we have \( x \in S_i^* \Leftrightarrow C_x - p_{xi}/(2\mu_{xi}) \leq \mathbb{P}_i(S_i^*)/\mu_i \).
**Proof.** For given \( S \) (not necessarily equal to \( S_i^* \)), it is useful to express \( V(S, i) \) in terms of \( V(S \cup x, i) \) or \( V(S \setminus x, i) \) (depending on whether \( x \in S \) or \( x \in N \setminus S \)). Without loss of generality, we restrict our search to \( S : x \in S \Rightarrow p_{x,i} > 0 \).
Suppose \( x \in S \). By writing \( \mathbb{P}_i(S) = \mathbb{P}_i(S \setminus x) + \mathbb{P}_i(x) \), and similarly decomposing the sum \( \sum_{j \in S} p_{ji}^2/(2\mu_{ji}) \), one can show the following,
\[
V(S, i) = V(S \setminus x, i) + p_{xi} \left( \frac{1}{2} \left( \frac{2\mathbb{P}_i(S) - p_{xi}}{\mu_i} + \frac{p_{xi}}{\mu_{xi}} \right) - C_x \right)
\]
Now suppose \( x \in N \setminus S \). In the same strategy as above (this time writing \( \mathbb{P}_i(S) = \mathbb{P}_i(S \cup x) - \mathbb{P}_i(x) \)), one can show that
\[
V(S, i) = V(S \cup x, i) + p_{xi} \left( C_x - \frac{1}{2} \left( \frac{2\mathbb{P}_i(S) + p_{xi}}{\mu_i} + \frac{p_{xi}}{\mu_{xi}} \right) \right).
\]
Note that Equations (11) and (12) hold for all \( S \), including \( S = S_i^* \). Turning our attention to \( S_i^* \), we see that \( x \in S_i^* \) implies that the second term in Equation (11) is non-negative, i.e.
\[
C_x - p_{xi}/(2\mu_{xi}) \leq (2\mathbb{P}_i(S_i^*) - p_{xi})/(2\mu_i) < \mathbb{P}_i(S_i^*)/\mu_i.
\]
Similarly, \( x \in N \setminus S_i^* \) implies the second term in Equation (12) is non-negative.
\[
C_x - p_{xi}/(2\mu_{xi}) \geq (2\mathbb{P}_i(S_i^*) + p_{xi})/(2\mu_i) \geq \mathbb{P}_i(S_i^*)/\mu_i
\]
It follows that \( x \in S_i^* \) iff \( C_x - p_{xi}/(2\mu_{xi}) < \mathbb{P}_i(S_i^*)/\mu_i \).
Given Lemma 5, It is easy to verify that sorting jobs in increasing order of \( C_x - p_{xi}/(2\mu_{xi}) \) to define a permutation \( \sigma_i \) guarantees that \( S_i^* \) is of the form \( \{\sigma_i(1), \ldots, \sigma_i(j-1), \sigma_i(j)\} \) for some \( j \in N \). This implies that for fixed \( i \), Oracle-LP1 finds \( S_i^* \) in \( O(n \log(n)) \) time. This procedure is executed once for each cluster, leaving the remaining \( n \) constraints in (1B) and (1C) to be verified in linear time. Thus Oracle-LP1 runs in \( O(mn \log(n)) \) time.
By the equivalence of separation and optimization, we have proven the following theorem:
**Theorem 6.** $LP1(I)$ is a valid relaxation of $I \in \Omega_{CC}$, and is solvable in polynomial time.
As was explained in the beginning of this section, linear programs such as those in [3, 4, 9, 13, 14, 15] are processed with an appropriate sorting of the optimal decision variables $\{C_j^*\}$. It is important then to have bounds on job completion times for a particular ordering of jobs. We address this next in Section 3, and reserve our first algorithm for Section 4.
## 3 List Scheduling from Permutations
The complex work in both of our proposed algorithms is to generate a permutation of jobs. The procedure below takes such a permutation and uses it to determine start times, end times, and machine assignments for every task of every subjob.
**List-LPT:** Given a single cluster with $m_i$ machines and a permutation of jobs $\sigma$, introduce $\text{List}(a,i) \doteq (p_{a1i}, p_{a2i}, \ldots, p_{a1|T_{a,i}|})$ as an ordered set of tasks belonging to subjob $(a,i)$, ordered by longest processing time first. Now define $\text{List}(\sigma) \doteq \text{List}(\sigma(1), i) \oplus \text{List}(\sigma(2), i) \oplus \cdots \oplus \text{List}(\sigma(n), i)$, where $\oplus$ is the concatenation operator.
Place the tasks of $\text{List}(\sigma)$ in order- from the largest task of subjob $(\sigma(1), i)$, to the smallest task of subjob $(\sigma(n), i)$. When placing a particular task, assign it whichever machine and start time results in the task being completed as early as possible (without moving any tasks which have already been placed). Insert idle time (on all $m_i$ machines) as necessary if this procedure would otherwise start a job before its release time.
The following Lemma is essential to bound the completion time of a set of jobs processed by List-LPT. The proof is adapted from Gonzalez et al. [5].
**Lemma 7.** Suppose $n$ jobs are scheduled on cluster $i$ according to List-LPT($\sigma$). Then for $\bar{v}_i \doteq \mu_i / m_i$, the completion time of subjob $(\sigma(j), i)$ (denoted $C_{\sigma(j)i}$) satisfies
$$C_{\sigma(j)i} \leq \max_{1 \leq k \leq j} r_{\sigma(k)i} + p_{\sigma(j)i} / \bar{v}_i + \left( \sum_{k=1}^{j} p_{\sigma(k)i} - p_{\sigma(j)1i} \right) / \mu_i$$ \hspace{1cm} (15)
**Proof.** For now, assume all jobs are released at time zero. Let the task of subjob $(\sigma(j), i)$ to finish last be denoted $t^*$. If $t^*$ is not the task in $T_{\sigma(j)i}$ with least processing time, then construct a new set $T'_{\sigma(j)i} = \{ t : p_{\sigma(j)it^*} \leq p_{\sigma(j)it} \} \subset T_{\sigma(j)i}$. Because the tasks of subjob $(\sigma(j), i)$ were scheduled by List-LPT (i.e. longest-processing-time-first), the sets of potential start times and machines for task $t^*$ (and hence the set of potential completion times for task $t^*$) are the same regardless of whether subjob $(\sigma(j), i)$ consisted of tasks $T_{\sigma(j)i}$ or the subset $T'_{\sigma(j)i}$. Accordingly, reassign $T_{\sigma(j)i} \leftarrow T'_{\sigma(j)i}$ without loss of generality.
Let $D^j_\ell$ denote the total demand for machine $\ell$ (on cluster $i$) once all tasks of subjobs $(\sigma(1), i)$ through $(\sigma(j-1), i)$ and all tasks in the set $T_{\sigma(j)i} \setminus \{t^*\}$ are scheduled. Using the fact that $C_{\sigma(j)i} v_{\ell i} \leq (D^j_\ell + p_{\sigma(j)it^*}) \forall \ell \in \{1, \ldots, m_i\}$, sum the left and right sides over $\ell$. This implies $C_{\sigma(j)i} (\sum_{\ell=1}^{m_i} v_{\ell i}) \leq m_i p_{\sigma(j)it^*} + \sum_{\ell=1}^{m_i} D^j_\ell$. Dividing by the sum of machine speeds and using the definition of $\mu_i$ yields
$$C_{\sigma(j)i} \leq m_i p_{\sigma(j)it^*} / \mu_i + \sum_{\ell=1}^{m_i} D^j_\ell / \mu_i \leq p_{\sigma(j)1i} / \bar{v}_i + \left( \sum_{k=1}^{j} p_{\sigma(k)i} - p_{\sigma(j)1i} \right) / \mu_i$$ \hspace{1cm} (16)
where we estimated $p_{\sigma(j)it^*}$ upward by $p_{\sigma(j)1i}$. Inequality (16) completes our proof in the case when $r_{ji} \equiv 0$. The alternative case is addressed in the full version of this paper. □
Lemma 7 is cited directly in the proof of Theorem 8 and Lemma 13. Lemma 7 is used implicitly in the proofs of Theorems 9, 10, and 15.
4 An LP-based Algorithm
In this section we show how LP1 can be used to construct near optimal schedules for concurrent cluster scheduling both when \( r_{ji} \equiv 0 \) and when some \( r_{ji} > 0 \). Although solving LP1 is somewhat involved, the algorithm itself is quite simple:
**Algorithm CC-LP**: Let \( I = (T, r, w, v) \) denote an instance of \( CC|r| \sum w_j C_j \). Use the optimal solution \( \{C^*_j\} \) of LP1(I) to define \( m \) permutations \( \{\sigma_i : i \in M\} \) which sort jobs in increasing order of \( C^*_j - p_{ji}/(2\mu_{ji}) \). For each cluster \( i \), execute List-LPT(\( \sigma_i \)).
Each theorem in this section can be characterized by how various assumptions help us cancel an additive term\(^6\) in an upper bound for the completion time of an arbitrary subjob \((x, i)\). Theorem 8 is the most general, while Theorem 10 is perhaps the most surprising.
### 4.1 CC-LP for Uniform Machines
**Theorem 8.** Let \( \hat{C}_j \) be the completion time of job \( j \) using algorithm CC-LP, and let \( R \) be as in Section 1.3. If \( r_{ji} \equiv 0 \), then \( \sum_{j \in N} w_j \hat{C}_j \leq (2 + R) OPT \). Otherwise, \( \sum_{j \in N} w_j \hat{C}_j \leq (3 + R) OPT \).
**Proof.** For \( y \in \mathbb{R} \), define \( y^+ = \max\{y, 0\} \). Now let \( x \in N \) be arbitrary, and let \( i \in M \) be such that \( p_{xi} > 0 \) (but otherwise arbitrary). Define \( t^* \) as the last task of job \( x \) to complete on cluster \( i \), and let \( j_i \) be such that \( \sigma_i(j_i) = x \). Lastly, denote the optimal LP solution \( \{C_j\} \).\(^7\) Because \( \{C_j\} \) is a feasible solution to LP1, constraint (1A) implies the following (set \( S_i = \{\sigma_i(1), \ldots, \sigma_i(j_i - 1), x\} \))
\[
\left( \frac{\sum_{k=1}^{j_i} p_{\sigma_i(k)i}}{2\mu_i} \right)^2 \leq \sum_{k=1}^{j_i} p_{\sigma_i(k)i} \left( C_{\sigma_i(k)} - \frac{p_{\sigma_i(k)i}}{2\mu_{\sigma_i(k)i}} \right) \leq \left( C_x - \frac{p_{xi}}{2\mu_{xi}} \right) \sum_{k=1}^{j_i} p_{\sigma_i(k)i}
\]
which in turn implies \( \sum_{k=1}^{j_i} p_{\sigma_i(k)i}/\mu_i \leq 2C_x - p_{xi}/(2\mu_{xi}) \).
If all subjobs are released at time zero, then we can combine this with Lemma 7 and the fact that \( p_{xit^*} \leq p_{xi} = \sum_{t \in T_{xi}} p_{xit} \) to see the following (the transition from the first inequality the second inequality uses \( C_x \geq p_{xit^*}/v_1 \), and \( R_i = v_1/\bar{v}_i \)).
\[
\hat{C}_{xi} \leq 2C_x - \frac{p_{xi}}{\mu_{xi}} + \frac{p_{xit^*}}{\bar{v}_i} - \frac{p_{xit^*}}{\mu_i} \leq C_x (2 + [R_i(1 - 2/m_i)]^+)
\]
When one or more subjobs are released after time zero, Lemma 7 implies that it is sufficient to bound \( \max_{1 \leq k \leq j_i} \{r_{\sigma_i(k)i}\} \) by some constant multiple of \( C_x \). Since \( \sigma_i \) is defined by increasing \( L_{ji} \doteq C_j - p_{ji}/(2\mu_{ji}) \), \( L_{\sigma_i(a)i} \leq L_{\sigma_i(b)i} \) implies
\[
r_{\sigma_i(a)i} + \frac{p_{\sigma_i(a)i}}{2\mu_{\sigma_i(a)i}} + \frac{p_{\sigma_i(b)i}}{2\mu_{\sigma_i(b)i}} C_{\sigma_i(a)} - \frac{p_{\sigma_i(a)i}}{2\mu_{\sigma_i(a)i}} + \frac{p_{\sigma_i(b)i}}{2\mu_{\sigma_i(b)i}} \leq C_{\sigma_i(b)} \quad \forall \; a \leq b
\]
and so \( \max_{1 \leq k \leq j_i} \{r_{\sigma_i(l)i}\} + p_{xi}/(2\mu_{xi}) \leq C_x \). As before, combine this with Lemma 7 and the fact that \( p_{xit^*} \leq p_{xi} = \sum_{t \in T_{xi}} p_{xit} \) to yield the following inequalities
\[
\hat{C}_{xi} \leq 3C_x - \frac{3p_{xi}}{2\mu_{xi}} + \frac{p_{xit^*}}{\bar{v}_i} - \frac{p_{xit^*}}{\mu_i} \leq C_x (3 + [R_i(1 - 5/(2m_i))]^+)
\]
-which complete our proof.
---
\(^6\) “+\( p_{xit^*} \)”; see associated proofs.
\(^7\) We omit the customary \( * \) to avoid clutter in notation.
4.2 CC-LP for Identical Machines
▶ Theorem 9. If machines are of unit speed, then CC-LP yields an objective that is...
| | $r_{ji} \equiv 0$ | some $r_{ji} > 0$ |
|------------------------|-------------------|-------------------|
| single-task subjobs | $\leq 2 \text{ OPT}$ | $\leq 3 \text{ OPT}$ |
| multi-task subjobs | $\leq 3 \text{ OPT}$ | $\leq 4 \text{ OPT}$ |
Proof. Define $[\cdot]^+$, $x$, $C_x$, $\hat{C}_x$, $i$, $\sigma_i$, and $t^*$ as in Theorem 8. When $r_{ji} \equiv 0$, one need only give a more careful treatment of the first inequality in (18) (using $\mu_{ji} = q_{ji}$).
$$\hat{C}_{x,i} \leq 2C_x + p_{xit^*} - p_{xit^*}/m_i - p_{xi}/q_{xi} \leq C_x(2 + [1 - 1/m_i - 1/q_{xi}]^+)$$ \hspace{1cm} (21)
Similarly, when some $r_{ji} > 0$, the first inequality in (20) implies the following.
$$\hat{C}_{x,i} \leq 3C_x + p_{xit^*} - p_{xit^*}/m_i - 3p_{xi}/(2q_{xi}) \leq C_x(3 + [1 - 1/m_i - 3/(2q_{xi})]^+)$$ \hspace{1cm} (22)
The key in the refined analysis of Theorem 9 lay in how $-p_{xi}/q_{xi}$ is used to annihilate $+p_{xit^*}$. While $q_{xi} = 1$ (i.e. single-task subjobs) is sufficient to accomplish this, it is not strictly necessary. The theorem below shows that we can annihilate the $+p_{xit^*}$ term whenever all tasks of a given subjob are of the same length. Note that the tasks need not be unit, as the lengths of tasks across different subjobs can differ.
▶ Theorem 10. Suppose $v_{ti} \equiv 1$. If $p_{jit}$ is constant over $t \in T_{ji}$ for all $j \in N$ and $i \in M$, then algorithm CC-LP is a 2-approximation when $r_{ji} \equiv 0$, and a 3-approximation otherwise.
Proof. The definition of $p_{xi}$ gives $p_{xi}/q_{xi} = \sum_{t \in T_{xi}} p_{xit}/q_{xi}$. Using the assumption that $p_{jit}$ is constant over $t \in T_{ji}$, we see that $p_{xi}/q_{xi} = (q_{xi} + |T_{xi}| - q_{xi})p_{xit^*}/q_{xi}$, where $|T_{xi}| \geq q_{xi}$. Apply this to Inequality (21) from the proof of Theorem 9; some algebra yields
$$\hat{C}_{xi} \leq 2C_x - p_{xit^*}/m_i - p_{xit^*}(|T_{xi}| - q_{xi})/q_{xi} \leq 2C_x.$$ \hspace{1cm} (23)
The case with some $r_{ji} > 0$ uses the same identity for $p_{xi}/q_{xi}$.
Bansal and Khot [2] showed that is is UGC-Hard to approximate $CC|m_i \equiv 1|\sum w_j C_j$ with a constant factor less than 2. Theorem 10 is significant because it shows that CC-LP can attain the same guarantee for arbitrary $m_i$, provided $v_{ti} \equiv 1$ and $p_{jit}$ is constant over $t$.
5 Combinatorial Algorithms
In this section, we introduce an extremely fast combinatorial algorithm with performance guarantees similar to CC-LP for “unstructured” inputs (i.e. those for which some $v_{ti} > 1$, or some $T_{ji}$ have $p_{jit}$ non-constant over $t$). We call this algorithm CC-TSPT. CC-TSPT uses the MUSSQ algorithm for concurrent open shop (from [10]) as a subroutine. As SWAG (from [8]) motivated development of CC-TSPT, we first address SWAG’s worst-case performance.
5.1 A Degenerate Case for SWAG
The full version of this paper contains a detailed explanation of SWAG’s mechanics beside pseudocode as a necessary component of making claims on worst-case performance. In this version of the paper, we omit this reference material for space considerations.
▶ Theorem 11. For an instance $I$ of $PD||\sum C_j$, let $SWAG(I)$ denote the objective function value of $SWAG$ applied to $I$, and let $OPT(I)$ denote the objective function value of an optimal solution to $I$. Then for all $L \geq 1$, there exists an $I \in \Omega_{PD||\sum C_j}$ such that $SWAG(I)/OPT(I) > L$.
Proof. Let $L \in \mathbb{N}^+$ be fixed but otherwise arbitrary. Construct an instance $I_L^m$ as follows:
$N = N_1 \cup N_2$ where $N_1$ is a set of $m$ jobs, and $N_2$ is a set of $L$ jobs. Job $j \in N_1$ has processing time $p$ on cluster $j$ and zero all other clusters. Job $j \in N_2$ has processing time $p(1 - \epsilon)$ on all $m$ clusters. $\epsilon$ is chosen so that $\epsilon < 1/L$.
It is easy to verify that SWAG will generate a schedule where all jobs in $N_2$ precede all jobs in $N_1$ (due to the savings of $p\epsilon$ for jobs in $N_2$). We propose an alternative solution in which all jobs in $N_1$ precede all jobs in $N_2$. Denote the objective value for this alternative solution $ALT(I_L^m)$, noting $ALT(I_L^m) \geq OPT(I_L^m)$.
By symmetry, and the fact that all clusters have a single machine, we can see that $SWAG(I_L^m)$ and $ALT(I_L^m)$ are given by the following
$$SWAG(I_L^m) = p(1 - \epsilon)L(L + 1)/2 + p(1 - \epsilon)Lm + pm$$ \hspace{1cm} (24)
$$ALT(I_L^m) = p(1 - \epsilon)L(L + 1)/2 + pL + pm$$ \hspace{1cm} (25)
Since $L$ is fixed, we can take the limit with respect to $m$.
$$\lim_{m \to \infty} \frac{SWAG(I_L^m)}{ALT(I_L^m)} = \lim_{m \to \infty} \frac{p(1 - \epsilon)Lm + pm}{pm} = L(1 - \epsilon) + 1 > L$$ \hspace{1cm} (26)
The above implies the existence of a sufficiently large number of clusters $\overline{m}$, such that $m \geq \overline{m}$ implies $SWAG(I_L^m)/OPT(I_L^m) > L$. This completes our proof. ▶
Theorem 11 demonstrates that although SWAG performed well in simulations, it may not be reliable. The rest of this section introduces an algorithm not only with superior runtime to SWAG (generating a permutation of jobs in $O(n^2 + nm)$ time, rather than $O(n^2m)$ time), but also a constant-factor performance guarantee.
5.2 CC-TSPT: A Fast 2 + R Approximation
Our combinatorial algorithm for concurrent cluster scheduling exploits an elegant transformation to concurrent open shop. Once we consider this simpler problem, it can be handled with MUSSQ [10] and List-LPT. Our contributions are twofold: (1) we prove that this intuitive technique yields an approximation algorithm for a decidedly more general problem, and (2) we show that a non-intuitive modification can be made that maintains theoretical bounds while improving empirical performance. We begin by defining our transformation.
▶ Definition 12 (The Total Scaled Processing Time (TSPT) Transformation). Let $\Omega_{CC}$ be the set of all instances of $CC||\sum w_jC_j$, and let $\Omega_{PD}$ be the set of all instances of $PD||\sum w_jC_j$. Note that $\Omega_{PD} \subset \Omega_{CC}$. Then the Total Scaled Processing Time Transformation is a mapping
$$TSPT : \Omega_{CC} \rightarrow \Omega_{PD} \quad \text{with} \quad (T, v, w) \mapsto (X, w) : x_{ji} = \sum_{t \in T_j} p_{jit}/\mu_t$$
i.e., $x_{ji}$ is the total processing time required by subjob $(j, i)$, scaled by the sum of machine speeds at cluster $i$. Throughout this section, we will use $I = (T, v, w)$ to denote an arbitrary instance of $CC||\sum w_j C_j$, and $I' = (X, w)$ as the image of $I$ under TSPT. Figure 3 shows the result of TSPT applied to our baseline example.
**Figure 3** An instance $I$ of $CC||\sum w_j C_j$, and its image $I' = TSPT(I)$. The schedules were constructed with List-LPT using the same permutation for $I$ and $I'$.
We take the time to emphasize the simplicity of our reduction. Indeed, the TSPT transformation is perhaps the first thing one would think of given knowledge of the concurrent open shop problem. What is surprising is how one can attain constant-factor performance guarantees even after such a simple transformation.
**Algorithm CC-TSPT**: Execute MUSSQ on $I' = TSPT(I)$ to generate a permutation of jobs $\sigma$. List schedule instance $I$ by $\sigma$ on each cluster according to List-LPT.
Towards proving the approximation ratio for CC-TSPT, we will establish a critical inequality in Lemma 13. The intuition behind Lemma 13 requires thinking of every job $j$ in $I$ as having a corresponding representation in $j'$ in $I'$. Job $j$ in $I$ will be scheduled in the $CC$ environment, while job $j'$ in $I'$ will be scheduled in the $PD$ environment. We consider what results when the same permutation $\sigma$ is used for scheduling in both environments.
Now the definitions for the lemma: let $C_{\sigma(j)}^{CC}$ be the completion time of job $\sigma(j)$ resulting from List-LPT on an arbitrary permutation $\sigma$. Define $C_{\sigma(j)}^{CC*}$ as the completion time of job $\sigma(j)$ in the $CC$ environment in the optimal solution. Lastly, define $C_{\sigma(j')}^{PD,I'}$ as the completion time of job $\sigma(j')$ in $I'$ when scheduling by List-LPT($\sigma$) in the $PD$ environment.
**Lemma 13.** For $I' = TSPT(I)$, let $j'$ be the job in $I'$ corresponding to job $j$ in $I$. For an arbitrary permutation of jobs $\sigma$, we have $C_{\sigma(j)}^{CC} \leq C_{\sigma(j')}^{PD,I'} + R \cdot C_{\sigma(j)}^{CC*}$.
**Proof.** After list scheduling has been carried out in the $CC$ environment, we may determine $C_{\sigma(j)i}^{CC}$ – the completion time of subjob $(\sigma(j), i)$. We can bound $C_{\sigma(j)i}^{CC}$ using Lemma 7 (which implies (27)), and the serial-processing nature of the $PD$ environment (which implies (28)).
$$C_{\sigma(j)i}^{CC} \leq p_{\sigma(j)i1} \left( \frac{1}{\bar{v}} - \frac{1}{\mu_i} \right) + \sum_{\ell=1}^{j} p_{\sigma(\ell)i}/\mu_i \quad (27)$$
$$\sum_{\ell=1}^{j} p_{\sigma(\ell)i}/\mu_i \leq C_{\sigma(j')}^{PD,I'} \quad \forall \; i \in M \quad (28)$$
If we relax the bound given in Inequality (27) and combine it with Inequality (28), we see that $C_{\sigma(j)i}^{CC} \leq C_{\sigma(j')}^{PD,I'} + p_{\sigma(j)i1}/\bar{v}$. The last step is to replace the final term with something more meaningful. Using $p_{\sigma(j)1}/\bar{v} \leq R \cdot C_{\sigma(j)}^{CC*}$ (which is immediate from the definition of $R$) the desired result follows.
While Lemma 13 is true for arbitrary $\sigma$, now we consider $\sigma = MUSSQ(X, w)$. The proof of MUSSQ’s correctness established the first inequality in the chain of inequalities below. The
second inequality can be seen by substituting $p_{ji}/\mu_i$ for $x_{ji}$ in LP0($I'$) (this shows that the constraints in LP0($I'$) are weaker than those in LP1($I$)). The third inequality follows from the Validity Lemma.
$$\sum_{j \in N} w_{\sigma(j)} C_{\sigma(j)}^{PD,I'} \leq 2 \sum_{j \in N} w_j C_j^{\text{LP0}(I')} \leq 2 \sum_{j \in N} w_j C_j^{\text{LP1}(I)} \leq 2 \text{OPT}(I)$$
(29)
Combining Inequality (29) with Lemma 13 allows us to bound the objective in a way that does not make reference to $I'$.
$$\sum_{j \in N} w_{\sigma(j)} C_{\sigma(j)}^{CC} \leq \sum_{j \in N} w_{\sigma(j)} \left[ C_{\sigma(j)}^{PD,I'} + R \cdot C_{\sigma(j)}^{CC,*} \right] \leq 2 \cdot \text{OPT}(I) + R \cdot \text{OPT}(I)$$
(30)
Inequality (30) completes our proof of the following theorem.
▶ **Theorem 14.** Algorithm CC-TSPT is a $2 + R$ approximation for $CC|| \sum w_j C_j$.
### 5.3 CC-TSPT with Unit Tasks and Identical Machines
Consider concurrent cluster scheduling with $v_{\ell i} = p_{ji\ell} = 1$ (i.e., all processing times are unit, although the size of the collections $T_{ji}$ are unrestricted). In keeping with the work of Zhang, Wu, and Li [17] (who studied this problem in the single-cluster case), we call instances with these parameters “fully parallelizable,” and write $\beta = fps$ for Graham’s $\alpha|\beta|\gamma$ taxonomy.
Zhang et al. showed that scheduling jobs greedily by “Largest Ratio First” (decreasing $w_j/p_j$) results in a 2-approximation, where 2 is a tight bound. This comes as something of a surprise since the Largest Ratio First policy is optimal for $1|| \sum w_j C_j$ - which their problem very closely resembles. We now formalize the extent to which $P|fps|\sum w_j C_j$ resembles $1|| \sum w_j C_j$: define the time resolution of an instance $I$ of $CC|fps|\sum w_j C_j$ as $\rho_I = \min_{j \in N, i \in M} \left[ p_{ji}/m_i \right]$. Indeed, one can show that as the time resolution increases, the performance guarantee for LRF on $P|fps|\sum w_j C_j$ approaches that of LRF on $1|| \sum w_j C_j$. We prove the analogous result for our problem.
▶ **Theorem 15.** CC-TSPT for $CC|fps|\sum w_j C_j$ is a $(2 + 1/\rho_I)$-approximation.
**Proof.** Applying techniques from the proof of Lemma 13 under the hypothesis of this theorem, we have $C_{\sigma(j),i}^{CC} \leq C_{\sigma(j)}^{PD,I'} + 1$. Next, use the fact that for all $j \in N$, $C_{\sigma(j)}^{CC,OPT} \geq \rho_I$ by the definition of $\rho_I$. These facts together imply $C_{\sigma(j),i}^{CC} \leq C_{\sigma(j)}^{PD,I'} + C_{\sigma(j)}^{CC,OPT}/\rho_I$. Thus
$$\sum_{j \in N} w_j C_{\sigma(j)}^{CC} \leq \sum_{j \in N} w_j \left[ C_{\sigma(j)}^{PD,I'} + C_{\sigma(j)}^{CC,OPT}/\rho_I \right] \leq 2 \cdot \text{OPT} + \text{OPT}/\rho_I.$$
(31)
### 5.4 CC-ATSPT: Augmenting the LP Relaxation
The proof of Theorem 14 appeals to a trivial lower bound on $C_{\sigma(j)}^{CC,*}$, namely $p_{\sigma(j)1}/\bar{v} \leq R \cdot C_{\sigma(j)}^{CC,*}$. We attain constant-factor performance guarantees in spite of this, but it is natural to wonder how the need for such a bound might come hand-in-hand with empirical weaknesses. Indeed, TSPT can make subjobs consisting of many small tasks look the same as subjobs consisting of a single very long task. Additionally, a cluster hosting a subjob with a single extremely long task might be identified as a bottleneck by MUSSQ, even if that cluster has more machines than it does tasks to process.
We would like to mitigate these issues by introducing the simple lower bounds on $C_j$ as seen in constraints (1B) and (1C). This is complicated by the fact that MUSSQ’s proof of
correctness only allows constraints of the form in (1A). For $I \in \Omega_{PD}$ this is without loss of generality, since $|S| = 1$ in LP0 implies $C_j \geq p_{ji}$, but since we apply LP0 to $I' = TSPT(I)$, $C_j \geq x_{ji}$ is equivalent to $C_j \geq p_{ji}/\mu_i$ (a much weaker bound than we desire).
Nevertheless, we can bypass this issue by introducing additional clusters and appropriately defined subjobs. We formalize this with the “Augmented Total Scaled Processing Time” (ATSPT) transformation. Conceptually, ATSPT creates $n$ “imaginary clusters”, where each imaginary cluster has nonzero processing time for exactly one job.
**Definition 16 (The Augmented TSPT Transformation).** Let $\Omega_{CC}$ and $\Omega_{PD}$ be as in the definition for TSPT. Then the Augmented TSPT Transformation is likewise a mapping
$$ATSPT : \Omega_{CC} \rightarrow \Omega_{PD} \quad \text{with} \quad (T, v, w) \mapsto (X, w) : X = \begin{bmatrix} X_{TSPT(I)} & | & D \end{bmatrix}.$$
Where $D \in \mathbb{R}^{n \times n}$ is a diagonal matrix with $d_{jj}$ as any valid lower bound on the completion time of job $j$ (such as the right hand sides of constraints (1B) and (1C) of LP1).
Given that $d_{jj}$ is a valid lower bound on the completion time of job $j$, it is easy to verify that for $I' = ATSPT(I)$, LP1($I'$) is a valid relaxation of $I$. Because MUSSQ returns a permutation of jobs for use in list scheduling by List-LPT, these “imaginary clusters” needn’t be accounted for beyond the computations in MUSSQ.
## 6 A Reduction for Minimizing Total Weighted Lateness on Identical Parallel Machines
The problem of minimizing total weighted lateness on a bank of identical parallel machines is typically denoted $P|| \sum w_j L_j$, where the lateness of a job with deadline $d_j$ is $L_j \triangleq \max \{C_j - d_j, 0\}$. The reduction we offer below shows that $P|| \sum w_j L_j$ can be stated in terms of $CC|| \sum w_j C_j$ at optimality. Thus while a $\Delta$ approximation to $CC|| \sum w_j C_j$ does not imply a $\Delta$ approximation to $P|| \sum w_j L_j$, the reduction below nevertheless provides new insights on the structure of $P|| \sum w_j L_j$.
**Definition 17 (Total Weighted Lateness Reduction).** Let $I = (p, d, w, m)$ denote an instance of $P|| \sum w_j L_j$. $p$ is the set of processing times, $d$ is the set of deadlines, $w$ is the set of weights, and $m$ is the number of identical parallel machines. Given these inputs, we transform $I \in \Omega_{P|| \sum w_j L_j}$ to $I' \in \Omega_{CC}$ in the following way.
Create a total of $n + 1$ clusters. Cluster 0 has $m$ machines. Job $j$ has processing time $p_j$ on this cluster, and $|T_{j0}| = 1$. Clusters 1 through $n$ each consist of a single machine. Job $j$ has processing time $d_j$ on cluster $j$, and zero on all clusters other than cluster 0 and cluster $j$. Denote this problem $I'$.
We refer the reader to Figure 2 for an example output of this reduction.
**Theorem 18.** Let $I$ be an instance of $P|| \sum w_j L_j$. Let $I'$ be an instance of $CC|| \sum w_j C_j$ resulting from the transformation described above. Any list schedule $\sigma$ that is optimal for $I'$ is also optimal for $I$.
The proof can be found in the full version of this paper.
## 7 Closing Remarks
We now take a moment to address a subtle issue in the concurrent cluster problem: what price do we pay for using the same permutation on all clusters (i.e. single-$\sigma$ schedules)?
For concurrent open shop, it has been shown ([16, 10]) that single-$\sigma$ schedules may be assumed without loss of optimality. As is shown in Figure 4, this does not hold for concurrent cluster scheduling in the general case. In fact, that is precisely why the strong performance guarantees for algorithm CC-LP rely on clusters having possibly unique permutations.
**Figure 4** An instance of $CC \parallel \sum C_j$ (i.e., $w_j \equiv 1$) for which there does not exist a single-$\sigma$ schedule which attains the optimal objective value. In the single-$\sigma$ case, one of the jobs necessarily becomes delayed by one time unit compared to the multi-$\sigma$ case. As a result, we see a 20% optimality gap even when $v_{ij} \equiv 1$.
Our more novel contributions came in our analysis for CC-TSPT and CC-ATSPT. First, we could not rely on the processing time of the last task for a job to be bounded above by the job’s completion time variable $C_j$ in LP0($I'$), and so we appealed to a lower bound on $C_j$ that was not stated in the LP itself. The need to incorporate this second bound is critical in realizing the strength of algorithm CC-TSPT, and uncommon in LP rounding schemes. Second, CC-ATSPT is novel in that it introduces constraints that would be redundant for LP0($I$) when $I \in \Omega_{PD}$, but become relevant when viewing LP0($I'$) as a relaxation for $I \in \Omega_{CC}$. This approach has potential for more broad applications since it represented effective use of a limited constraint set supported by a known primal-dual algorithm.
We now take a moment to state some open problems in this area. One topic of ongoing research is developing a factor 2 purely combinatorial algorithm for the special case of concurrent cluster scheduling considered in Theorem 10. In addition, it would be of broad interest to determine the worst-case loss to optimality incurred by assuming single-permutation schedules for $CC | v \equiv 1 | \sum w_j C_j$. The simple example above shows that an optimal single-$\sigma$ schedule can have objective 1.2 times the globally optimal objective. Meanwhile, Theorem 14 shows that there always exists a single-$\sigma$ schedule with objective no more than 3 times the globally optimal objective. Thus, we know that the worst-case performance ratio is in the interval [1.2, 3], but we do not know its precise value. As a matter outside of scheduling theory, it would be valuable to survey primal-dual algorithms with roots in LP relaxations to determine which have constraint sets that are amenable to implicit modification, as in the fashion of CC-ATSPT.
**Acknowledgments.** Special thanks to Andreas Schulz for sharing some of his recent work with us [15]. His thorough analysis of a linear program for $P \parallel \sum w_j C_j$ drives the LP-based results in this paper. Thanks also to Chien-Chung Hung and Leana Golubchik for sharing [8] while it was under review, and to Ioana Bercea and Manish Purohit for their insights on SWAG’s performance. Lastly, our sincere thanks to William Gasarch for organizing the REU which led to this work, and to the 2015 CAAR-REU cohort for making the experience an unforgettable one; in the words of Rick Sanchez *wubalubadubdub!*
References
1. Inc Amazon Web Services. *AWS Lambda - Serverless Compute*, 2016 (accessed April 3, 2016). URL: https://aws.amazon.com/lambda/.
2. Nikhil Bansal and Subhash Khot. Inapproximability of Hypergraph Vertex Cover and Applications to Scheduling Problems. *Automata, Languages and Programming*, 6198:250–261, 2010. URL: http://link.springer.com/10.1007/978-3-642-14165-2, doi:10.1007/978-3-642-14165-2.
3. Zhi-Long Chen and Nicholas G. Hall. Supply chain scheduling: Assembly systems. Working paper., 2000. doi:10.1007/978-3-8349-8667-2.
4. Naveen Garg, Amit Kumar, and Vinayaka Pandit. Order Scheduling Models: Hardness and Algorithms. *FSTTCS 2007: Foundations of Software Technology and Theoretical Computer Science*, 4855:96–107, 2007. doi:10.1007/978-3-540-77050-3_8.
5. Teofilo Gonzalez, Oscar Ibarra, and Sartaj Sahni. Bounds for LPT Schedules on Uniform Processors. *SIAM Journal on Computing*, 6(1):155–166, 1977.
6. Ronald L Graham, Eugene L Lawler, Jan Karel Lenstra, and AHG Rinnooy Kan. Optimization and approximation in deterministic sequencing and scheduling: a survey. *Annals of discrete mathematics*, 5:287–326, 1979.
7. Mohammad Hajjat, Shankaranarayanan P N, David Maltz, Sanjay Rao, and Kunwadee Sripanidkulchai. Dealer : Application-aware Request Splitting for Interactive Cloud Applications. *CoNEXT 2012*, pages 157–168, 2012.
8. Chien-Chun Hung, Leana Golubchik, and Minlan Yu. Scheduling jobs across geodistributed datacenters. In *Proceedings of the Sixth ACM Symposium on Cloud Computing*, pages 111–124. ACM, 2015.
9. J. Y T Leung, Haibing Li, and Michael Pinedo. Scheduling orders for multiple product types to minimize total weighted completion time. *Discrete Applied Mathematics*, 155(8):945–970, 2007. doi:10.1016/j.dam.2006.09.012.
10. Monaldo Mastroianni, Maurice Queyranne, Andreas S. Schulz, Ola Svensson, and Nelson A. Uhan. Minimizing the sum of weighted completion times in a concurrent open shop. *Operations Research Letters*, 38(5):390–395, 2010. doi:10.1016/j.orl.2010.04.011.
11. Microsoft. *Azure Service Fabric*, 2016 (accessed April 3, 2016). URL: https://azure.microsoft.com/en-us/services/service-fabric/.
12. Riley Murray, Megan Chao, and Samir Khuller. Scheduling distributed clusters of parallel machines [full version]. An extended version of the paper published in ESA 2016 under the same name., 2016. URL: http://www.cs.umd.edu/users/samir/grant/ESA2016Full.pdf.
13. Maurice Queyranne. Structure of a simple scheduling polyhedron. *Mathematical Programming*, 58(1-3):263–285, 1993. doi:10.1007/BF01581271.
14. Andreas S. Schulz. Polytopes and scheduling. *PhD Thesis*, 1996.
15. Andreas S Schulz. From linear programming relaxations to approximation algorithms for scheduling problems: A tour d’horizon. Working paper; available upon request., 2012.
16. C. Sriskandarajah and E. Wagneur. Openshops with jobs overlap. *European Journal of Operations Research*, 71:366–378, 1993.
17. Qiang Zhang, Weiwei Wu, and Minming Li. Resource Scheduling with Supply Constraint and Linear Cost. *COCOA 2012 Conference*, 2012. arXiv:9780201398298, doi:10.1007/3-540-68339-9_34.
|
ATLANTA GLOBAL STUDIES CENTER (AGSC)
A Higher Education Hub Empowering the Region’s Global Agenda
US Department of Education IFLE Virtual Site Visit
May 24, 2021
AtlantaGlobalStudies.gatech.edu
Welcome & AGSC Overview
- Launched in Fall 2018
- Associate and Assistant Directors hired in Spring 2019
- AGSC Leadership/Staff
- Founding Co-Directors Anna Stenport (Chair, School of Modern Languages; Professor, Global Studies - GT) and Tony Lemieux (Professor of Communication - GSU)
- Associate Director Sebnem Ozkan (GT) and Assistant Director Diana Wrenn Rapp (GSU)
- Support staff from GT Ivan Allen College and School of Modern Languages and GSU College of Arts and Sciences and the Department of Communication
- Graduate and undergraduate assistants
AGSC External Advisory Board
Ms. Tracey Brantley, Executive Director, Atlanta Regional Council for Higher Education (ARCH)
Mr. Sterling Gerdes, Innovation Strategy Leader, Delta
Dr. Gundolf Graml, Associate Vice President and Dean for Curriculum and Strategic Initiatives, Agnes Scott College
Ms. Vanessa Ibarra, Director, Office of International Affairs, City of Atlanta
Ms. Paulina Guzman, Global Engagement Officer, City of Atlanta
Dr. Barbara Lopes-Cardozo, CDC Emory
Dr. Amy Ross, Director of Latin American and Caribbean Studies Institute (LACSI), UGA
Amb. Charles Shapiro, President, World Affairs Council of Atlanta
Dr. Dimeji Togunde, Vice Provost for Global Education, Professor of International Studies, Spelman College
Dr. Philip Wainwright, Vice Provost, Global Strategy and Initiatives, Emory University
Mr. Patrick Wallace, Program Specialist for World Languages & Global Work Initiatives, GA Department of Education
Mr. Trevor Williams, Managing Editor, Global Atlanta
Welcome & AGSC Overview
• AGSC is a regional hub for coalition-based capacity building in global education & advanced language learning
• AGSC addresses NRC absolute & competitive priorities through innovative, multi-stakeholder initiatives
• Advancing a vision of UN Sustainable Development Goals (SDGs) as a powerful framework for global learning and innovation in global studies
Connect Convene Collaborate Coordinate Communicate Catalyze Champion
AtlantaGlobalStudies.gatech.edu
AGSC Overview [cont.]
- Since Fall 2018
- 59 Academic Year and 31 Summer FLAS awarded
- Four new languages introduced: Hindi, Portuguese (Fall 2019); Hebrew, Swahili (Fall 2020)
- Six collaborative regional initiatives launched [AGREC, Peace Edu, Race Beyond Borders, GAcGEAR], including two language consortia (Arabic, Portuguese)
- Faculty grants awarded:
- 10 course development / 20 Virtual Exchange
- 10 Travel / 11 IVEC Conference registration; 5 UMN CARLA online PD for language faculty
- 6 Global Education & Research projects through AGREC
- 3 K12 Languages for STEM curriculum development (Chinese, Japanese, Russian)
- 3 language assessment/student placement (Arabic, Chinese, Japanese)
- 3 K12 course development (Arabic, Russian)
- 21,000+ people participated in 190+ events organized/co-sponsored
- $114,261 additional funding raised including internal/external grants leveraging NRC status and partnerships [AGREC, Qatar Foundation, DILAC etc.]
- Successfully pivoting to online since March 2020
Overview of presentation
• Joint Initiatives
• Georgia Tech-led project highlights
• GSU-led project highlights
• NRC focus group evaluation
• FLAS fellow survey
Joint Initiatives
• Annual Atlanta Global Studies Symposium
• K-12 programs, in collaboration with GADoED and GSU/GT partners
• Faculty course development and professional development, research, conference travel grants
• FLAS (Foreign Languages and Area Studies) Fellowships
• Atlanta Global Research and Education Collaborative (AGREC)
• Greater Atlanta Coalition for Global Education and Research (GAcGEAR)
• Race Beyond Borders (RBB)
• Projects with Atlanta Mayor’s Office of International Affairs (MOIA)
• Partnerships with GA Centers funded through Title VI [GT/GSU CIBERs, UGA LACSI, GSU CULTR]
• Authors Amplified with Global Atlanta
• Co-sponsoring World Affairs Council events
• Monthly e-newsletter / news releases / YouTube channel
Annual Atlanta Global Studies Symposium
Fosters collaboration among institutions of higher education, the public and the community, and the k-12 sector in the Atlanta region and beyond through education, research, and outreach about global, regional, and international studies and the UN’s Sustainable Development Goals (UN SDGs)
Spring 2019: “The (UN SDGs in Education, Research, and Community Engagement”, April 25-27, 2019
- Webpage
- 300+ participated
- Symposium News Release
- Recognized by an Award for Innovative Projects on Education for Sustainable Development, “Honorable Mention for SDG 4 Quality Education”
- UN Award News Release
Spring 2020: “Advancing the Vision for UN SDGs in Education, Research, and Community Engagement”, April 23-25, 2020
- Webpage
- Canceled due to COVID 19
Spring 2021: “A Vision of Global Resilience Guided by the UN SDGs”
- April 20-23, 2021
- Webpage
- 600+ participated
- Sessions available on YouTube
AtlantaGlobalStudies.gatech.edu/atlanta-global-studies-symposium
K16 at Atlanta Global Studies Symposium 2021
Co-investigating Global Sustainability in the Foreign Language Classroom, Dr. M. Garrett Delavan, Assistant Professor, World Language, Dual Language, and ESOL Education, GSU
Teletandem Integrated into the Foreign Language Classroom, Viviane Klen-Alves, TESOL and World Language Education, Portuguese Flagship Program, Department of Language and Literacy Education, University of Georgia
Educating Global Citizens: Teaching the U.N. SDGs through a Global Competence Framework, Dr. Neelam Chowdhary, Executive Director, Global Learning Programs, Asia Society
Designing Virtual Exchange Projects for K12 and College Educators, Dr. Yali Zhao, Associate Professor, Social Studies and Multicultural Education, College of Education and Human Development, GSU
International Skills Diploma Seal Celebration, Georgia Department of Education, World Languages and Global Workforce Initiatives
AtlantaGlobalStudies.gatech.edu/atlanta-global-studies-symposium
K-12 programs, in collaboration with GADoEd, GSU’s COEHD & CTME and GT’s CEISMC & ML
• Organize the K12 day and workshops at the annual Atlanta Global Studies Symposium
• Co-host Georgia’s International Skills Diploma Seal ceremony for high school students
• Co-host Georgia’s Seal of Biliteracy Awards ceremony for high school students
• K-12 Course Development Projects in World Languages and Global Learning
• Mr. Alaa Hedeeb: World Language Department, Clayton County Public School, Jonesboro High School | Project: Cultural Awareness for High School Arabic
• Dr. Anna Surin: World Languages Department Chair, French 1, 3 / Russian 1, 2, 3, 4, North Forsyth High School | Project: Travel/Holidays Unit for Beginning to Intermediate High School Russian
• Ms. Hana Arslan, Arabic middle school teacher, Amana Academy, a Fulton County Public Charter School | Project: Learning Arabic through Exploration of Food in Arabic Cultures
• Support professional development for K12 world languages, social studies and STEAM teachers through workshops and presentations
• Provide assessment training: ACTFL OPI Workshop in Arabic
• Partner with GSU COEHD and Center for Transnational and Multilingual Education on DLI teacher training and course materials.
• K-12 Virtual STEM Toolkits for Language Teachers (Chinese, Japanese, Russian)
To advance and integrate content-based instruction about STEM/Sustainability topics. The toolkits include lesson plans, virtual teaching resources, guiding discussion and study questions, and a teacher introduction to the principles of content-based language teaching.
• Work closely with AGSC External Advisory Board Member, Patrick Wallace, Program Specialist for World Languages & Global Workforce Initiatives, GA DoED; President Elect, National Council for State Supervisors of Foreign Languages
AtlantaGlobalStudies.gatech.edu/ | see “K-12 Outreach” drop-down menu
Faculty course development and professional development, research, conference travel grants
**Course Development:**
**Georgia Tech**
- Dr. Anjali Thomas Bohlken, International Affairs - INTA 2050 “Introduction to Global Development” (revision/enhancement)
- Dr. Neha Kumar, International Affairs/Computing - “Human-Centered AI and Taking the Long, Holistic, and Intersectional View to Women’s Wellbeing”
- Dr. Michael Hoffman, Public Affairs - “GloCL Reflect Project for online virtual decision-making process strategies with Foreign Language content”
- Support Georgia Tech’s new minors w/language requirement “Global Development”, “African Studies”, “Latin American and Latin X Studies”
**Georgia State University**
- Jessie Hayden, Assistant Professor, Department of English, Perimeter College - Global Engagement Teaching and Learning Community and development of the Global Engagement website with learning activities
- Dr. Hakyoon Lee, Assistant Professor, Department of World Languages and Cultures - *Linguistic Landscape Project in Foreign Language Education and Raising Impact: Engaging Beginning College Learners of Additional Languages In Linguistic Landscape Research*
- Dr. Hae Sung Yang, Undergraduate Director, Department of Applied Linguistics - *Creating a Cultural Mosaic in the Classroom: Teaching Multilingual Students* Faculty Teaching and Learning Community and *Multilingual Students’ Perceptions of Inclusiveness across the Curriculum*
- Dr. Mourad Dakhli, *Using Virtual Exchange to Solve Real Innovation Challenges* with partners in Morocco and Tunisia
- Dr. Yali Zhao, *Sharing Best Practices in Virtual Exchange in a Faculty Teaching and Learning Community*
**Professional Development, Research, Conference, Travel grants:**
- Georgia Tech: 5 int’l & domestic research/conference travel grants, 10 professional development grants
- GSU: 5 international research grants; 5 professional development grants, 20 virtual exchange professional development awards; sponsored registration for 11 faculty at the IVE Conference Fall 2020.
Foreign Languages & Area Studies (FLAS) Fellowships
• Started awarding FLAS in Summer 2019
• Leveraging Hope/Zell scholarships to make more FLAS awards
**Georgia Tech**
- 16 Graduate & 7 Undergrad AY
- 3 Grad & 4 Undergrad Summer
**GSU**
- 9 Graduate & 26 Undergraduate AY
- 7 Graduate & 13 Undergraduate Summer
**TOTAL**
- 25 Grad & 33 Undergrad AY Fellowships -- 59 AY
- 10 Grad & 21 Undergrad Summer Fellowships -- 31 SU
[Image: Atlanta Global Studies Center (AGSC) Foreign Languages & Area Studies (FLAS) Fellowship]
[Image: Globe with cityscape background]
AtlantaGlobalStudies.gatech.edu/flasfellowships
AGREC members:
- Georgia Tech
- Georgia State University
- Emory University
- Agnes Scott College
- Spelman College
- Kennesaw State University (joining 2021-22)
AGREC seeks to build and strengthen collaborative networks of multi-institutional scholars and practitioners to support global research and education initiatives in the Greater Atlanta.
External/internal funding raised leveraging NRC status.
Call for Proposals 2020-21:
Connecting globally while grounded at home
Deadline: July 1, 2021
Eligibility:
Multi-institutional teams must have at least two faculty from AGREC members + at least one community partner
Virtual Info Sessions:
Wed., March 17, 9-10 am | https://bluejeans.com/707413227
Tue., April 6, 9-10 am | https://bluejeans.com/582588764
Wed., May 12, 1-2 pm | https://bluejeans.com/610730626
Wed., June 2, 9-10 pm | https://bluejeans.com/443815516
AtlantaGlobalStudies.gatech.edu/AGREC
Atlanta Global Research and Education Collaborative (AGREC)
Current funded projects:
- Savings Lives in the Refugee Community: A Cultural and Linguistic Adaptation of Stop the Bleed
- Water quality monitoring network for highly impacted urban headwaters in metro Atlanta in comparative perspectives
- Advancing a Community-Based Participatory Research Model for Metropolitan Regional Immigrant Integration and Receptivity through the One Region Initiative
- The Global Communities Internship Program
- Atlanta-area migrant communities and climate change: characterizing drivers of migration, exposure risks, and health vulnerabilities
- Growing Intercultural Competence for Peace and Mediation: Piloting an Atlanta-Based Global Community of Practice for Hyperlocal Case Studies and Education in Foreign Language Classroom
Project teams consist of faculty from
- Georgia Tech
- Georgia State University
- Emory University
- Agnes Scott College
- Spelman College
- Kennesaw State University
- Atlanta Metropolitan State College
- Morehouse College
- Georgia Piedmont Technical College
The project teams are collaborating with a variety of organizations and community partners:
- Grady Emergency Medical Services
- Somali American Community Center
- South River Watershed Alliance
- West Atlanta Watershed Alliance
- Welcoming America
- Clarkston Community Center Foundation Inc.
- Cosmo Health Center
- TRENDS Global
AtlantaGlobalStudies.gatech.edu/AGREC
Greater Atlanta Coalition for Global Education and Research (GAcGEAR)
• A coalition that aims to contribute to the sustainability of language training as well as regional sustainable economic development
• A collaboration between the AGSC, 11 federally-funded entities from 5 colleges/universities (NRC, LRC, CIBER, Flagship), GA DoED, City of Atlanta, as well representatives from the private sector, civil society, and K-12 + Emory, KSU
• Aims to better understand the corporate and non-profit needs related to global competencies, inter-and cross-cultural communication, and advanced language learning in K-20
• Organizes targeted global expertise and language competence strategy events
Next Steps:
- Position statement
- Create internships and student opportunities
- Create a global ambassadors’ scholarship
AtlantaGlobalStudies.gatech.edu/GAcGEAR
Race Beyond Borders
Explore where Atlanta intersects with the global conversation on race for concrete action
- A coalition of Greater Atlanta area higher education institutions, *Global Atlanta*, and the Atlanta Mayor’s Office of International Affairs (MOIA), coordinated by the AGSC
- Aims to create a public-facing scholar-activist network and a collaborative, multi-institutional, and multi-stakeholder space for a global conversation on race and Atlanta’s role in it
- Collaborating with UNESCO and MOIA to offer K-12 workshops on “Global Racism” in FA’21
- “Decolonizing Global Health” as a focus in AY21-22
**Understanding Race As a Global Concept: Power, Access, and Policy**
*Feb 5, 2021*
12 - 1:30 pm
REGISTER HERE
Free virtual launch event open to public
**Roundtable Discussion: Student Views on Inclusion in the Global Workplace**
*April 16, 2021*
12 - 1 pm EST
REGISTER HERE
Free and open to public
**Decolonizing Global Health Series**
*Session 5: "Disrupting and Rebuilding Global Healthcare Systems"*
*Friday, April 23*
3:30 - 5:00 pm
More information:
[AtlantaGlobalStudies.gatech.edu/Race-Beyond-Borders](http://AtlantaGlobalStudies.gatech.edu/Race-Beyond-Borders)
Learn more about the series: [http://bit.ly/DecolonizingGHSeries](http://bit.ly/DecolonizingGHSeries)
Projects with Atlanta Mayor’s Office of International Affairs (MOIA)
**MOIA is a key partner in:**
- Greater Atlanta Coalition for Global Education and Research (GAcGEAR)
- Race Beyond Borders
- Peace Education Initiative
Ms Vanessa Ibarra, MOIA Director, and Ms. Paulina Guzman, Global Engagement Officer at MOIA, serve on the AGSC External Advisory Board.
AGSC also partners with MOIA on various other programming:
- Vanessa Ibarra, MOIA Director delivered ‘Welcome Remarks’ at the Annual Atlanta Global Studies Symposium, Apr 20-23
- As part of the Symposium, MOIA and GAcGEAR presented: “Celebrating Atlanta’s Global Youth Professionals: Global Talent for a Global City,” April 21 | 10:30 - 11:30am
Recording | [Symposium coverage in MOIA May’21 Newsletter](#)
- **Voices of Youth “Future We Want” Video Campaign**
In partnership with the MOIA and the UN Association of Atlanta, we celebrated the Youth 2030 Voices of Youth Initiative, UN75, and all initiatives that provide an outlet for young leaders to mobilize and inspire action to improve their communities and realize their goals.
[AtlantaGlobalStudies.gatech.edu/MOIA](#)
Partnerships with GA Title VI Centers
AGSC works closely with the following GA Centers funded through the Title VI program:
- **CIBERs at GT and GSU**
- GAcGEAR
- **Latin American and Caribbean Studies Institute (LACSI) at UGA -- NRC**
- GAcGEAR
- Luso-Brazilian Studies/Portuguese Language Consortia
- **Center for Urban Language Teaching and Research (CULTR) -- LRC**
- GAcGEAR
- World Languages Day
- Global Languages Leadership Meeting
- Global Careers series
AtlantaGlobalStudies.gatech.edu/MOIA
Co-sponsoring World Affairs Council events
AFCFTA
MEET THE WORLD'S LARGEST FREE TRADE AREA
PRESENTED BY THE COUNCIL YOUNG LEADERS
Featuring Hon. Emmanuel Armah-Koffi Buah,
Member of Parliament, Ghana
In conversation with
SENA DZAKUMA, Young Leaders Executive Board
THURSDAY, FEB. 25, 2021 - 5:30PM ET
REGISTER AT WACATLANTA.ORG
SCALING HEALTH CARE INNOVATION:
LESSONS FROM INDIA
MICHELLE NUNN, President & CEO, CARE USA
Joint Director, Ministry of Women and Child Development, Government of India
Chief of Party
Support Program, CARE India
Country Director, PRONTO International
THURSDAY
NOVEMBER 19, 2020
11:30AM - 12:30PM ET
THE U.S.-SOUTH KOREA AGENDA POST-ELECTIONS
Featuring:
AMBASSADOR MARK LIPPERT
VP FOR INTERNATIONAL AFFAIRS, BOEING
FMR U.S. AMBASSADOR TO SOUTH KOREA
MICHAEL GREEN
ASSOCIATE PROFESSOR, GEORGETOWN UNIVERSITY
FMR ASIAN AFFAIRS DIRECTOR, NATIONAL SECURITY COUNCIL
THURSDAY
NOV. 12, 2020
12 PM ET
WWW.WACATLANTA.ORG
Connect Convene Collaborate
Coordinate Communicate Catalyze Champion
AtlantaGlobalStudies.gatech.edu
Partnering with Global Atlanta: Authors Amplified
A monthly series of book talks that showcases authoritative local voices in foreign affairs and international business while highlighting Georgia’s intellectual contributions to important global conversations.
JOHN E. ENDICOTT
‘Destined to Serve’ author, Woosong University president, and former Georgia Tech professor
Feb. 17
10-11 am
JONATHAN ADDLETON
‘Dust of Kandahar’ Author, former U.S. ambassador to Mongolia
March 24
11 am -12 pm
ISABELLA ALEXANDER-NATHANI
‘Burning at Europe’s Borders’ anthropologist, filmmaker
May. 12
1:30-2:30 pm
PABLO PALOMINO
“The Invention of Latin American Music”
Assistant Professor and Mellon Faculty Fellow at Oxford College of Emory University
June 15
11 am -12 pm
AtlantaGlobalStudies.gatech.edu/Authors-Amplified
E-Newsletter / News Releases/YouTube Channel
Atlanta Global Studies Center
February 2021 Newsletter
• Monthly Newsletter featuring:
• Upcoming activities and events
• Funding opportunities
• Recap of key activities and events
• Faculty, FLAS Fellow/Alumni and partner spotlights
• Partner events
• Resources
• News Releases featuring AGSC initiatives and events; projects supported by the Center; and news from affiliated faculty, students, FLAS fellows and partners
• YouTube Channel, featuring event recordings and more
AtlantaGlobalStudies.gatech.edu/newsletter
AtlantaGlobalStudies.gatech.edu/news
GT-led Project Highlights
• Launched four new languages:
• Hindi & Portuguese (Fall 2019, supported by GSU); Hebrew & Swahili (Fall 2020)
• Visiting Scholars program
• Collaboratorium series
• Great Decisions with Foreign Policy Association & Georgia Council for International Visitors
• UN Regional Center of Expertise (UN-RCE) Higher Education Learning Community (HELC)
• Peace Education Initiative
• Curricular Innovations/Experiential Learning:
• Diplomacy Lab: A US Dept of State program
• Vertically Integrated Project (VIP) “21st Century Global Atlanta”
• Career Design for Global Citizenship
• AGSC leadership in campus-wide Initiatives/ recognitions/service/select presentations about AGSC projects at national conferences
AGSC Internal Advisory Board at Georgia Tech
Joseph Bankoff, Professor of the Practice and Former Chair, The Sam Nunn School of International Affairs
Yves Berthelot, Vice Provost for International Initiatives; Steven A. Denning Chair for Global Engagement; President, Georgia Tech – Lorraine; Professor, Woodruff School of Mechanical Engineering
Jorge Breton, Director, Office of Hispanic Initiatives
Michael Chang, Deputy Director, Brook Byers Institute for Sustainable Systems
Lizanne DeStefano, Professor of Psychology; Executive Director of the Center for Education Integrating Science, Mathematics, & Computing (CEISMC)
Marlee Givens, Modern Languages Librarian & Library Learning Consultant
Yakut Gazi, Associate Dean for Learning Systems at Georgia Tech Professional Education (GTPE)
Jennifer Hirsh, Director, Center for Serve-Learn-Sustain; Adjunct Associate Professor, City and Regional Planning
Michael Hoffmann, Associate Professor of Philosophy, School of Public Policy; and Co-Director of the Center for Ethics & Technology
Jin Liu, Associate Professor of Chinese Language and Culture
Beril Toktay, Brady Family Chair in Management; ADVANCE Professor; Faculty Director, Ray C. Anderson Center for Sustainable Business, Scheller College of Business
Wei Wang, Assistant Professor, School of Industrial Design
Four new languages launched: Hindi, Portuguese, Hebrew & Swahili
Georgia Tech, Georgia State University to Offer Classes in Hindi, Portuguese
Posted August 19, 2019
Students at Georgia State University and the Georgia Institute of Technology can now enroll in elementary Hindi and Portuguese, widely spoken but rarely taught languages used in two of the world’s top 10 economies.
Hindi is one of the most commonly spoken first languages in the world, with 341 million native speakers worldwide, including India—the world’s seventh largest economy. Portuguese is the first language of 221 million people around the world, including residents of the world’s ninth largest economy, Brazil.
“Learning these languages will give students, whatever their area of study, the ability to connect with populations and regions of the world that are booming with economic opportunity, as well as experience real-world problems in need of solutions in the areas of climate change, environmental sustainability, urban development, public health, and more,” said Anna Westerstahl Stenport, professor and chair in Georgia Tech’s School of Modern Languages and founding co-director of the Atlanta Global Studies Center (AGSC).
The courses are being offered starting with the Fall 2019 semester. They will be taught by faculty of Georgia Tech’s School of Modern Languages in collaboration with Georgia State’s Department of World Languages and Cultures.
The offerings are part of the universities’ partnership in the AGSC, funded through a $2.25 million grant from the U.S. Department of Education.
Hindi/Portuguese News Release
Hebrew/Swahili News Release
Georgia Tech Expands Global Commitment by Launching Hebrew and Swahili Programs
Posted July 30, 2020
This Fall 2020 semester, students at the Georgia Institute of Technology will be able to study introductory Hebrew and Swahili for the first time.
Open to undergraduates and graduates alike, the courses will be available for registration during Georgia Tech’s Phase II registration, August 1-21. Students attending other colleges and universities affiliated with the Atlanta Regional Council for Higher Education (ARCHE) may also be able to enroll through the council’s cross-registration program. Students at other ARCHE institutions should check with their school’s registrar for details.
Visiting Scholars Program
Spring 2020
• Kelly Alley, Alma Holladay Professor of Anthropology, Auburn University
Research: Water and wastewater management in north India; environmental law and policy in South Asia; infrastructure development across High Mountain Asia (the Himalayas); SDG 6 “Clean Water & Sanitation”
Fall 2020/Spring 2021 [deferred due to COVID]
• Hannah Palmer, Program Manager, Academic Programs, Center for Latin American Studies, Tulane University
Research: Writing Maya Women: Genre, Gender and Identity in contemporary Yucatec Maya literatures”, SDG 11 “Sustainable Communities & Cities”; SDG5 “Gender Equality”
Spring/Summer/Fall 2021 [remote]
• Marianne Mason, Associate Professor of Spanish, Translation/Interpretation and Linguistics, James Madison University
Research: forensic linguistics, discourse of police interviews/interrogations, invocations for counsel (Miranda case law), and police discourse with vulnerable populations and racialized groups; SDG 10 “Reduced Inequalities”
Collaboratorium Series
A supportive and creative space for sharing research, teaching and community engagement practices to explore and foster innovative collaborations
SPRING 2021
Feb 2 | 11 am – 12 pm
From Post-Nazi Propaganda to Trump’s Fake News: International Perspectives on Media and Democracy
Feb 9 | 12 – 1 pm
Urban Walking in a Global Context: A Brief History on Flânerie and Why It Is Still Relevant Today
March 11 | 9:30 – 11 am
21st Century Cybersecurity Studies: Critical Role of Critical Languages and Cross-cultural Communications Training
featuring Michael Nugent, Director of Defense Language and National Security Education Office (DLNSEO), U.S. DoD
Atlanta Peace Education Talks:
Future of Peace Education & Research
March 2 | 9:30 – 10 am
The New Field of Peace Engineering: Educational Opportunities & Research Themes
featuring Phil Breedlove, retired General of the U.S. Air Force and former Supreme Allied Commander of NATO
April 8 | 9:30 – 11 am
Promoting Peace through Research and Education: Peace degree and professional education programs at KSU
April 22 | 9:30 – 11 am
Taking the Next Step in Advancing Atlanta Peace Education, Research Collaborations, and Careers of the Future
Past topics included:
- Lunch with the Member of the Atlanta Consular Corps series featured Consuls General of Brazil and India
- Innovations in Research & Pedagogy: Global Languages, Cultures and Technologies (GLACT)
- Global Citizenship and Service Learning: Best Practices at Georgia Tech
- Education for Sustainable Development: Global and Cross-cultural Perspectives & Best Practices
- Ethical Issues Faced by Translators and Interpreters
AtlantGlobalStudies.gatech.edu/Collaboratorium
Foreign Policy Association Great Decisions Program
Increasing public awareness of global issues during this eight-week discussion series
- The largest non-partisan citizen education effort and discussion program on world affairs that has provided quality information and tools for over fifty years!
- In partnership with the Foreign Policy Association (FPA) and the Georgia Council for International Visitors (GCIV)
- Features weekly topics chosen by the FPA that highlight eight of the current most thought-provoking foreign policy challenges facing Americans
- In 2021, the program featured GT and GSU experts and reached to approximately 200 people in each session.
2021 Topics & Schedule: Thursday at 7:30-8:45 PM | Feb 4 – Mar 25:
- Global Supply Chains and National Security, Feb 4
- Persian Gulf Security Issues, Feb 11
- Brexit and the European Union, Feb 18
- Struggles Over the Melting Arctic, Feb 25
- China’s Role in Africa, Mar 4
- The Korean Peninsula, Mar 11
- Role of International Organizations in a Global Pandemic, Mar 18
- The end of globalization?, Mar 25
AtlantaGlobalStudies.gatech.edu/Great-Decisions
RCE Greater Atlanta Higher Education Learning Community (HELC)
- Support implementation of the UN SDGs through education and training
- One of only seven RCEs in the U.S. and 168 worldwide
- Brings together nine universities and colleges with nonprofit, community, K-12 educators, government, and business partners
AGSC’s leadership role:
- Dedicated track in the AGSC annual symposium – recipient of RCE Recognition Award 2019 (Honorable Mention)
- Research Seminar series
- Teaching Resources and Curriculum Workshops for college & K-12 educators
- Annual KSU EQUINOX: UN SDGs Symposium
AtlantaGlobalStudies.gatech.edu/RCEATL-HELC
Peace Education Initiative
• Educational component of a larger initiative building on legacy of peace: Re-branding Atlanta as “City of Peace”
• Bringing the World Summit of Nobel Peace Laureates to Atlanta (recurring every 3 years)
• Launch of the official North American Nobel Peace Laureate office
• Working with Atlanta Peace Inc and Nobel (World Summit of Nobel Peace Laureates/ Nobel Peace Laureates Office)
o Build on an established network of faculty and research competence in peace-making and peace-building in the Greater Atlanta region
o Partner with peace-focused non-profits (Carter Center, King Center, CHCR)
o Establish Atlanta as a Hub for Global and Intercultural Peace Studies
• Summer/Fall 2020: Atlanta Peace Assets Mapping project
o Ten universities/colleges participated
o Advance Global Peace Studies Research & Teaching
▪ Modules, Experiential Learning, Certificate
▪ Research and scholarship
• Atlanta Peace Education Talks webinar series [ongoing]
• Summer 2021: Working Groups
AtlantaGlobalStudies.gatech.edu/Peace
Curricular Innovations/Experiential Learning: “Diplomacy Lab”
A program of the U.S. Department of State that gives students a chance to solve real world problems
• Georgia Tech is a member of a select group of 39 universities participating in the State Department’s Diplomacy Lab program. The aim of the program is to harness the drive, intellect, and creativity of our students to solve some of the most difficult challenges confronting American foreign policy. The initiative enables the State Department to “course-source” research and innovation related to foreign policy, giving students concrete, hands on experience addressing real world problems within the context of their academic coursework. [http://diplomacylab.org/](http://diplomacylab.org/)
• Georgia Tech faculty projects selected through a competitive process:
• 2020-21 [news release]
○ Language Curriculum Development for Diplomats: Specialized vocabulary, spaced repetition, and automated lexical leveling in over 60 languages
■ A Corpus Analysis of High-Frequency Vocabulary in Modern Standard Arabic
Project Lead: David Marcus, School of Modern Languages
■ A Corpus Analysis of the use of function verbs in Japanese Manga and light novels
Project Lead: Kyoko Masuda, School of Modern Languages
• 2021-22 [news release]
○ Confucius Institutes in Turkey and Chinese Influence
Project Lead: Sebnem Ozkan, AGSC
[AtlantaGlobalStudies.gatech.edu/Diplomacy-Lab](https://AtlantaGlobalStudies.gatech.edu/Diplomacy-Lab)
Curricular Innovations/Experiential Learning: “Vertically Integrated Project (VIP) - 21st Century Global Atlanta”
- A ‘Global At Home” Project Course: Leveraging the STEM laboratory model of VIP curricular design for creating globally-oriented curriculum in a local environment that fosters multi-disciplinary engagement with a wide spectrum of STEM and non-STEM students from freshmen to PhD
- Multi-media digital storytelling through digital archives, interactive maps/timelines, podcast, video, online research modules, and online magazine
- Stories of people transforming Atlanta into a global metropolis:
- heritage and immigrant communities
- foreign-born residents in a variety of professional fields
- thought leaders engaged in the global community
More on VIPs
Curricular Innovations/Experiential Learning: “Career Design for Global Citizenship”
- Offered through the School of Modern Languages, supported by AGSC
- Integrating the strategies and best practices of career design into a humanities classroom
- Appreciating the humanities as a basis for the development of essential skills, global citizenship, and ownership of students’ own career trajectory
- Interdisciplinarity: Design Thinking, Intercultural Studies, Narrative Studies, Career Education
- Many FLAS fellows take this course
Global Citizenship in the Field
Intercultural Approaches to Career Discovery
“How can study abroad function as a metaphor for career exploration? In this project you will study a professional community as a cultural ecosystem. You will learn what language and culture ‘do’ in your field, listen in on the conversations taking place, and practice building relationships that will help you find meaningful work in your area of interest.”
A wicked problem in your field
3 companies addressing the challenge
3 informational interviews
Class Presentation
Global Career Lab auf Deutsch with Guest Speaker: Markus Rimmele, Koch Packaging Systems, Fall 2019
AGSC leadership in campus-wide Initiatives at Georgia Tech & Staff Recognitions/Service/Presentations at national conferences
- Anna Stenport co-leads Georgia Tech Strategic Plan/Connect Globally
- Anna Stenport and Sebnem Ozkan plays leading roles in major global sustainability initiatives at GT:
- GT President Cabrera’s initiative “UN SDGs/17 Rooms” and Sustain Task Force
- Sebnem Ozkan serves as advisor for the “UN SDGs Study Abroad at Home - A Virtual Mobility Pilot Project - Youth and the SDGs” Community of Practice (Georgia Tech & McGill)
- Anna Stenport named 2020-21 USG Leadership Fellow
- Anna Stenport received “Education Impact Award” from United Nations Association-Atlanta Chapter (2019)
- Anna Stenport & Sebnem Ozkan celebrated as “Faces of Inclusive Excellence: DE & I Honorees” in 2020
- Sebnem Ozkan received IAC of Liberal Arts 2020 Buzz Award for Excellence in Administrative Service
- Sebnem Ozkan selected to the Leading Women@Tech leadership program of GT DE&I [2020-21]
- Sebnem Ozkan serves on the Georgia Tech Anchor Institution Task Force, as a part of the Institute Strategic Plan (ISP) Implementation Phase [2021]
- Sebnem Ozkan serves on the Board of Trustees of the Georgia Council for International Visitors (GCIV). Founded in 1962, GCIV works with US Dept. of State to develop professional and cultural exchange programs for emerging global leaders as well as non-partisan citizen diplomacy programs such as Great Decisions
- Select presentations about AGSC projects at national conferences:
- Stenport, Anna, and Graml, Gundolf (2020) Integrating Global Learning, Foreign Language Education, and Career Preparation in Liberal Arts and STEM Contexts. AAC&U Annual Meeting. January 22-25
- Stenport, Anna & Ozkan, Sebnem. (2020) Re-imagining Global Learning and Engagement at Home and Abroad through UN SDGs at a STEM Institution. AAC&U Global Learning Conference: Lessons on Global Learning from Higher Education’s Response to a Global Crisis. October 10.
- Stenport, Anna, Henry, Amy & Ozkan, Sebnem (2021) Collaboration to Build ‘Global at Home’ Programs to Transform STEM Education. AAC&U Annual Meeting. January 20-23.
GSU-led Project Highlights
- Virtual Exchange
- Perimeter College - support for Asian Studies and Virtual Exchange
- Global Scholar Distinction
- Global Career Series
- Clarkston Refugee Health Communication project
- Language Projects
- Arabic Teachers Council of the Southeast
- ACTFL OPI Workshop for Arabic instructors
- Luso-Brazilian Studies modules
- Pandemic Working Groups
Virtual Exchange
- Supported 20 Virtual Exchange Projects at GSU in partnership with the Office of International Initiatives between 2019 and 2021
- Connecting students with peers in Brazil, China, Germany, Italy, Iraq, Turkey, Tunisia, South Africa, Morocco, Japan, Singapore, and Hong Kong
- Faculty Training in Spring and Summer 2021
- Awarding new proposals for VE projects in Fall 2021
- Supporting faculty through the Faculty Teaching & Learning Community on Virtual Exchange
https://atlantaglobalstudies.gatech.edu/virtual_exchange
GSU students enrolled in virtual exchange courses
- Fall 2019: 100%
- Spring 2020: +117%
- Fall 2020: +48%
- Spring 2021: +92%
https://atlantaglobalstudies.gatech.edu/virtual_exchange
Southeast Regional Virtual Exchange (SERVE)
State/regional collaboration with USG and Clemson University
- Organized “Growing Virtual Exchange” event in October 2020
- Established a model for accessible statewide and regional global education
https://atlantaglobalstudies.gatech.edu/virtual_exchange
Strengthening the Asian Studies Program (with plans to develop a Pathway) for Perimeter Students - stackable credentials for BIS in Asian Studies
Expands and strengthens current Perimeter offerings in Japanese, Korean, and Chinese languages
Additional courses proposed at the 1000-2000 levels
Integrates Virtual Exchange with international partners
Includes Community Engagement - Atlanta Asian Film Festival, Japan Week, International Education Week events, and others
Global Scholar Distinction
945² GSU students are on their way to earn the distinction
Scholars must take 5 advanced courses with global content, earn a B or better and maintain at least a 3.0 GPA
Students earn official recognition from GSU and AGSC and a digital badge
Students who have taken 3+ Global Courses are invited to professional development workshops like “How to Build a Global Resume”
Global Scholar Distinction
Global Scholars FA18-SP20
Connect Convene Collaborate Coordinate Communicate Catalyze Champion
Atlanta Global Studies Center
AtlantaGlobalStudies.gatech.edu
Global Career Series
Georgia State University
Global Careers Series 2021
February 12, 12-1pm
THE CARTER CENTER
February 18, 2-3pm
Peace Corps
February 26, 12-1pm
USAID
March 4, 2-3pm
CARE
March 12, 12-1pm
SecSo, Inc.
March 25, 2-3pm
Pickering Foreign Affairs Program
312 students and faculty attended
Clarkston Refugee Health Communication Project
- Partnership with the Prevention Research Center and Adult Literacy Center at Georgia State University
- translation and printing of culturally appropriate materials for refugee and migrant healthcare
- especially crucial for the dissemination of information to prevent the spread of COVID-19
Language Projects
- QFI funding to establish an Arabic Teachers Council of the Southeast
- ACTFL OPI Workshop for Arabic instructors in Jan/Feb 2021
- Second workshop in Summer 2021
- Partnership with NaTakallam
- Luso-Brazilian Studies modules
- Public Health for the Luso-Brazilian Diaspora in development
- Support for instruction and curriculum development in Chinese, Japanese, and Korean
Project Labs allow students to earn course credit over multiple semesters while working on faculty-led, interdisciplinary, public-facing projects on issues and topics like refugee settlement and migration or approval rating trends of political leaders. Over time, faculty build a skilled project team of undergraduate and graduate students to work in their lab. AGSC supports the global project labs below.
Perspectives on Global Migration Project Lab
Directed Global Studies for FLAS Students
Georgia State University
GLOS 4761
This 1-credit course on “Career Education for a Global World,” will enhance career readiness for careers in “areas of national need”. Areas of national need are identified by U.S. federal agencies and include a wide variety of less commonly taught languages and regions of the world. FLAS students will explore careers that are relevant to their foreign language and area studies.
Each semester students attend three events related to global / cultural issues and/or their region of study and write reflections. Example:
"On March 22, 2021, I attended Lessons from Leadership in the Strength of Women in the Foreign Service series hosted by the U.S. Department of State……After attending the webinar, I feel more motivated to pursue my goal of being a Foreign Service Officer. They gave me a new perspective on the different career paths one can take after or before becoming a FOS. This was an eye-opening webinar and I would recommend this to any woman interested in getting an insight into FSOs’ personal lives and responsibilities."
Directed Global Studies for FLAS Fellows
Example of student work: This undergraduate fellow interviewed the Public Affairs Manager at the Québec Government Office in Atlanta and shared the presentation with the class.
HOW TO START YOUR GLOBAL CAREER
• Get some job experience before committing to graduate school, as it is a large financial commitment
• Find an internship domestically or internationally that involves your target language
• Volunteer with organizations that have ties to your region/language of study
• Overall just get as much direct experience as possible
Pandemic Working Groups
- convened faculty conducting various disciplinary projects related to COVID-19
- created multi-institutional and interdisciplinary working groups
AGSC Focus Group Evaluation Highlights
- September/October 2020
- 5 focus groups with 24 participants
- Represent various organizations and different sectors of the educational and economic landscape and included key stakeholders, members of the language consortia, virtual exchange partners, and K-12 collaborators and grantees.
Findings suggest:
- High engagement among partners and enhanced collaboration between AGCS and various partners with similarly aligned goals and mission
- Enhanced global curriculum
- Increased opportunities for professional development of educators
- Increased community-wide events with a broad-reaching audience
- Profound initial impact with expectations for immense potential in the years to come.
- Through regular communication with center leadership, partners have a clear understanding of expectations for professional work and an appreciation for the support provided by AGSC.
- Participants described features of the center that serve as a robust model for this type of work in other metropolitan regions.
- Driven by the mission, a breadth of activities and programs are supported by AGSC representing the diversity and potential reach of the center.
AGSC Focus Group Evaluation Highlights
“Esteemed Leadership”
• Focus group participants describe the leadership of AGSC as “open”, “dedicated”, “visionary”, “supportive”, and “responsive”.
• The leadership is communicative and responsive to feedback and ideas.
• Confirmed across focus groups the leadership is viewed as the “lifeforce” for AGSC.
• There is a generous sharing of ideas, brainstorming, and openness between stakeholders and the leadership team.
• Despite challenges that have been presented in the past year, participants are optimistic about AGSC and the leadership team's ability to remain adaptive and flexible to new opportunities.
AGSC Focus Group Evaluation Highlights
Excerpts:
AGSC is….
“a key entity in educating, promoting, and supporting global education, cultural competency, and increased language capacity across Atlanta and the Southeast region.”
“a conduit”, “hub”, “one-stop-shop”, and the “go-to”
“leaning forward” to actively accelerate and intentionally identify connections that could be useful for partners and organizations”
“putting Atlanta on the global map”
“taking Atlanta to the world, and bringing the world to Atlanta”
AGSC FLAS Fellow Survey Highlights Pre/Post AY 19-20
Confidence in Foreign Language Skills
- Listening PRE: 85% Somewhat confident, 15% Extremely confident
- Listening POST: 75% Somewhat confident, 25% Extremely confident
- Speaking PRE: 60% Somewhat confident, 30% Extremely confident
- Speaking POST: 40% Somewhat confident, 60% Extremely confident
- Reading PRE: 70% Somewhat confident, 30% Extremely confident
- Reading POST: 80% Somewhat confident, 20% Extremely confident
- Writing PRE: 65% Somewhat confident, 35% Extremely confident
- Writing POST: 75% Somewhat confident, 25% Extremely confident
Connect Convene Collaborate Coordinate Communicate Catalyze Champion
AtlantaGlobalStudies.gatech.edu
Please rate your level of comfort in the following situations
negotiating miscommunication with a person who does not speak your native language
| Level of Comfort | PRE | POST |
|----------------------------------|------|------|
| Not at all comfortable | 0% | 0% |
| Slightly comfortable | 30% | 25% |
| Moderately comfortable | 30% | 25% |
| Very comfortable | 20% | 40% |
| Extremely comfortable | 20% | 35% |
Connect Convene Collaborate Coordinate Communicate Catalyze Champion
Atlanta Global Studies Center
AtlantaGlobalStudies.gatech.edu
Please rate your level of comfort in the following situations
resolving conflict with a person who does not speak your native language
| Level of Comfort | PRE | POST |
|----------------------------------|------|------|
| Not at all comfortable | | |
| Slightly comfortable | | |
| Moderately comfortable | | |
| Very comfortable | | |
| Extremely comfortable | | |
AtlantaGlobalStudies.gatech.edu
| PRE: What benefits do you expect to experience from the FLAS Fellowship? | POST: What benefits have you experienced from the FLAS Fellowship? |
|---|---|
| Financial relief which impacts stress and mental health. Benefits from participating in networking | It has meant being able to visit a nation where my language is study, and experience my religious background more fully in a Muslim country. |
| Money. | I've made friends and been able to increase my language skills quite quickly. |
| I appreciate the tuition support, but would appreciate if we could be informed about events taking place in the Atlanta area regarding our language region for us to pursue relevant events. | The assistance the Fellowship provides helps with my mental health allowing me to focus on my studies and make strides in my academic journey. I've also been able to make connections that will help in my future career. |
| In my opinion, I don't think there is any major benefit because FLAS is on individual basis meaning that the only benefit there is, is how much have you gotten better in your language. | The stipend is pretty great. My time abroad through the fellowship has already been brought up by several people looking at my resume. It's very impressive. |
| I expect to gain a better understanding of both Arabic and the WANA region as a result. | close friendships with other fellows, more knowledge of my target language |
| More knowledge of other cultures | I was awarded multiple scholarships/grants by being a FLAS Fellow that enabled me to further my knowledge in my language. |
| This fellowship will allow me to be better equipped academically and financially to further my education and career goals. | FLAS has sparked a long term interest in me to pursue a language and has allowed me to really delve into my region of study. |
What has being a FLAS Fellow meant to you?
The most important impact FLAS has had for me has been the ability to continue my language studies while also pursuing an engineering degree. FLAS removed the financial burden of the additional time I would spend in school to continue my Chinese studies and has allowed me to pursue my passion for foreign language and area studies. I have been able to enhance my language skills while also developing a much deeper understanding of Chinese culture and society. Through FLAS I have been able to take high level courses that have explored ancient Chinese literature, contemporary works, Chinese history, and present issues in society. FLAS has informed my perspectives on the world and China all while improving my language abilities.
You have indicated that it is extremely important for college students to study a foreign language. Please tell us why you feel it is important.
Studying a foreign language not only gives you a crucial skill for an increasingly globalized world economy, but also gives you a unique set of problem solving skills and exposes you to very unfamiliar situations. Even if one does not use their specific language skills in their eventual career, the perspective a foreign language learning experience gives them is indispensable.
Thank you!
|
The Texas Caver, Volume 50, No. 6, December 2004
Diana Tomchick
Follow this and additional works at: https://digitalcommons.usf.edu/texas_caver
Recommended Citation
Tomchick, Diana, "The Texas Caver, Volume 50, No. 6, December 2004" (2004). The Texas Caver. 211. https://digitalcommons.usf.edu/texas_caver/211
This Book is brought to you for free and open access by the Newsletters and Periodicals at Digital Commons @ University of South Florida. It has been accepted for inclusion in The Texas Caver by an authorized administrator of Digital Commons @ University of South Florida. For more information, please contact firstname.lastname@example.org.
the Texas Caver
December 2004
The Texas Caver is a bi-monthly publication of The Texas Speleological Association (TSA), an internal organization of the National Speleological Society (NSS).
© in printed or electronic form by the Texas Speleological Association. Authors, cartographers, and photographers retain copyright to their individual contributions.
Subscription rates are $20/year which includes TSA membership. Libraries, institutions, and out-of-state subscribers may receive The Texas Caver for $20/year. Student subscriptions are $15/year.
Letters to the Editor, article and photo submissions, advertising and questions should be sent to the Editor:
the Texas Caver
c/o Diana Tomchick
10106 Technology Blvd. West
Apt. #826
Dallas, TX 75220
email@example.com
(214) 418-5827
The deadline for submissions to the Texas Caver is the 7th day of odd-numbered months.
Opinions expressed in the Texas Caver are solely those of the authors and do not necessarily reflect the views of the editors, the TSA or the NSS.
Subscription requests, newsletter exchanges and address changes should be sent to the Texas Speleological Association Business Address:
The Texas Speleological Association
P. O. Box 8026
Austin, TX 78713
Texas Speleological Association Officers:
Chair: Bill Steele firstname.lastname@example.org
Vice Chair: Jim Kennedy email@example.com
Secretary: Jerry Atkinson firstname.lastname@example.org
Treasurer: Michael Cicherski email@example.com
Other Contacts:
TSA Store: Logan McNatt firstname.lastname@example.org
TSA Web Master: Bennett Lee email@example.com
CaveTex: Tom White firstname.lastname@example.org
Texas Speleological Survey: George Veni email@example.com
Texas Cave Management Association: Linda Palit firstname.lastname@example.org
Texas Cave Conservancy: Mike Walsh email@example.com
Association for Mexican Cave Studies: Bill Mixon firstname.lastname@example.org
Contents
Caving Events 3
Trip Report: Midnight Cave 4
What’s New in the AMCS 5
Rescue in Matacanes! Kara’s Story 6
2004 Texas Caver’s Reunion 12
A Caver in the Explorer’s Club 14
1000-m Deep Caves and World Records 15
What’s New in Speleo Literature 17
Robber Baron Cave Reopened 18
TSA Fall Meeting Minutes 20
TSA Project News 21
Caving News 22
Visit the TSA web site:
www.cavetexas.org
Check out the CAVERNET web site:
www.caver.net
the Texas Caver is printed by
SpeleoPress
Terry Raines
471 Limestone Lane
Driftwood, TX 78619
Many thanks to Bill Steele for proofreading this issue.
Cover Photo Credits
Front Cover: Micah Cooper observing some banded flowstone, Midnight Cave, TX. Travis Scott photo.
Back Cover: Amanda Scott in the White Hall, Midnight Cave, TX. Travis Scott photo.
Caving Events Calendar
Feb 19-21 Bustamante Restoration Project (Bustamante, Nuevo León, México): The ever-popular restoration project in La Gruta de los Palmitos will take place during President's Day Weekend. See page X for more details. Contacts: Rune Burnett & Orion Knox email@example.com
Feb 19-21 NCRC Level 1 & 2 Cave Rescue Seminar (CBSP, Bend): The South Central Region of the NCRC will be hosting Level 1& 2 Cave Rescue Seminars at CBSP. The six-day seminars run over two consecutive weekends; registration is $150. Contacts: Becky Jones (325) 247-5165 firstname.lastname@example.org D.J. Walker (512) 751-6010
Feb 19-20 GypKaP (Carlsbad, NM): Long-running cave survey project in the gypsum plain of southern New Mexico. Contact: Blake Jordan (505) 260-1096 email@example.com
Feb 26-27 Government Canyon State Natural Area Karst Survey (San Antonio): This long-running project has lots of opportunities for both beginning and advanced cavers. Ridgewalking, digging, surveying and camping are available. Contact: Marvin Miller (830) 885-5631 firstname.lastname@example.org
Feb 26-28 NCRC Level 1 & 2 Cave Rescue Seminar (CBSP, Bend): Second and final weekend of seminar.
Feb 26-27 High Guads Restoration Project (Carlsbad, NM): On-going work amid spectacular scenery in beautiful caves of the Lincoln National Forest. Last weekend of the month, permits often include Three Fingers, Virgin, Pink Dragon, Pink Panther, Hidden, Wonderland, and Black Cave. Activities vary from month to month. Contacts: Susan Herpin or Jennifer Foote email@example.com
Mar 05 NSS Spring Board of Governors Meeting (San Antonio): The Texas Cave Management Association and Bexar Grotto host the BOG meeting during the day and the hoardy party that evening. See page 22 for more details. Contacts: Geary Schindel (210) 479-2151 firstname.lastname@example.org Linda Palit (210) 699-1388 email@example.com
Mar 05-06 Hilltop Project (Capitan, NM): Ridge walking and digging in windy blowholes on USFS and BLM lands, about 5 miles south of Fort Stanton Cave, NM. Meet for Cave Diggers' Breakfast on Saturday between 7:30 to 8 a.m. at the Smokey Bear Restaurant in Capitan. Contact: Lee Skinner (505) 293-5723 firstname.lastname@example.org
Mar 12-13 Southwest Region of the NSS Regional Meeting (Carlsbad, NM): Hosted by the White Sands Grotto at McKittrick Hill. Contacts: Dave and Carol Belski email@example.com
Mar 19-20 Manhole Dig (Carlsbad, NM)
Mar 26-27 High Guads Restoration Project (Carlsbad, NM)
In March Kickapoo Caverns State Park Project (Uvalde): Photo-monitoring workshop, Jan and Val Hildreth-Werker will appear as guest instructors. Exact date to be determined, watch for announcement on CaveTex. Contacts: Travis Scott firstname.lastname@example.org Alan Cobb email@example.com
Apr 08-10 Colorado Bend State Park Project (Bend): January and April this spring only. This is a terrific project for beginning cavers. Contacts: Terry Holsinger (512) 443-4241 firstname.lastname@example.org or Dale Barnard email@example.com
Apr 16-17 Manhole Dig (Carlsbad, NM)
Apr 28-May 1 TSA Convention (Fort McKavett State Park): Hosted this year by the Permian Basin Speleological Society. Talks, vendors and the TCMA auction will be Saturday, trips into Powell's Cave (15 miles away) will be early Sunday. Early registration will be $20 for single, $30 for family, on-site registration will be $25 for single and $40 for family. Contacts: Jim Kennedy (512) 663-2287 firstname.lastname@example.org Bill Steele (214) 770-4712 email@example.com
Apr 23-24 High Guads Restoration Project (Carlsbad, NM)
Apr 30- May 7 Fort Stanton Cave Project (NM): Join the folks working on extending the length of this cave on BLM lands. Contact: John Corcoran III firstname.lastname@example.org
May 14 Texas Speleological Survey Board Meeting (Austin): Held at the TSS offices in Austin at 10:30 a.m. Open to anyone interested in Texas cave information, its organization and publication. Contacts: George Veni (210) 558-4403 email@example.com Jim Kennedy (512) 663-2287 firstname.lastname@example.org
May 14-15 Manhole Dig (Carlsbad, NM)
May 28-29 High Guads Restoration Project (Carlsbad, NM)
May 28-30 Southwest Region of the NSS Memorial Day Regional Meeting: Location to be determined.
July 04-08 NSS Convention: (Huntsville, AL): "From Outer Space to Inner Space," this year's Convention is in the heart of TAG. Registration for NSS members is $125 before May 31st, $150 after. Info: http://www.nss2005.com/
Aug 21-28 14th International Congress of Speleology (Athens, Greece): All subjects and activities of interest to caves and karst will be covered, including paper presentations, exploration reports, caving techniques, speleo equipment, films, media, art, and more. The Union Internationale de Speleologie hosts an International Congress once every four years. Full registration is 160 euros before January 31st. Info: www.14ics-athens2005.gr
Submit Events for the Calendar
Hello Grottos,
This is a request for information.
I am the Chairman of the Safety and Techniques committee of the Texas Speleological Association. One of my duties is to promote safe caving practices among Texas cavers. Another duty is to keep us up-to-date on the latest advances in caving techniques. Both CaveTex and the Texas Caver are widespread publications serving our community. The Texas Caver has a section covering Grotto plans. Please send in your upcoming plans such as trips open to beginners, survey workshops, headlamp maintenance tips, rope training classes, first aid kits you carry, National Cave Rescue Commission courses coming up. What is YOUR grotto doing?
Add the information to the Upcoming Events on the www.cavetexas.org website. Or email the information to me with the date, contact name, telephone number and one or two descriptive sentences and I will send your announcement to the Texas Caver. ASCII text in the body of the email is allowed. No attachments.
This is a service each Grotto can use, send in your information now!
Think Deep
Don Broussard
email@example.com
Editor's note: you may also submit events directly to the editor, who will forward the info to Don for submission to the TSA web site.
Join the TSA! Renew your membership!
Need to renew your membership in order to continue your subscription to the Texas Caver? You can do it on-line via PayPal, just point your favorite web browser to
http://www.cavetexas.org/template2.asp?content=join.asp
Single memberships are $20, family are $30, and students are $15. Do it in time for the upcoming TSA Convention at Fort McKavett State Park, April 29-May 1st.
Midnight Cave
Trip Report
By Travis Scott; photos by Travis Scott and Allan Cobb
September 4, 2004
Participants: Jerry Atkinson, Alan Blevins, Allan Cobb, Micah Cooper, Christina Hoelscher, Jenni Hrobar, Brian Mariano, Tully Roe, Travis Scott, Amanda Scott, Mary Thiesse, and Kristofer Stewart.
It started as the usual meeting in the Zachary parking lot on a Friday evening. Everyone gathered and packed their stuff into the vehicles. Eventually I prodded everyone to get in the cars so we can start the six hour drive west that we all knew would inevitably turn into an eight hour drive. We took off, stopping of course at the first town to get dinner. We then split up so one vehicle of folks could make the usual HEB stop in Bastrop (we always seem to hit at least one HEB on every trip). The other vehicles headed west for Austin to pick up Allan Cobb.
The plan was to call the HEB folks when we hit I-35 and either drive slowly to let them catch up, or vice versa. When we exited onto I-35 we gave them a call and it seems that they were just leaving HEB. I calculated that they had spent an hour to an hour and a half farting around in the store, a typical ASS trip so far. Since the other vehicles hadn't been to HEB yet, we decided to quickly stop at the one in Fredericksburg. When we were finished, I called the straggling vehicle and they were only a few minutes behind. We waited, gathered up again and made the rest of the drive with no problems. The drive ended up taking a total of 7.5 to 8 hours, a lot longer that it is supposed to take...
We arrived around 12:45 a.m. to find Tully and Kris waiting for us with the jeep, 4-wheeler and monster truck already warmed up and ready to play. They helped us set up camp and we again followed the ways of most ASS trips and stayed up way too late. This was OK because Jerry and Mary also showed up pretty late in the evening with plans to sleep in, and nobody complained about that!
Saturday morning came, as most seem to in that part of the hill country, with rain and drizzle. Everyone awoke at different times, emerged and gathered around a wet camp. Eventually sometime after lunch we decided it was time to stop milling around camp and head to the cave. Once in the cave we wasted no time as we headed for the corkscrew. Upon arriving we split into two groups: our team stayed behind to take photos, the other team continued exploring past the corkscrew. We agreed that around 4:00 we would meet back at the corkscrew and switch places.
My team photographed for about an hour and a half, making our way back to the Castle of Oz before turning around again. As the other team came out of the corkscrew, they told us that Amanda was waiting near the back of the cave to help us take photos. Jerry had challenged her by offering to exchange her flashlights for the key to the cave. This would leave her sitting in total darkness for almost an hour, with the key as assurance that someone would come get her. After much discussion and tempting, she declined his challenge, and instead offered to do her best at keeping her light off while she waited.
Allan Cobb, Micah and I found her about 45 minutes later. She told us that she had made a really good effort until she (knowing she was completely alone) saw weird flashes out of the corner of her eye from deeper in the cave. We concluded that it takes about 30-45 minutes of total darkness for Amanda to start hallucinating, good information to know.
Our photography team slowly moved on, taking photos and using the last of the bulbs until it was getting late. We decided to head out and catch up with everyone so we could have dinner. On the way out we came across a different set of folks in just about every room; most were sleeping or relaxing and having a good time. Once we emerged we headed back to camp.
Camp consisted of washing up, starting dinner and the fire. All along Tully kept talking of making a bomb. We were curious of what...
he was taking about and weary of just how good of a bomb he could make. After about an hour of work, Tully had it finished. He walked far enough away and lit it, saying “wait until you feel the shock wave.” We all snickered until it went off, KABOOM!! Our doubts were no more, it was one hell of an explosion. Saturday night was a calm one after that and we all went to bed early, I guess we wore everyone out in the cave.
The original plan was to check some leads on a neighboring property on Sunday and head home Monday. A few Aggies had to man a booth at Open House, so they set out at 5:00 a.m. back to College Station. I had just been invited a few days earlier on a week long expedition that started the next Friday. That meant my Labor Day was going to be spent packing and organizing. So I had to cut the trip short and leave Sunday evening.
Before we left we headed up to Peanut Cave to get a few photos in the main chamber. On the way up, all I can remember is Christina saying, “this isn’t a road, this isn’t even a track, you are going to break your vehicle, this isn’t a road, you’re crazy, how can you do this?” It is a fun road and was actually much easier to drive this time since all the huge drop-offs are filled with rock from all the recent rains. After the big adventure, the Aggies and Allan Cobb took off, leaving Jerry and Mary to go and check the leads. The drive home was event-less and HEB-less so it only took the normal six hours to get home, not toooooo bad…
Jerry emailed me later telling me about what he and Mary had found. A good push and further exploration of the leads remains as they had run out of time, were short a few cavers and deer hunting season will be starting soon. That plus a few other cave leads in the area leaves a good number of things to do after hunting season. Stay tuned for more!
---
**New from the Association for Mexican Cave Studies**
We can now offer the hardbound book *Beyond the Deep* for the greatly reduced price of $12. The original publisher’s list price was $26.95. This book would make an excellent gift. Details about the book can be found at [www.amcs-pubs.org/btd.htm](http://www.amcs-pubs.org/btd.htm)
The new part IV of James Reddell’s *Studies on the Cave and Endogeic Fauna of North America*, published by the Texas Memorial Museum, is now available from the AMCS for $18.50. For details, including the table of contents, see [www.amcs-pubs.org/tmm6.html](http://www.amcs-pubs.org/tmm6.html)
We have a limited number of copies of Bulletin 1 of the Sociedad Mexicana Exploraciones Subterráneas, titled *Exploration in 1980* in the area of La Florida, Querétaro. This is a 70-page bulletin in Spanish covering an area that includes Sótano del Burro and Sótano Hondo. Because we only have five copies, it is not in our catalog or web site. $5.
The price of the four remaining copies of AMCS Activities Newsletter number 10 has been reduced to $12. Details, including the table of contents, are at [www.amcs-pubs.org/nl/10.html](http://www.amcs-pubs.org/nl/10.html)
See [www.amcs-pubs.org](http://www.amcs-pubs.org) for information on all other publications available from the AMCS. Surface postage in the U.S. is $3 for the first book, $1 for each additional one. Surface postage elsewhere is twice those amounts. Send check to AMCS, PO Box 7672, Austin, TX 78713. Those with PayPal accounts may order using the PayPal button on the AMCS web site--go to Publications, How to Order.
Requests for additions or deletions or changes of e-mail address for the AMCS e-mail list should be sent to firstname.lastname@example.org
Most recreational cavers, if properly equipped, experience few discomforts as a result of their adventures beyond bruised elbows and knees. Fortunately, the typical exposure to caving accidents and rescues is either through rescue courses or reading such publications as "American Caving Accidents." These rather dry and concise summaries, though well-researched, are typically lacking in the human element. It's not often that one gets to read about the event from the perspective of the person being rescued.
In the last issue, we read about the Matacanes adventure that followed the EspeleoCoahuila caving conference, from the perspective of the rescuers. In this issue, Kara bravely shares with us her thoughts and experiences during the rescue. --Editor
Participants: Kara Dittmer, Choy, Fofo Gonzales, Tom Haile, Becky Jones, Vico Jones, Nicole Hess, Memo Burelo, Rob Meyers, Monica Ponce, Javier, Wes Schumacher, Bev Shade, Peter Sprouse, DJ Walker, and Terri Whitfield
On Sunday, August 22nd, 2004, a group of Mexican and U.S. cavers lingered in Saltillo, Mexico, after the EspeleoCoahuila caving conference, held at the wonderful Museo del Desierto the day before. We loaded into four 4x4 vehicles and drove east past the city of Monterrey into the mountainous countryside, sparsely populated with small villages, and slowly twisted up into the mountains on ever-narrowing roads towards our destination for the evening, where we would camp. In the morning we planned to wake early and rappel, jump, and swim down 15 kilometers of the challenging Matacanes Canyon.
An old friend from high school, Nicole, had accompanied me on this trip. We rode from Saltillo to our destination with Becky and DJ in his large and reassuringly powerful truck. Lively conversation filled the cab as we bounced along. The four of us didn't know each other very well, so we told stories and got better acquainted. We talked about safety, rescue, and the astonishing front-cover story that had recently appeared in a popular outdoor magazine about a man soloing a Utah canyon. After being trapped for days by a boulder pinning his arm, he amputated the arm to save himself. We discussed our opinions of the choices he made before and during his trip, which greatly affected his safety. I remember bragging that I had never broken a bone. We found a flat spot in the mountains and made camp for the night in the fading twilight rain.
We packed up that evening for the trip through the canyon. I packed the big cave pack I had borrowed with gear for two people. We planned to do the canyon as a pull-down trip, so I included only descending devices. I put in the one light each that we would need for floating through the two caves in the canyon's path, and decided to include the small waterproof Nalgene bottle that held my extra batteries, a shot of glucose, my knife, a lighter, eyewash, and a few Band-Aids. Taped to this bottle was my emergency space blanket. It was a light, efficient, waterproof emergency kit. Why not, I thought, it's a good idea to bring that stuff. I like to be prepared. Since I had plenty of room, I thought it would be okay to take two polypro tops, which might be helpful if the water was colder than I expected. Of course we won't be, I thought, but just in case . . . you never know. I had never used any of my survival gear in my few years of caving, but I had friends who had. It was always kind of a thrill to pack that stuff; it made me feel like a real adventure-seeker. I studied the camera I had borrowed to document our trip. It was in a waterproof, shock-proof case, but it was loose inside this plastic box. I grabbed a small periwinkle fleece hat with earflaps that I lovingly call the Muffin Head and stuffed it around the camera in the box. Perfect fit! And who knows, a hat could come in handy, too.
Before turning in, we gathered and chatted with our guide, Fofo, a good friend from Monterrey. I had traveled with him before in Mexico, and he had done the canyon several times already this year. Having him as our guide made the trip more intimate: a group of good friends enjoying an extreme pursuit together. Commercial guides are expensive, and we just didn't see the need. We didn't have a permit for the canyon. It didn't seem necessary to those of us aware of this formality. Friends in Monterrey knew of our plans, we had a group of competent people, and we had not been turned away by conditions from the recent heavy rains. We were all excited to get going.
The first light of morning filters into our tent along with the sounds of our group stirring. We get up, put on bathing suits and shorts, and strike camp. Everyone has a hearty breakfast and repacks the trucks. Our caravan takes off again, headed for our first stop of the day, the takeout point, where we will leave two of the four trucks. We park them here and shuffle everyone into the remaining two trucks to continue the drive up the mountain to the beginning of the canyon.
Up and up we climb, bouncing and jouncing on the rough mountain switchbacks that are barely wide enough for the truck to make the sharp, steep turns. The truck goes slow in low gear over the uneven, pitched road, like it's walking up steps. We spot caves in the mountainsides and make out a white ribbon of waterfall in the dense foliage of the valley below us. We finally reach our destination, a tiny village called Potrero Redondo. The commercial guiding headquarters of the canyon is here, but no one is around. It's Monday, and usually there isn't traffic in the canyon on weekdays, not this late in the season. We have the place to ourselves. Arrangements are made for some of the villagers to drive the remaining two trucks back to the takeout point. We take up a collection to pay them, and once the negotiations are all squared away, we attach
helmets and wetsuits and PFDs in funny configurations to our packs, stowing them for the hike to the canyon.
We hike and hike and hike, uphill and down. Vico finds a tarantula and poses with it in his hand for me while I snap a picture. There is a beautiful mountain in the distance, rising unbelievably steeply upwards. It is framed in the boughs of a pine tree, and I stop to take a photo. Peter, who has traveled through the canyon before, catches up to me.
She’s really scared. It’s a long way down and suddenly she’s declaring that she’s never done this before and doesn’t know how! I turn to her and say with disbelief, “But you told me you had rappelled and were competent on rope!” “Well,” she manages, “that was a very long time ago.” I start to worry about bringing someone unproven along with this group who are used to fending for themselves.
Bev steps forward. She offers to go down beside her, since we have two ropes, and assist her through the rappel. One by one, members of the group clip into the rope, and with cries of “On rope!” they disappear over the edge of the cliff. When my friend’s turn comes up, she and Bev load their racks in tandem, and Nicole breathlessly chants “om, shanti, om” as she slowly lowers herself over the lip of the precipice. Whatever it takes—I can understand. While ascending in caves, I sing bawdy old English drinking songs to myself as I frog my way up, so I don’t have to think about the height I’m gaining, or just how I’m attached to that rope.
They make it down safely, and everyone whoops and cheers. I’m relieved. But this has taken up more time than we thought, and I briefly wonder if our speed means we will be finishing the canyon in the dark. I take my position at the top of the rope and wing my way down in the rain and thunder of the waterfall. I disengage from the rope on the small ledge but hold it tightly in my gloved hand. For some reason, I decide I’ll sit down and push off from the ledge for the pool. Once I get seated, I realize the folly of my choice and wave away the chorus of “No!” being shouted at me from below. Now I’m a little nervous, gaining my feet again on this small, rounded, slippery ledge. I hang on tight to the rope and gingerly raise myself. My heart is beating hard. “Your pack!” I make out in the shouts, and look down. I can toss my pack over to the left, away from the churning of the falls. I’m nervous about losing it, so I decide that once I throw it, I’m going to have to jump quickly. I start saying to myself, “Who’s a pussy, Kara? Afraid of a little air? You gonna be a pussy now?” I throw my pack and leap into space, easily clearing the ledge.
The last person down the rope is going to pull it down behind them. In the excitement, I’ve missed what technique they used to rig the rope this way, but I watch as it falls. We are pumped, and more cheers erupt. We’re near the beginning still, but there is no way out of the canyon now except to follow it to the end.
In places gentle waters meander through a wide, flat streambed, filled with large, grimy pebbles for stumbling over. Most of our hiking is done in knee-deep water, turned murky by the people who have gone before us. Several places the water deepens suddenly, taking up the whole canyon from wall to wall, and we swim. We spy a turquoise lizard sunning on a rock, and a few people swim closer, sending him scurrying out of reach. We lurch over rocks coated in dry river slime, and I think about how the water could be much higher than it is; obviously it has been at some point. I nearly fall over hopping from one uneven surface to another and grab at some brush to steady myself. I look down and realize I’ve just wrapped my hand around a sturdy bush of poison ivy. I regain my balance and let go. DJ points out that it’s a dry bush, not shiny and potent like it could be. I vow to myself to pay more attention. I look around, practicing my newly-awowed state of consciousness, and see that the canyon is positively covered in poison ivy. “Yup. We’re doomed,” one of my companions agrees with a laugh.
Our scattered group convenes at the next real obstacle in our path. On one side of the narrow canyon, there is a shelf of rocks perched a good two and a half meters above a pool. To the left, a towering boulder overhangs a chute. The chute funnels the entire contents of the stream down its S-shaped length into a splashing, frothing space beneath the boulder that churns like a side-loader washing machine. I watch person after person chimney their way down the narrow chute until they drop from sight. They reemerge at the bottom with a splash and a whoop. I don’t understand how they can keep their grip on the slippery rocks in the powerful rush of water. I am nervous about this spot and anxious to put it behind me. I’m in a good position to crawl past some people who are waiting and watching a few others go through the tricky spot, so I elbow my way into the chute to get it over with. Once in the force of the water, I realize the rock in the chute is rough and grippy, giving excellent traction. The chute is proportioned for easy crab-walking down its steep face, but the force of the water pushing through it requires me to brace myself to keep from being swept away. I stop just before the arching overhang of the rock and its curtain of water. I wish I could ask a few questions about what to do now, but the roar of the waterfall makes this impossible. I take a couple of deep breaths and convince myself that this is just like a little waterslide. I am on the inside of a curve at the top of the S-shaped path and can’t see much beyond the inside of the next curve, or see that there is a small drop at the end. I look between my legs at the foamy current and feel my body straining to hold me in place. I want most of all to get through that curtain of water up ahead, afraid I’ll get disoriented passing through it and lose my breath. “Just like a waterslide,” I mutter to myself and let go. I shoot along fast and everything happens so quickly. The current forces my body around the bend and into the curtain of water. I feel my legs whack some hidden rocks as I’m jostled to the side. The fierce contact of my body and the rocks causes a sensation of sharp impact. I hear a crack and feel the bones in my left leg, just at the ankle, pop apart, yet I feel no pain. I am submersed for only a brief moment, but many thoughts have time to stream through my mind. That wasn’t my bones breaking, was it . . . nah . . . or was it?
As I float out of the opening toward Peter, who is stationed to take pictures and offer a hand to the poor soul being spat from the chute, I move my legs to assure myself it was just a hard knock that has stunned me. My foot flops uselessly at the end of my leg, in an unnatural position. That really was bones breaking! I think, in surprise. It has all happened so fast, it feels like I had a premonition that my leg would break instead of actually feeling it happen. It clicks: I am going to be in some crazy pain any minute now. What I need to do is communicate the situation very clearly so that once I’m writhing around screaming they aren’t left to speculate what happened to me. These thoughts are just flashes over moments, I want to accomplish what I can before my situation changes. I emerge from the hole sideways, floating on my back, calm. Peter is positioned there, reaches for me and says, “Hey, give me your hand,” thinking he’ll help me regain my bearings to crawl up to dry ground. I reach for his hand and pull him close. I put my arm around him, leaning back in the water. I look at him and compete with the roar of the water: “I just broke my ankle.” He shakes his head as if he didn’t hear and looks at me. “What was that?” “I just broke my ankle.” Later he will tell me I was so matter-of-fact about it that it didn’t sink in right away. This is the moment pain blazes in my nerves, and I start panting and yelling.
“OH FOFO FOFO FOFO!” I wail the nickname of my trusted friend. He comes to my side and I’m so glad to see his face, so glad to know he’s there with us. The group moves me from the water to a beach of small river rocks. I am panting and hollering, very much out of control. I remember Faith getting in my face and firmly but kindly telling me to breathe. So many thoughts are rushing through my head, it doesn’t seem that enough time passes for me to think them. We’re in a canyon. No way out but through. There’s no way I can walk. I’m hurt really BAD. This changes things for EVERYONE. How will we make it stop hurting? We are FUCKED. Why did I do that? I just screwed this all up for everyone! I don’t want to be me right now. I don’t want to be here right now! Why?
People are asking me to breathe, holding my hands; I grasp theirs as though they are keeping me in this world. Words spill from my mouth when I catch my breath, in a deluge of guilt and regret I start crying, “I’m so sorry, I’m sorry, I’m sorry, I screwed it all up, I’m so sorry, oh God, I’m so so so sorry!” My mishap is going to require a lot of people to care for me to get me to safety, and I have changed their vacation into a seriously scary and demanding, unpredictable mess.
We have traveled only about 10 percent of the canyon, and it is already late in the day. Later someone consults a watch and estimates I broke my leg around 3 in the afternoon. During these confusing and emotional moments, the group mobilizes. DJ, a professional firefighter with cave rescue training, takes over as leader. Two people are chosen to exit the canyon to get help, Faith and Memo. Others are dispatched to find poles for a stretcher. DJ carefully works the shoe off my left foot and splints my leg, cushioning it with a pair of shorts and taping it to my other leg. I hear that Becky is also hurt; she has sprained her ankle in the same chute. She’s going to continue under her own power using a long stick as a crutch. Her face comes into view, brave and smiling. “Hey! I’m there with ya, girl! Only I’m not broken like you are, I’m just sprained, so you’re gonna be my inspiration for getting out of here!” I smile at the camaraderie.
I don’t notice how much time has passed. My mind keeps replaying the scene that led to our situation. Even though I know it’s a silly question, in my fear and need to be reassured, I have to ask, “Does this pain mean I’m going to die?” I have been with people in pain, I have attended several women in childbirth who asked me the same thing. I even remember reassuring them, and I know what the answer will be. But for some reason, I still need to hear it from them. No, they tell me, I will most certainly not die. I even have good circulation in my toes. I am very lucky, as the bones did not break the skin, and I have no other injuries anywhere on my body, not a scratch. Soon there is a stretcher made from rope and trees that I am told were cut down with rocks! They lift me onto the stretcher and place lifejackets under my leg for cushioning. They are patient with me when now and then I single-mindedly yell “The leg!” calling attention to its positioning.
DJ gives the group very clear and kind directions. We have to make our way out of the canyon, or as far as we can, to get me to safety and medical attention. We expect a rescue team to arrive at some point to
help us. Once underway, our leader breaks each difficulty into small parts. Each goal is something like “that rock over there.” I don’t even know what they carry me over, but I can see the focus and strain in the faces of the people who rotate through my vision. Someone suggests I name my future children after these folks who are rescuing me, and someone else counsels wisely, “Don’t have that many kids.” Inevitably, we come to deep pools where they float me across the cold water. I am doing okay, considering, but this cold water chills me to the bone. They wrap me in a space blanket. I am comforted by wearing the Muffin Head hat from my camera box, and we layer the extra thermal pieces from my pack over my wetsuit.
I am astonished throughout my ordeal how positive everyone is. They work as a team. When I find tears welling in my eyes and panic rising again, the most important part of my mental composure is staying in the present. When I start to think ahead, about how we will ever get out of this, when the next rappel will be, when I will see my boyfriend, how much money this will cost, where I will end up for medical care . . . when I consider all of these things, my brain churning, I inevitably start to panic and cry. I realize what is happening and entreat several people to help me stay as focused as they are on the present, on struggling toward each small goal.
There are a few more drops I have to be lowered down. We rig a belay system for the descents. I hoist myself on my hands out of the stretcher and maneuver awkwardly over the edge. They lower me on my signal “go” and I push away from the wall with my hands. These are the most dreaded moments, probably for everyone involved. While in the stretcher my leg is supported and still. While dangling on rope, my legs hanging, the pain is fierce. The ride down is punctuated with my anguished cries. There is nothing they can do but lower me as smoothly and quickly as possible. I don’t know how many of these we conquer, maybe four more. The largest and most grueling is a drop at the beginning of the first short cave that crosses the canyon. There is some confusion with the original plan to pull me away from the rocks at the bottom of the drop, but I make it to the water anyway. They get me comfortable and warm again, and we rest in the cave for a while. I ask to have my splint adjusted, and I am much more comfortable. I have a new headlamp and had been very excited before the trip to try it out. I think of it now and ask someone to retrieve it from my bag. They do, and I put it on my helmet. I turn the headlamp on and have the composure to be impressed by how bright it is.
Much later I will vaguely remember being carried through the cave and beyond. I try to make myself as light as possible by lying very still and flat and kind of tensed, like in that slumber-party game, “light as a feather, stiff as a board.” I cross my arms over my chest, hold onto my PFD, and sometimes close my eyes. I don’t have much control over my mind at times, which replays over and over the few minutes surrounding the accident. Again and again I am falling through the tunnel under the boulder, through the rushing water, feeling the bones break. It will relentlessly play like a movie in my mind for days after leaving the canyon.
Sunlight begins to fade, and it is decided that Peter and Terri should also exit the canyon and talk to the rescue agency to coordinate a better response. Rob finds a small, rocky shore to camp on. I prefer to lie in my stretcher all night long, and Wes and Vico help to position and reposition padding and life jackets and stones to make me comfortable. I am wrapped in a good plastic blanket and have it open on the side facing the fire to let in the heat. We all settle down and try to get some sleep. I am offered some stronger pain medicine, but I decline. I decide that if I really need it during the night I will ask for it. Bev and Rob stay up with me almost all night. Bev gathers firewood tirelessly. She tromps off through the poison ivy and comes back laden with dry branches. The fire keeps me warm and gives me something to look at. Most of the people in our party drop off to sleep for at least a few hours. We have a big day ahead of us yet. We think we might make it out of the canyon the second day, or early the third.
I sleep for about an hour and then am unable to sleep any more. As night wears on and the ibuprofen I had taken earlier wears off and swelling increases, the pain rises in waves, sharp and breathtaking. My fears catch up with me and I am unable to get a grip on myself. Rob stays beside me, talking to me, singing songs with me. I cry off and on, disturbing a few members of our group. I finally relent and Fofó is roused for the heavy-duty painkillers. I take the first pill. One-half hour later, there seems to be no change in the intensity of the pain, and I take the second one. The Ketorolac does little to abate my pain. At times it feels as though my foot is so swollen it will burst.
One of the challenges of the evening that is none too pretty is how to relieve myself. Often in the cold water I pee, which is relief as well as some added warmth in my wetsuit. Eventually, I’m fairly smelly. The harder part is that eventually I have to move my bowels. I try to hold it, thinking for a while that I can wait until I get to a hospital, but tonight, as things grow more urgent, I realize this is not to be. If I can just deal with asking someone to help me . . . I summon my humility and consult Bev, who is staying up to tend the fire. Luckily she’s a good friend and a sensible sort who understands that these things happen. She is brave and kind for unblinkingly tending to me in this way. She helps me locate a Ziplock. I am able to maneuver myself under the space blanket with my wetsuit pulled down. I present the baggie to Bev, who catches it in a dry bag and seals it quickly. “Good work!” she laughs with me. It is a humbling experience.
Sunlight fills the canyon, and I hear the wrens call. We prepare to leave. We fill water bottles, eat some breakfast, stretch. I say with relief, “Thank goodness we’re about to move again. There’s nothing worse than just sitting there, feeling the pain all night.” Becky speaks up. “Oh, let me tell you, it can get worse, and it will. You can count on that. It is going to hurt much worse today, and you are going to have to deal with it. It’s going to hurt, a whole lot, and then you’re going to a hospital and it will all be over. And if you cry like you have been, you are going to hurt these people’s feelings, and they will think that they are hurting you.” These words burn into my brain. I think about them; they shock me into awareness. I remember my complaining in the night and resolve to pull myself up by the bootstraps. I can understand motivating a person in a situation like this with a little hard honesty, although it feels bewilderingly harsh at the moment.
We set off, and moving is better than lying around for my state of mind. I can tell people are more tired today, from the strained faces that pass above me as people rotate out faster from carrying to resting. We have fewer people to carry me today, which adds to their strain. We move and rest, move and rest. We move through more water today. I am very cold despite my blanket. At one point, during a rest, I break down. I feel my friends’ eyes on me and guiltily apologize for crying.
“It’s okay, you can cry. This is scary and it hurts. No one begrudges you any tears, Kara,” Fofo reassured me. I am grateful for the release and comfort.
We come to a waterfall at the beginning of a water-filled slot canyon. This is a place where you would normally jump. Several people go ahead to figure out a way to get me around this place, and DJ starts to rig it. We work out a way down for me, a maneuver that requires me to move in a spiral around the rock to another side for landing. Several people help me down, and I grit my teeth. The bones shift and grind, and the pain just feels as though there is something very WRONG. The canyon here is filled with a strong current of water from the waterfall we just came down, and it’s quite a swim for the people holding and guiding the stretcher. This is part of the canyon I would have loved, so I try to enjoy it as much as I can, floating on my back. The cold water feels good on my leg, even though it makes me kind of shivery. We are lucky to have a clear, sunny day, and it’s warming up.
I hear someone say, “I just a saw a guy up there with a Sked!” This is very good news. We assume the rescue team has brought a Sked and a pulley system with which to lower me. With backup help on the way, the most exhausted in our group could take a rest, and we are glad to have the support. As this man makes his way to us, we hear the thwapping of a helicopter’s blades nearby. The helicopter swoops over the canyon, and I feel a great sense of relief. Our leader makes the sign for “need help,” and the helicopter circles a few times. Then I really see the helicopter and the setup they plan to use to retrieve me. High in the air, hanging from a cable, I see a stretcher dangling below the helicopter. I start to cry. It looks really scary. In the time it takes to resplint my leg and get me ready for takeoff, I decide that the helicopter ride is going to be okay. As a matter of fact it is probably going to be the coolest helicopter ride I’ll ever have, and it’s the best thing that has happened in about 24 hours, and I am going to have quite a fine time getting out of this damn canyon! He offers me pain medicine. I ask my Spanish-speaking friend where he wants to inject me. He translates to the Mexican rescue technician, who smiles. “Rompa” is all he says, and I roll over, knowing exactly where he’s going to put it. I think it’s funny that he swabs my wetsuit with alcohol first. Doesn’t hurt a bit. We find out that the pilot flew in the Vietnam War and is from Oregon. They finish packaging me in the Sked until I look like an orange burrito. The basket drops, and two men hang in harnesses at each side of it to help guide it. They don’t speak English, but they smile at me and ask if I am “bueno.” “Sí, señor, bueno,” I say with all the confidence in my body. Rob comes to my side to make sure I’m not scared. Vico steps up to give me a kiss on my cheek for luck. I am relieved to be leaving the canyon and heading for medical care. They have to package me up quick, the helicopter is swooping down again. At one point I guess the attachment point of the cable gets tangled in some tree branches, scaring everyone into scattering. The two men riding with me fasten the litter to the attachment point at the end of the cable and clip in themselves. We take off, up and up and up. . . . At first it feels like they are pulling me straight up for a long time. I can’t tell if the helicopter is rising or if they are winching the cable up. Water pours out of the basket I’m in and gets caught up in the wind from the chopper blades. I can’t figure out where all that water is coming from, it seems like the helicopter winds are lifting it up out of the canyon and making it rain. Water drops glisten in the sunlight as they fall toward me, and the men at my sides shield my eyes with their hands. We fly the length of the canyon, and I even try to lift my head a bit and get a view. The mountains are all around us, lit in the golden midmorning light.
I was taken from the canyon at about 11 a.m. The helicopter flew to a place where it could land. It was the wide, rocky streambed of the takeout point, but I didn’t recognize it. My friends who had left the canyon for help were there. There were questions I should have been asking about my insurance card, where I should request to go, and what I should say, but I didn’t think to ask them. I was taken from the basket and placed inside the helicopter. It seemed huge. An English-speaking man came to my head to speak to me. “Where do you want to go?” “Um, to a hospital?” was all I knew to say. “Do you have insurance? Your insurance information, a credit card?” “No . . . I have insurance, I just don’t have the information . . . I don’t really know how it works . . . I should call them . . .” He came to a conclusion. “Okay. We’re going to take you to a hospital in Monterrey. I’ll tell your friends where you are going. It’s not fancy, but they will take care of you there.” The pilot, who looked a lot like Santa Claus, round and jolly with a huge white beard and full head of white hair, handed me a pair of ear mufflers. “What’s your ticket good for?” he shouted before I put them on. I closed my eyes, and we vibrated all the way to Monterrey. We landed at a helipad, and there I was transferred to an ambulance. I was surprised that there were reporters with cameras shooting footage of me being unloaded and reloaded. I didn’t like it. I covered my face and waved them away. They seemed to get the hint. We arrived at the hospital about 20 minutes later. Again, there were more reporters, even one I recognized from the helipad! I was really disgusted this time. I half-heartedly flashed them the bird and kept my face covered.
Inside the hospital everything was a flurry of Spanish. My entire experience at this hospital, a public teaching hospital in Monterrey, was bewildering. I had nothing—no ID, no insurance card, no money, no clothes! Here I was, surrounded by civilization, technology, and people, but I felt much more alone. They had put me in a bed and then removed my wetsuit, and now I was left in only my swimsuit on the wet, muddy sheet, covered with a paper blanket. I tried to indicate that I was cold and uncomfortable, but they didn’t get it, and I remained in the puddle. While they wheeled me through the halls, a tall white man in a suit stepped into our path. “What do we have here?” his voice boomed. I was relieved to hear my own language. “I fell and broke my leg in Matacanes Canyon,” I told him. “I don’t speak Spanish.” He assured me that he would come take a look at my leg. “Ah, Matacanes Canyon, eh? I know it well. I’ve paid my price in Matacanes. Looks like you have, too,” he chuckled, and walked away. I never saw him again. Throughout all my hospital adventures, every doctor who found out I had been in Matacanes Canyon nodded knowingly. Some even shared their own stories of injury with me.
I expected my friends to arrive at about 3 in the afternoon, 5 at the latest. Those times came and went, and still no one showed up. Early on I was just lying there, my leg unsplinted, for a long time. I was scared and in pain. No one paid any attention. I started to cry. Again. An Englishspeaking doctor noticed and asked if I needed help. He ordered a nurse to start an IV. A small, prim lady came to me and expertly inserted an IV into my arm. She attached me to the bag . . . and then didn’t start it dripping. Finally they took x-rays and resplinted my leg. I kept insisting that my friends would arrive, and time passed with no one arriving to claim me. They were suspicious of this. I asked several times to make a phone call to the U.S. They offered to make a call in Monterrey for me, but there was no one in Monterrey I knew how to reach. “Maybe once we have you in a cast,” they would say, “you can make a call to the United States.” I pleaded with the English-speaking doctors to let me make the call. At one point, a doctor took out his personal cell phone. He held it out to me and said, “You can just use mine,” but he snatched it back—“later”—and walked away.
I tried to point out in my poor Spanish that my IV wasn’t working. “Drogas, no trabajo,” I managed, pointing to the place where it was evident that the drip was not dripping. “No entiendo,” was the nurse’s stony reply. However, she leaned in and narrowed her eyes; “medicamentos,” she stated emphatically. I even tried to get the IV dripping myself, using the techniques I saw the nurses use on other patients, but I was unsuccessful.
Preparing to load litter inside helicopter. Peter Sprouse photo.
The x-rays showed that my leg was not only fractured, but that my ankle was also dislocated. The doctors all spoke English, and two of them came to me and explained that they needed to reduce the dislocation of my ankle. I was scared. My ankle had been swollen and immobilized for twenty hours. They told me not to make a big deal out of it. It might hurt, but it wouldn’t last long. And then it would feel better. Dear Lord! They pulled hard on my stiff, discolored foot. I bellowed like a cow. It was the most pain I had felt yet. It did feel better once they finished, and I felt the satisfying “pop!” of the bones getting more or less back into position. They x-rayed me again to make sure they had the foot in the right place, and told me that all that was needed now was to address the fracture of my tibia and fibula. They advised me to seek the surgery I needed at another hospital, because this one would not be able to accommodate me for two weeks. They told me they would apply a temporary cast and send me off, and I could probably go home to the United States for the surgery. Then I was left to wait . . . for what, I don’t really know. They were waiting for someone to show up and claim me. They finally got the IV going, and it had some strong medicine in it. They told me it was a cocktail like morphine. I hallucinated and kept hearing my friends’ voices drift in from the hall. At one point, the nurses asked me to leave my bed and sit in a wheelchair. Immediately I felt very bad. I broke out in a drenching sweat. I clutched at my mouth and pointed to a garbage can as a nurse walked by. In one movement she reached down and handed it to me, without stopping on her way through the room, barely looking at me. I hurled into the can. People stared at me. I started to cry. I hurled again. Patients and their families looked at me, even some with sympathetic eyes, but not a single nurse glanced my way or offered help. I asked for water. “We have no water for drinking,” came the reply. I needed desperately to lie down. I told them I would lie on the floor, since my body didn’t seem to think sitting up was an option anymore. The nurse, who spoke English, pointed her finger as though she would pin me in the chair. “You sit there!” I finally got the attention of an English-speaking doctor and told him I felt like I was going to faint. They moved a man with a bashed-in face out of my bed and put me in it. At least this switch prompted them to change the wet, muddy sheets. I finally broke down crying late that night. Their demands of “Tranquilizate! Calma!” did not have the desired effect. I was begging the nurses to help me make a phone call again, when the English-speaking nurse finally said, “Well you know, you have friends here now. Three of them!” I almost cried with relief. “Please send them to me!” I begged. “Which one do you want to see?” I had no idea who was there, I just wanted to see a familiar face. “Anyone!” I cried.
At first I didn’t recognize my “friend.” Then I realized it was Franco, a man from Monterrey I had met at the caving conference days ago. What angels to come find me and help me. But why him? Where was everyone else? He filled me in. The friends who had carried me through the canyon were being detained by the Protección Civil agency for questioning in a town called Santiago. The cavers from Monterrey, Ramon, Alejandra and he, had driven there and were sent to find me and bring me my insurance card, wallet, and phone. Franco stayed by my side, even though the nurse had warned him he only had ten minutes to visit me. He and Ramon managed to get me discharged and told me they would take me to a good hospital. I was glad.
The three kind friends who had come for me took me by car to the Hospital Muguerza, a private hospital in Monterrey. They got me settled there, and we began to get the financial picture put together. Some other friends from the canyon group had been released, and they showed up. My insurance would cover me in Mexico, but I would have to pay the bill and get reimbursed. I was finally able to get the care I needed. The next morning I was given an epidural and something to make me sleepy. What seemed like just a few minutes later, I woke up and asked, “Am I going to have surgery now?” The operation was already over! When I was wheeled to my room, several of my friends were there, and my boyfriend Ed, too, who had come all the way from Texas. He was going to stay with me until I got out of the hospital and take me home. My friends left, although several Monterrey cavers visited me over the next couple of days. The surgeon came to see me later in the day. He had placed a stainless steel plate and eleven screws in my leg. Good grief, they really had to piece me back together! I had a great stay in the hospital. The food was good, and everyone was nice to me, even when we didn’t speak the same language. Ed kept calling it the “Hotel”. This amused me—a hotel that carries you to the bathroom and offers you drugs! After a couple of days I was released and went home. All that was left to do was to process the events and deal with healing my leg. I learned several things: 1) Always carry your insurance info and a credit card with you when participating in extreme sports. 2) Never go too far from civilization without a space blanket. Survival kits are no joke. 3) Know the name of a good hospital wherever you are traveling. 4) Thank goodness for friends.
The weather was pleasantly warm and sunny, the bugs were few and over 400 people came to the very popular Flat Creek Ranch on October 15-17th to participate in the year's biggest caving event in Texas, the Texas Caver's Reunion. In addition to the large number of Texas cavers, people were sighted from such far-flung sites as California and Mexico as well as from the neighboring states of New Mexico, Oklahoma, and Arkansas. TCR is a time and place for old friendships to be renewed and new ones begun, for cavers to tell tall tales and spin yarns about their past and future caving exploits, to see and buy the new speleo-wares, to eat well and perhaps drink a little too much. This year TCR was all that and more.
The festivities started on Friday night with Dave "Cave" McClung's margaritas, Pete Strickland's hot tub and the traditional Bexar Grotto fish fry. Saturday caving activities included the ever-popular vertical contest (see article on p. 23 by Aimee Beveridge) and a speleo-Olympics course (organized by Travis Scott and the Aggie Cavers) that traversed Flat Creek. The hustle and bustle along Vendor's Row didn't slow down until it was time for the Big Caver's Feed (organized by Felicia Vreeland, Charlie Loving and numerous other cooks). Everyone agreed it was a great Feed, the TCR Cooks are the best anywhere!
Contest and door prizes were awarded after dinner, followed by (mercifully short) set of music from the band. The ramen noodle wrestling (organized by Wes Schumacher) started out slowly with some serious wrestling between Fofo Gonzalez and another hombre, but a surprise attack by Carol Schumacher and another chica turned the event into a real crowd pleaser. Everyone loves co-ed ramen wrestling!
A Sunday morning benefit breakfast (organized by the Bexar Grotto) for the Punkin and Deep Cave Acquisition Fund and TCMA meeting was followed by the Fall TSA meeting. By noon the meetings were finished, the hot tub was being loaded onto the truck, and most people had packed up and were headed home. A great time was had by all, and if you didn't make it you should be sure to come next year!
Many thanks to the organizers of TCR, Andy Grubbs and Allan Cobb, for all their hard work.
Texas A&I Grotto Reunion
By Gill Ediger
An even dozen former members of the Texas A&I Grotto in Kingsville met at TCR in their own mini-reunion, some having not seen any of the others in almost 35 years.
The A&I Grotto was founded in February of 1967 and was a very active caving club for well over 10 years. Most of their work was in Mexico since they were closer to there than to the Center of the Caving Universe. The demise came when most of the movers and shakers took their leave northward to seek their fortune in said Center. Many notable Texas cavers sprang from the A&I Grotto and some persist to this day and some have even had a significant influence on the TSA and other Texas and NSS caving institutions. Several have even spent most of their subsequent lives in institutions--mostly getting paid for it.
Attending were, in no particular order, Denis Breining (Austin), Dorothy Mladenka (Houston), Glenda (Gandalf) Dawson (Albuquerque), Gill Ediger (Baltimore), Jill Moody (Bandera), John Kreidler (McAllen), Bobbi Lovett (Edinburgh), Jim Clements (Corpus), Paul Duncan (Georgetown), Harold (Termite) Romike (El Paso), Jay Wakefield (Austin), and Paul Vass (the wilds of Ohio).
About 40 of the old A&I cavers have been contacted.
Much laughter and fun-poking ensued and a lot of memories--some real and others only imagined--were brought out and dusted off for each others entertainment. It was so much fun that it was decided on Sunday to adjourn and to reconvene with a larger crowd at TCR next year.
Photo Credits
Outer circle of photos, clockwise from upper left: (1) D.J. Walker & Patrick Lynott demonstrate a pickoff; (2) Wes Schumacher and his orange hair; (3) Joe Mitchell and Bob Cowell clown around; (4) Lisa Schlieker doing the speleolympics waterfall squeeze; (5) Scott Serur on the rebelay course; (6) the creek and hot tub; (7) Joe Pierce and T.R. Evans; (8) Flat Creek bluffs; (9) "Shop 'til you Drop" Susan Chief; (10) A&I Grotto Reunion; (11) Frank Binney tests his newly purchased vertical gear while Gil Ediger gives pointers.
Inner circle of photos, clockwise from upper left: (12) TSS Directors Jerry Atkinson and Jim Kennedy; (13) Pete Strickland uses his hot-water shower; (14) Susan Soudy, Rune Burnett and granddaughter; (15) Butch Fralia mans the TSS table; (16) Pirate ship watermelon; (17) Busy time at the TSA-TSS tent; (18) "tent bat."
Credits: (12, 15) Bill Bentley; (1) Aimee Beveridge; (10) Gil Ediger; (3, 5, 9, 14, 16, 18, Butch Fralia; (2, 7, 17) Carl Kunath; (6, 8, 11, 13) Marty H. McKenzie; (4) Travis Scott.
SPELEOLOGICAL SURVEY
www.txspeleologicalsurvey.org
Collecting and Organizing Data and Visuals to
Build a Complete Picture of Texas Caves and Karst
December 2004
When I was a boy my dad had a copy of Thor Heyerdahl’s book Kon-Tiki in the house. I read it at an early age, when I was maybe nine years old, and marveled at such an adventure of will and hardship. Not far into the book is a photo of Heyerdahl standing with polar explorer Peter Freuchen, looking at a large globe in the New York City headquarters of the worldwide organization of explorers, The Explorers Club. I dreamed of being an explorer of some unexplored realm of earth, and of someday being a member.
As a Boy Scout I went caving in northern Kentucky in 1963. On my first trip my friends and I discovered virgin cave passage. When we realized the soft dirt on the floor was void of footprints, I threw out my arms like a school crosswalk-guard and suggested to my buddies that we should now go slowly in single-file and savor our first original exploration. Our scoutmaster, Mr. Poppleton, always encouraged us scouts to take the path less traveled, but I never imagined one totally untrodden. His son Pete and I joined the NSS at the same time, he at 15 and myself at 16 years of age. That was nearly forty years ago, and discovering virgin cave has been one of the most pleasurable experiences of my life.
As I went caving through my teenage years and on into adulthood, I occasionally ran across further mention of The Explorers Club. I read that former NSS president Russell Gurnee had also served The Explorers Club as president. I read Gurnee’s *Discovery at Rio Camuy*, where I learned that his expeditions were sponsored by The Explorers Club and that he carried their flag on expeditions. I also read that Neil Armstrong, the first man on the moon, had participated on an Explorers Club-sponsored caving expedition to South America.
Caving remained my avocational interest as I went to college, through marriages, kids, careers and other mileposts. I was twenty-nine years old during the 1978 NSS convention in New Braunfels, Texas. Bill Stone and I had started the Huautla Project, to thoroughly explore and conduct speleological research in Sistema Huautla in the Southern Mexican state of Oaxaca. We wanted to do some fundraising to buy rope, other exploration and survey supplies, food, and in general lessen the cost for the caver participants. Our dream was to explore the world’s deepest cave. One afternoon during the convention, Stone and I asked Russ Gurnee to take a walk with us to talk about possible sources of money for Huautla caving. Gurnee urged us to join The Explorers Club. I was totally thrilled. This former president of The Explorers Club was offering to sponsor our membership applications and find our required second sponsor. He said it would probably be Brother Nicholas Sullivan, also a former president of the NSS. Gurnee said it was very rare to have qualified applicants to The Explorers Club younger than thirty years old, but we qualified. After all, we had explored the deepest cave in the Western Hemisphere and many other significant caves, and aspired to explore the world’s deepest cave.
Gurnee and Sullivan co-sponsored Stone and myself, and as a very special, unexpected honor, we were made Fellow members upon joining. The Bylaws of The Explorers Club says this about Fellow members: “Persons eligible for the Fellow class shall be men or women who have actively participated in, or substantially contributed by research, to field exploration of recognized scientific purposes and as a result of such activities, papers, articles, books, reports or other scientific data of permanent value have either been published under the applicant’s name or accepted by accredited scientific institutions.”
Right away Stone and I applied to carry the flag of The Explorers Club on our upcoming Huautla expedition, and did so many more times through subsequent years. The Explorers Club says this about their flag: “The Explorers Club flag represents an impressive history of courage and accomplishment and has been carried on hundreds of expeditions by Club members since 1918. To carry the Club flag is an honor and a privilege. It has been flown at both poles, from the highest peaks of the greatest mountain ranges, traveled to the depths of the ocean, to the lunar surface, and into outer space.”
Exploration grants from The Explorers Club are not a lot of money, but they are a good place to start raising support for a caving expedition. Getting their endorsement and sponsorship says a lot about your professionalism and credibility, and you build on it. Raising support for Huautla expeditions was a lot of work (mostly sending lots of letters), and through the next sixteen years we reaped generous support.
Very few Texas cavers are members of The Explorers Club. The annual dues are $200 for a Fellow, and more if you are a “Member.” You get a quarterly magazine and invitations to Texas Chapter dinner meetings, which cost around $80 per person, but that includes an “open bar.” Explorers Club members residing in Texas include Charles Duke, one of the dozen lunar astronauts; Gene Cernan, the “last man on the moon”; and Ross Perot, Jr., the first person to circumnavigate earth in a helicopter. Perot could afford to give his helicopter to the Smithsonian Air and Space Museum, and it hangs in the same hall in Washington D.C. as the Wright Brothers’ plane, the Spirit of St. Louis, and Chuck Yeager’s X15.
At the most recent Texas Chapter of The Explorers Club dinner meeting on September 11th, 2004 at the San Antonio main public library, Bill Stone (who has lived in Maryland since 1980), former Fellow member Mark Minton (now living in New Mexico, who has dropped his Explorers Club membership), Fellow member Don Broussard and I spoke on our many year quest to explore the world’s deepest caves at Huautla and Cheve in Mexico. That was the after dinner and main program. On this occasion Explorers Club Fellow Sam Meacham, formerly of Austin and now of Cancun, Mexico spoke before dinner about the exploration of Ox Bel Ha, the longest cave in Mexico at eighty miles (all underwater).
Other Texas cavers who are members are Ted Lee, Michael Cicherski and Don Morley, who are all from San Antonio and were introduced to caving by Huautla veterans and myself. Ted Lee is currently the Texas Chapter program chairman, Cicherski maintains
their web site, and Morley has served as program and chapter chairman. Other cavers who attended the dinner as guests were Jere, Bennett and Jonathan Lee, Cynthia Perez, Diana Tomchick, Yvonne Droms (from Virginia), and my daughter Audrey, who is a student member and has participated on flag carrying expeditions to Huautla and Cheve, and her boyfriend Mark Wilson.
2004 Explorer’s Club Dinner Speakers. From left: Bill Stone, Mark Minton, Don Broussard, Bill Gruy, Bill Steele, Sam Meacham, Ted Lee. James Powell photo
In September of this year I was in New York City on a business trip and stopped by the world headquarters of The Explorers Club with a work associate. The opulent uptown townhouse on East 70th Street, in between Central Park and Park Avenue and a block from each, was built in 1910 and was once owned by the Singer family (of sewing machine fame). Later, Lowell Thomas paid a significant portion of the cost to purchase the townhouse as a clubhouse for The Explorers Club, which is now known as the Lowell Thomas Building. As a reporter Thomas rode with Lawrence of Arabia, and when I was a kid I remember watching the popular TV show he hosted that featured trips to exotic far off places like Lhasa, Tibet. I showed my work associate around, having been there a few times in the past couple of years while on business trips. We saw the very globe I had marveled at as a boy in the book Kon-Tiki, an original Charles Knight painting of Pleistocene wooly rhinos, and among a myriad of far-ranging exploration artifacts we gazed upon the sled that Robert Peary took to the North Pole, Matthew Henson’s mittens, and Sir Edmund Hillary’s ice axe from Mt. Everest. Our last stop was a lecture room with a large, ornate fireplace from a Scottish castle, and Henry the Navigator’s 15th century map table. There, on the Flag Honors Wall, I pointed out my name in three places, indicating that I was awarded and carried the flag in my name on three expeditions. Then my friend noticed something a few feet away that blew my mind. Framed there was flag #132, which I had carried on a Huautla expedition in the late 1980s--this was the same flag that had been carried by Thor Heyerdahl on his Kon-Tiki expedition. It gave me goosebumps as I wondered if it was mere coincidence, or part of a grand design.
Postscript: More information about the Explorers Club can be found on the Internet at www.explorers.org, and the Texas Chapter of The Explorers Club web site is located at http://www.explorers-tx.org.
Post-postscript: A publication of The Explorers Club includes this introduction:
Founded in 1904 by a group of America's leading explorers, The Explorers Club is a multidisciplinary, professional society dedicated to the advancement of field research, scientific exploration, and the ideal that it is vital to preserve the instinct to explore. The Club's efforts in research, education, and public service include the orientation of young people toward careers in the field sciences. The encouragement of scientific exploration of land, sea, air, and space, with particular emphasis on the physical and biological sciences, is its mission.
As a world center for exploration, The Explorers Club has served as a meeting point and unifying force for explorers and scientists worldwide. Membership is open to qualified individuals and to those corporations that support the Club's goals by undertaking a significant role in the fields of exploration and science. With 28 chapters around the globe, the Club is international in scope and our nearly 3,000 members represent every continent and more than 60 countries. Over the years, membership has included polar explorers Robert Peary, Matthew Henson, Roald Amundsen, Frederick Cook, Sir Ernest Shackleton, Richard Byrd, William R. Anderson, and Norman Vaughan; aviators James Doolittle, Charles Lindbergh, and Chuck Yeager; underwater pioneers William Beebe, Jacques Piccard, Don Walsh, Sylvia Earle, and Robert Ballard; astronauts Buzz Aldrin, Neil Armstrong, John Glenn, Sally Ride, Kathryn Sullivan, and cosmonaut Viktor Savinykh; anthropologists Donald Johanson, Louis Leakey, Richard Leakey; primatologists Dian Fossey and Jane Goodall; mountaineers Sir Edmund Hillary, Tenzing Norgay, and Bradford Washburn; former U.S. Presidents Theodore Roosevelt and Herbert Hoover; and other notables including explorer Thor Heyerdahl, and journalists Lowell Thomas and George Plimpton.
[Editor’s Note: The following article was based upon Mark Minton’s presentation at the Fall 2004 Explorer’s Club dinner in San Antonio.]
The increase in the world depth record has been equally dramatic. Figure 4 shows how the depth record has changed over time. Again, early on there were often large spans of time between advances, whereas today a record does well to stand for a couple of years. This is shown graphically in Figure 5. No doubt part of this spectacular increase in depths attained is due to advances in equipment and techniques. But it may also be at least partially attributed to an increased interest in and competition for the world’s deepest cave (Indeed, there is some controversy about the depth of Gouffre Mirolda, once heralded as the world’s deepest cave.). Such deep caves were once the sole province of Europeans. One dramatic aspect of our discoveries in Li Nita was that it opened the eyes of the world to the possibility of finding world-class deep caves in places outside of Europe. Now there are also 1000-m-deep caves in North America, Africa, Asia, and even one in the Southern Hemisphere (Neide-Muruk in Papua New Guinea). There is also a lava tube over 1000 meters deep, Kazumura Cave in Hawaii.
With the rapid increase in known 1000-m-deep caves, the discovery of a new one no longer causes the sensation that it once did. In fact there are now several caves over 1500 meters deep, and early reports of a once almost inconceivable 2000-m-deep cave (Voronja/Krubera) have just surfaced. Indeed, the quest for 2000-m-deep caves has become the new Holy Grail of deep caving. There are several places where one is geologically possible, including the Sistema Cheve in Mexico, which is the world’s deepest proven karst conduit at over 2500 meters deep! Realizing this fantastic potential is a significant challenge and has consumed many expeditions to date.
Finally, let’s take a brief look at length. Although deep cave records can be broken even as they are being set, there has never really been much competition for world’s longest cave. Figure 6 shows the world length record by year. The interesting thing about this graph is that it really just chronicles the exploration of a single cave! Mammoth Cave System has always been the longest, ever since records have been kept. For a brief period in the ‘60s and early ‘70s Flint Ridge Cave was longer than the known portions of Mammoth, but those two were connected in 1972, showing that in fact it was really the same cave. The corresponding world-class benchmark for long caves is 100 km.
There are currently 14 caves surpassing this mark, with Mammoth substantially longer than the next two combined! Only Siebenhengste in Switzerland appears on both the longest and deepest lists. The U. S. is never likely to be a contender for a world depth record, but our place as holder of the world length record seems very secure.
* There are fewer than 83 1000-m-deep caves listed in the various lists of the world’s deepest caves (such as Bob Gulden’s at http://www.pipeline.com/~caverbob/wdeep.htm) because some of them have been connected, producing a single system. However for the purposes of this article each cave is considered separately.
References:
Paul Courbon, Claude Chabert, Peter Bosted, Karen Lindsley, “Atlas of the Great Caves of the World,” Cave Books, 1989
Trevor R. Shaw, “The Deepest Caves in the World and Caves Which Have Held the World Depth Record,” The Cave Research Group of Great Britain, Occasional Publications No. 5, 1961
Bob Gulden, Long and Deep Cave Lists, http://www.pipeline.com/~caverbob/home.html
Louise D. Hose, “Sistema Cheve World’s Deepest Karst Conduit System,” AMCS Activities Newsletter, No. 20, pp. 44-45, 1993
Jean-Pierre Beaudoin, “Quelques réflexions sur la profondeur du gouffre Mirolda,” Spéléoscope, No. 22, pp. 20-22 (2003) http://ffs.ces.free.fr/federation/commissions/environnement/speléoscope/Scope%2022.pdf
Various international caving publications, web sites, and private communications. Thanks to Graham Proudlove for sparking my interest in the chronology of when individual deep caves broke the 1000-m mark.
---
**Book Review**
*by Bill Mixon*
*Beneath Their Feet: A Novel about Mammoth Cave and Its People.*
Patricia H. Quinlan. iUniverse, New York: 2004. 5.5 by 8.5 inches, 373 pages. Hardbound ISBN 0-595-66243-9, $31.95; softbound ISBN 0-595-31013-3, $21.95.
Rather than a novel, this book is really more a series of vignettes based on events in the history of Mammoth Cave and loosely tied together by the families involved. Most of the history is from the nineteenth century. The grammar is imperfect and there are occasional misspelled words; iUniverse charges extra for editing when you pay them to publish your book. But once I got past that, the book was a pleasant and interesting read, and it would be a painless introduction to some spelean history for many readers.
---
**2001 Speleo Digest Now Available**
*by Scott Fee, Speleo Digest Series Chairman*
Written by 208 authors covering 31 states and nine countries, the 483 page Digest contains 288 articles and over twenty photographs. This immense publication should be on every caver's list of things he or she must read. From the 257 pages devoted to the caves in the United States to the 45 pages of speleo fiction and humor, this book covers all the realms of speleology including international cave information, equipment, techniques, history, and even the cave sciences.
Supplies are limited, so order your copy today for only $23.00 plus shipping. Moreover, don't forget that if you buy any two Speleo Digest from 1990 through 2002 you can receive a 1993 Speleo Digest for FREE!
If you would like to purchase one using the NSS Secure Server, just go to the following link and scroll down to the first item:
http://www.caves.org/service/bookstore/speleodigest.html
Bookstore, 2813 Cave Ave, Huntsville, AL 35810. (256) 852-1300.
email@example.com, www.caves.org
---
**2004 Alpine Karst Now Available**
*by Joe Oliphant*
Publications details: size is 8.5 x 11 inches; 130 pages; 3 fold-out maps; 21 other maps; color cover; 82 photo images; 11 graphic images; $16.00 (includes shipping); published by Cave Books; Tina Oliphant, editor.
A revival after 26 years, *Alpine Karst* was last published in the 1970's. Chuck Pease, Jim Chester/Ron Zuber produced four issues from 1975 to 1978. *Alpine Karst* focused on the unique challenges and rewards of exploring and documenting caves located in Montana, Wyoming, Idaho, Colorado, California, Utah, Canada, and Europe. It also featured articles on advanced techniques, geology, and equipment. Most alpine caves are located in wilderness areas, adding interesting dimensions to the explorations and articles.
And despite the 26-year gap, some things are timeless. This issue of *Alpine Karst* continues the classic stories of exploration and science as one reads of groans, llamas, skis, toboggans, rafts, mountain bikes, scuba flippers, the Grizzly, and some very sore feet. And in the end, we survive to explore and document the caves. Articles of science and exploration are included from Utah (the complete account of exploration of Nielson's Cave), California, Montana, Alaska, Colorado, Europe and Canada. Vertical techniques and new options for wetsuit technology are explored. A generous amount of photos and maps accompany the publication.
For more information go to www.alpinekarst.org
It was August and it was hot, but most importantly for the Robber Baron Cave project, it was finally dry. Persistent rains throughout the spring and early summer have prevented progress on the long running project to reconstruct the cave entrance and improve the surrounding property. Started in early 2003, the primary focus on the project to date has been the removal of dirt from the sinkhole. Many years of fill resulted in the floor of the sinkhole being nearly 5 meters above the actual floor of the cave entrance. Entry was gained by climbing down a set of deteriorating, unstable railroad ties which also leached creosote into the cave, potentially affecting the known endangered species in the cave. The goal of the initial portion of the project was to remove this fill and restore the sinkhole floor to the level of the entrance.
Heavy equipment, including an excavator and bobcat, were required to move the large amount of dirt, and their operation required dry conditions. In order for equipment to enter the sinkhole, a long trench was dug which would get very muddy under damp conditions. As such, a rule was instituted that work could not proceed without two (and later three) weeks without precipitation.
The first opportunity for significant progress was the week of July 29th- August 6th when nearly 100 cubic meters of fill where removed from the sinkhole, and in the process the trench was widened and lengthened. Twelve volunteers cut and removed five trailer loads of non-native vegetation and trash. Tom Brown led the operation of the heavy equipment and was assisted by Joe Ranzau, Allan Cobb, and George Veni. They spent much of their own personal time at the cave that week making tremendous progress. Hired contractors removed the stacked fill a few days later.
On the 14-16th of August, a follow up work trip finally made the big breakthrough - enough fill had been removed to expose the main entrance to the cave. The entrance was sealed with cement blocks and the rest of the dirt that could easily be reached with the equipment was excavated. Two additional trailer loads of trash were also removed. The 29th-31st of August saw the occurrence of the long awaited event: the gating of the cave. On Sunday, a volunteer crew hand dug the area around the main entrance in preparation for gate installation. Additionally, a second entrance in the side of the sinkhole was dug open so that it could also be gated. Actual construction of the gate occurred over the following two days as Peter Sprouse (of Zara Environmental) donated his company's time for the installation, with only material expenses paid for by TCMA.
The new gate is composed of stout angle irons embedded into bedrock and buried where possible. The entrance to the gate is by a removable cross-bar that is secured with a special type of key that is nearly impossible to duplicate. The second entrance is gated in a similar manner but cannot be opened.
Since the completion of the gate additional work trips have been held. On Sunday, September 7th a work trip was held and the remainder of the fill in the sinkhole was removed by hand. The air in the sinkhole was especially bad that weekend and work proceeded very slowly. On October 4, another trip was held to remove sand that had filled side passages in the cave. Four people from Houston Grotto and three from the Aggie Grotto came for the workday. Unfortunately it was a very rainy day and water started pushing the sand back into the cave, so work was quickly stopped for the day.
There are still many tasks remaining to complete the work at the cave, most of it remaining on the surface. Large flat rocks will be placed along the edge to retain the dirt. At that point the heavy equipment use will be finished and landscaping will take center stage. A plan completed...
by Vivian Loftin will form the basis for this work (see below). Leaders and volunteers are still needed for many of these tasks.
Many tasks remain at Robber Baron. If you are interesting in helping or managing one of these, contact George Veni at firstname.lastname@example.org.
1. Build steps down the trench along with berms to manage water flow. A retaining wall is needed along the edge of the trench where it enters the sinkhole.
2. Fences – old fences removed when new ones are ready.
a. Nacogdoches stone wall
b. Decorative walls/fences on other property edges.
c. Low stone wall with wrought iron fence on top along trench and sinkhole edge.
3. Fill the entire surface with good topsoil.
4. Parking lot construction. Options include asphalt, gravel, and paving stone.
5. Landscaping including plantings, trails, mulching bins, signage, kiosk, etc.
Editor’s note: this article originally appeared in the TCMA newsletter. Since the article was written, much progress has been made at the Robber Baron site. The following is a heavily edited extract from CaveTex postings by George Veni.
In November, Bexar Grotto’s Ruben Garcia generously volunteered use of his big dump truck from his Majestic Tree Service Company to help move a bunch of big rocks to the site, and removed the piles of fill from the alley. The rocks were provided free courtesy of the US Army. The good folks at Camp Bullis very kindly used their equipment and staff to load Ruben’s truck.
On Saturday December 18th, a group of eleven Bexar Grotto members spent the day moving several tons of rocks and boulders to line the southern edge of the access trench to prevent soil erosion. Tools to accomplish the task included pry bars, come-alongs, buckets, bags, ropes, and a surprisingly small number of colorful metaphors.
Not all announcements on Robber Baron Cave are made on CaveTex. If you’re interested in the project and want more details, let me know and I’ll add you to the RBC restoration e-mail list.
The Robber Baron property masterplan.
Entry to the sinkhole will be through the trench which have steps installed. Other features of the plan include trails, a stone wall along Nacogdoches, a bridge over the trench, decorative fencing along the sinkhole, an information kiosk and signs, a meadow, and a parking area in the alley.
Illustration by Vivian Loftin
17 October 2004
(Convened at 2004 Texas Cavers’ Reunion at Flat Creek Ranch)
Officers Present: Diana Tomchick, Chairman; Jerry Atkinson, Secretary; Michael Cicherski, Treasurer.
TSA Members in Attendance: Don Arburn (BG), Jay Jorden (DFWG), Jim Kennedy (UTG), Linda Palit (BG), Bill Steele (DFWG, MG), George Veni (BG), Terry Holisinger (UTG), Joe Ranzau (BG), Cindy Lee (UTG), Bill Russell (UTG), Allan Cobb (UTG), Jacqui Bills (PBSS), Gary Olsaver (BG), Christi Burrell (BG), and Terri Whitfield (UTG).
Call to order: 10:05 a.m. by Diana Tomchick, chairwoman.
Reading of minutes from spring TSA meeting waived. M./Jim Kennedy, s/Joe Ranzau approved.
Officer Reports
Diana welcomed TSA members to the Business meeting and thanked Andy Grubbs for organizing a successful Texas Cavers’ Reunion. TSA will have its 50th anniversary next year. She has developed a poster in conjunction with events in 2005-2006. It features a Culverwell drawing of Devil’s Sinkhole.
For the 2004 financial report, treasurer Michael Cicherski distributed printouts of statements and reported the TSA’s operating account assets of $4,008.81, with $3,624.55 in the savings account and $10,080.01 in the Land Fund account. Total: $17,713.37. Income for the calendar year totaled $6,261.67, with expenses of $5,646.51. Net income: $615.16. Expenses from the latest Texas Caver are not included. The Land Funds current return of .86 percent, annualized, can be improved. Access to the Fidelity Cash Reserve Account has been re-established. Since early July, all three accounts were audited and balanced. Officers have since received monthly reports. The data was entered into QuickBooks. Under the profit and loss statement, TSA Convention expenses totaled $2,519.97. Ranzau said the convention broke even. Cicherski said a 2005 TSA budget can be developed based on his financial statements from this year.
M./Kennedy, approved by consensus, to summarize the minutes from the May 22 spring business meeting at Burnet. Secretary Jerry Atkinson said the minutes are posted on the TSA Web site’s business page: http://www.cavetexas.org/template2.asp?content=meetingminutes.asp. The summary showed total cash assets of $18,786.15, including $10,040.12 in the Land Fund account, and 160 paid TSA memberships. The meeting included discussion of membership: TSA needs at least 200 members in order to break even and 50 memberships have expired since the October TCR.
Committee Reports
Texas Caver: Diana has agreed to be the new editor. Becky Jones is also editing an issue.
TSA Land Fund: Jay Jorden gave a short history of the fund, established in 1995 with seed money from the honorarium given by the National Speleological Society to the 1994 NSS Convention Committee at Brackettville. Intended for acquisition of a permanent TSA site, with conservation as a secondary goal, the fund has grown through the years with deposits from attendance charges at association events and occasional miscellaneous contributions. Funds in the Fidelity Investments account have been deposited in a money market account. Diana and Jay are current Land Fund trustees, with a third, elected position vacant. Consensus was to have an election for the position at the winter BOG meeting.
Membership: Bill Steele reported 180 paid TSA members as of TCR. The cost of a mailing to TSA members was split with TCR. The NSS membership list was reviewed for potential new TSA members.
Safety and Rescue: Jacqui Bills said Becky has been involved in planning NCRC Level I/II training, scheduled for February at Colorado Bend State Park, with a $150 registration cost. A wilderness first aid responders’ course, including CPR, is scheduled for March 2005 at Dolan Falls, near the Devil’s River. The $400 cost will include continuing education credit. A vertical awareness and injury prevention course is in development.
TSA Store: The enterprise is doing well. But Logan McNatt wants to get out of the book store business. Sales of $317.50 were reported from the TCR weekend.
TSA webmaster: Travis Kinchen has had an illness in his family. But he’s keeping up with demands of upgrading the Web site.
Election Committee, Allan Cobb: Current nominees are Bill Steele, chair; Jim Kennedy, vice chair; Cicherski and Julia Germany, treasurer; and Atkinson, secretary. Election ballots were to be mailed within weeks.
Old Business
TSA 50th anniversary preparations (Tomchick): M./Kennedy, s/Steele to allocate $500 for the first printing of the commemorative poster featuring Devil’s Sinkhole. Proof has been reviewed. The motion passed. Plans for TSA’s 50th anniversary convention upcoming need discussion at the winter BOG meeting. The poster may be available then.
Cicherski recommended that more than $3,000 transferred from the operating account into the Land Fund should be restored to the general fund. Members discussed the possibility of leaving the money in the Land Fund, but there was concern about the possible need for its availability to handle TSA expenses. Cicherski said when more is known about the TSA’s financial picture with development of a 2005 budget, it can be determined how much the organization should be setting aside in the Land Fund. Some upcoming TSA expenses include a new members’ manual and future Texas Caver issues.
Life category membership, TSA: George Veni said the NSS calculates long-term membership costs and allocates to lifetime membership costs about 20 years’ membership dues. Greg Passmore originally proposed the membership category. It’s not really fiscally feasible for TSA. Motion to defeat proposal approved.
Proposed constitutional amendment regarding TSA officer elections (Atkinson): Outlines perceived inconsistencies in current election nomination, balloting and counting procedures; and advocates formalizing the process. (Atkinson reads proposed changes to Article VI: Terms and Elections; Section B; Subsection 1 of Bylaws.) The proposed changes will be printed in the December Texas Caver. Atkinson said TSA has had some hotly contested officers’ races in the past; not every member is able to attend the meetings. Cobb, who has experience with education test scoring, said he could write guidelines for ensuring accurate vote tabulation. That point was added by consensus to the counting methodology.
Members’ manual (Tomchick): Official listings are being updated. Intent is to incorporate TCR membership renewals within the next week and send the manual to the membership by the year’s end.
Texas Caver digitization, NSS online library (Tomchick): Process is ongoing. NSS intends to have more internal organizations’ publications available online. Several grottos’ publications are already available online to their memberships. Discussion of copyright issues and whether older Caver issues should be posted online first. Releases from authors submitting articles and information may be required. Hard copies also must be archived. Cobb: Caver has no copyright statement or stated policy. Tabled to Publications Committee.
New Business
2009 International Congress of Speleology (Veni): For the Texas ICS bid, a poster is in development. A Web site is also set up. Veni gave a presentation at the Vietnam karst congress; positive feedback was received on the NSS proposal for a San Antonio ICS, but some are concerned about the political situation in the United States and potential airport hassles because of homeland security measures. The 2009 bid will be chosen next August in Greece.
Membership standardization (Tomchick): General discussion on whether annual memberships should run from January 1 to December 31. Consensus that the Executive Council will determine policy here.
TSA is still looking for a store manager to replace Logan McNatt, who wants to resign.
TSA website: The domain is currently renewed annually. M./Ranzau, s/Cobb to purchase http://www.cavetexas.org/ for 10-year blocks to effect cost savings. The bulk purchase would amount to about $1 a year for the period, compared with $9.95 annually. Passed unanimously. Ranzau will expedite.
Announcements
Powell’s Cave sketching workshop is scheduled for Nov. 6. (Cobb) Photo monitoring workshop tentatively scheduled for a weekend in January 2005. A Devil’s Sinkhole cleanup trip is planned for early 2005. A Kickapoo Caverns project weekend will be held early in 2005.
Next meeting
Scheduled for winter 2005, tentatively the third week of January, at the TSS office.
Meeting ended at 12:15 p.m.
Submitted by Gerald L. Atkinson and Jay R. Jorden.
2005 Bustamante Restoration
February 19-21
by Rune Burnett email@example.com and Orion Knox firstname.lastname@example.org
http://home.austin.rr.com/ojknox/bustainfo.htm
After taking a year off from this popular project due to possible conflicts with development at the cave, the project is up and running again. The Mexican economy has made formal development of the cave uncertain in the near term and our efforts are all the more important. After several years of discussions about a cool weather project, we decided to go for it in 2005. Significant work is planned outside the cave, which will benefit from the February date. The cool weather also makes it possible for some great hikes on Sunday.
The Bustamante area provides a premiere trip destination for beginners as well as experienced cavers. In fact, many of the project's past participants have been friends and relatives of cavers. The TSA sponsors this project to provide assistance to Mexico in cave conservation and appropriate development. Planning for the 2005 Bustamante Project is being finalized and coordination continues with Bustamante officials and TSA facilitators.
As in the past the city will provide the following:
1) Free access to the cave beginning on Friday, February 18th. Most work will be done on February 19th and 20th.
2) Free camping in the canyon at or near the spring (ojio de agua).
No limit to the number of participants but pre-registration is encouraged to help plan work projects. Pre-registration forms are available on the web site, and will soon be available at the TSA web site. Onsite registration will be available on Saturday morning at El Cono in the lower parking area.
Getting to Bustamante: For information on getting into Mexico and to Bustamante, check out the TSA website on the subject: http://www.cavetexas.org/getinmx.htm
Present plans include the following tasks: trail construction outside the cave, graffiti removal inside and outside the cave, construction of bridge for tour trail, lighting repair, general cleanup in and around the cave, removal of clay from concrete steps, work on signs, trim back vegetation outside cave, possible cave trail work in first room.
Work in and around the cave begins on Saturday morning, and some work may continue on Sunday. Field trips will begin on Sunday morning.
Dinner is scheduled for 6:00 p.m. on Sunday and will probably be at the Ancira Hotel or at a city facility if the weather is too cold. Beer will be available at an additional cost.
Sunday Tours: Chiquihuitillo rock art site, Sierra de Bustamante Ridge hike, El Vallado canyon hike, sport caving or continue project work in Palmito; Monday mescal factory tour.
Colorado Bend State Park
by Dale Barnard
The TSA-Colorado Bend State Park Project has scaled back the number of regular trips. The project weekends have been the second Saturday of October, January, and one is scheduled for the second Saturday of April.
We believe that the change is needed in order to improve the quality of the project, allowing more time for processing and organizing the data between trips and to concentrate on completing the database for a publication.
Since the project has a long history of maintaining a predictable schedule, we have chosen to continue the tradition, but with fewer project weekends, instead of announcing random trips as other projects usually do.
There will be some additional trips that are not scheduled in order to target specific issues. If you would like to help us complete some of these internal projects on unscheduled weekends, feel free to contact us.
The project began sometime before 1987, at which point Butch Fralia, Keith Heuss, and Terry Holsinger took it over from Mike Walsh. Terry Holsinger dropped out of it in 1991 or 1992. In 1995, Butch and Keith decided to suspend the project, but Dale Barnard and Terry Holsinger teamed up to keep the project going. The project has kept a regular schedule since 1987.
The park offers a walking tour (Gorman Cave), the crawling tour (several small caves), and one self-guided "tour" (Cicurina). Cavers are allowed access to the park's 150+ caves only when specifically contributing to the objectives of the project.
Feel free to contact either of the project leaders with questions:
Dale Barnard (512) 847-1521 email@example.com
Terry Holsinger (512) 443-4241 firstname.lastname@example.org
Government Canyon Karst Survey
10th October 2004
by Marvin Miller
Trip participants: Susan Bigham, George Kegley, Marvin Miller, Dave Smith, Mark Wagaman, Robert Wood.
This was George's first trip as a volunteer, having recently retired from Texas Parks Wildlife Department. He led Dave and Robert up toward the heights of Black Hill and beyond, homing in on UTM coordinates reported by State Natural Area trail patrol members Bruce Wilson and Hugo Stolte. The cave was reported to be directly on the SNA boundary, and perhaps even off the property. However, George, Dave, and Robert could not find a cave anywhere near the given coordinates. Bruce has volunteered to lead a team to the cave during our next regularly scheduled trip.
The team did come across a sinkhole feature that appeared to have been dug on in the past. They recorded UTM coordinates for further investigation.
I led Susan and Mark to finish the survey of Goat Cave and to survey two small caves - Canyon View Cave and El Cave.
At Goat Cave we did one survey shot into the lower level of the canyon passage that headed toward the "blowing lead" that Rebecca O'Daniel and I had found on the previous survey trip in December of 2003. After putting the survey data from that trip into Walls, a cave survey software, I realized that this hole simply connected to the lower level of the passage coming from the entrance of the cave. We had gained access to this area of the cave by crawling in the upper level of this passage. Now, wanting to confirm the connection, Mark and I climbed up into the upper level of the canyon passage and crawled back to where the passage opened up again and dropped down to lower levels. When we got to the connection hole I was surprised and pleased to be able to see Susan's face above me and through a too-tight portion of the passage. I had been expecting a voice, and maybe light, connection at best. In fact, she was close enough to pass through tape and instruments and we surveyed through and tied into the previous survey.
Back in the entrance room, as we were getting ready to leave the cave, Susan pointed out a lead about four meters off the floor at the room's ceiling. The lead is a continuation of the visible, sinuous, vadose passage feature in the ceiling of the cave. I had climbed up to this lead on my first trip to the cave a number of years ago and had found that it might go but was blocked by old formations. With a better knowledge of the cave and of caving in general I decided to take another look. About three meters down I could see a tight but doable passage. After three meters the passage turned a corner. Right at the drop into the entrance room a projection from the wall kept me from going any farther. It looked like it could be cleared by a few hammer blows. I had hoped to finish the survey of Goat Cave but am happy for more passage. On our next trip we will bring a 12 to 15 ft. aluminum ladder to more safely access the lead. The length of Goat Cave is currently 80.1 meters and its depth is 10.1 meters.
After Goat Cave we hiked downstream and surveyed the two short caves in the cliff face above Goat Skull Cave. These caves are Canyon View Cave and El Cave. Canyon View Cave taped out to 16.9 meters long and 3.3 meters in height. The main entrance is the lowest point in this cave.
We then surveyed along the cliff face to El Cave, which in turn was surveyed to 12.5 meters long and a vertical extent of 0.8 meters.
TSA Election Results
By Allan Cobb
The 2005 officers for the TSA are:
Bill Steele -- Chair
Jim Kennedy -- Vice-Chair
Jerry Atkinson -- Secretary
Michael Cicherski -- Treasurer
Here is the breakdown of the votes:
83 total votes
Chair
Bill Steele 76 votes
*Wes Schumacher 2 votes
*Terry Holsinger 2 votes
*Bill Russell 1 vote
*Diana Tomchick 1 vote
*Ixta 1 vote
Vice-Chair
Jim Kennedy 79 votes
*Joe Ranzau 2 votes
*Julie Jenkins 1 vote
*Diana Tomchick 1 vote
Secretary
Jerry Atkinson 76 votes
*Joe Ranzau 1 vote
*Ron Ralph 1 vote
*Ixta 1 vote
Treasurer
Michael Cicherski 42 votes
Julia Germany 41 votes
*write-in candidates
TCMA Thanks You!
By Aimee Beveridge,
Acting Secretary, TCMA
TCMA has grown by leaps and bounds and we want to make sure we thank every one of you for your donations in 2004. Unfortunately with the overwhelming support, some written correspondence has been overlooked. Now that 2005 is upon us, we'd like for you to let us know if you want a letter or receipt for your tax-deductible donation. Also, if you've moved, have a new email address, phone, etc. we'd like to know. Thanks to Maryann Moore with Majeq Systems Inc., we have a powerful new membership database. All we need now is accurate info from you!
If you would like us to send a donation thank you for your tax-deductible donation please include the following in an email to email@example.com:
Your name, address, phone number and email
Amount you donated and date of donation
Specify whether the donation was for membership (was it family, regular or student) or donation to either the Cave Acquisition Fund (Punkin & Deep) or General Fund.
If you won an auction item and want a thank you, remind me what you won (we have records of the auction sales items). Note that you can subtract the actual value of the item from your purchase price and consider the remainder as a donation. Alternatively, if you donated items to the spring convention and you would like a tax letter for them we can help you there too.
The TCMA would also like to thank the following grottos and organizations for their support of the Cave Acquisition Fund:
| Grotto | Amount |
|-------------------------|--------|
| Bexar Grotto | $374.00|
| DFW Grotto | $432.00|
| UT Grotto | $431.50|
| Aggie Speleological Society | $100.00|
| Texas Cave Conservancy | $300.00|
| Maverick Grotto | $418.00|
| NTSS Grotto | $100.00|
| Greater Houston Grotto | $590.00|
| Birmingham Grotto | $100.00|
Special Events:
The TCMA and BG will provide a howdy party on Friday evening before the meeting. On Saturday evening, there will be a party/reception for the board at Geary Schindel's house starting at 7 p.m. A Board dinner will be arranged at one of many nearby restaurants in town. Cave trips will also be available to nearby caves for visiting cavers and BOG members.
If you would like to volunteer your time for this event, please email Geary Schindel, Linda Palit, Joe Mitchell (firstname.lastname@example.org) or Joe Ranzau (email@example.com).
Wilderness First Responder Class
March 11-17, 2005
Sponsored by Saint Stephen's Episcopal School Devils Canyon Wilderness Program and The Texas Nature Conservancy
This First Responder course meets or exceeds the standards established by the National Safety Council and the Wilderness Medical Society. This 50-hour course is based on the "Wilderness First Responder" text by the Wilderness Medical Institute.
Upon successful completion of this course students will earn a First Responder card valid for 3 years. Eligible students may test for the Texas Department of Health Emergency Care Attendant certification.
Cost: $400 – Includes class, book, transportation, meals, camping, etc.
Location: TNC Davis Mountains Preserve
Information: Rebecca Jones
firstname.lastname@example.org (325) 247-5165
WFR Goals include:
Fundamentals of anatomy & physiology; prevention, recognition and management of emergencies in the wilderness; common wilderness injuries and illnesses; modification of standard treatments for wilderness situations; causes, recognition and treatment of wilderness specific illnesses & injuries; extended patient care; patient packaging & transport; introduction to Search & Rescue
This WFR course will be taught by Rod Dennison of STAR Rescue.
Rod is a Paramedic with experience in street, tactical and wilderness medicine. He is retired from the TDH where he was Region 7 EMS Director. He teaches at the paramedic program at Central Texas College and he is the lead instructor for rescue related courses at McLennan Community College. He was a Rescue Specialist with Texas Task Force 1. Rod is an instructor with the National Cave Rescue Commission. He teaches Technical, Confined Space, Haz-Mat, Swiftwater, Cliff and Cave rescue. He also teaches Search & Rescue, wilderness medicine and wilderness survival.
Granado Cave On-Line Exhibit
Texas Beyond History
From Logan McNatt: "Granado Cave was discovered in 1976 by a local artifact collector, and was mapped later that year by Ronnie Fieseler and some other cavers (whose names are not mentioned in the book). It had many incredible artifacts that were preserved by the dry conditions. Check it out on the TBH website, and take time to explore some of the other sites there as well."
A new online exhibit on Granado Cave has been added to Texas Beyond History (TBH), the virtual museum of Texas' cultural heritage and public education service of the Texas Archeological Research Laboratory in partnership with the Texas Archeological Society, Council of Texas Archeologists, National Park Service, Texas Department of Transportation, Texas Historical Commission, Texas Parks and Wildlife, Anthropology Department (UT Austin), and Center for American History (UT Austin).
View the new exhibit online at: http://www.texasbeyondhistory.net/granado/
Between A.D. 200 and 1450, small groups of hunters and gatherers visited Granado Cave in the stark Rustler Hills of eastern Culbertson County in far west Texas, some making a temporary home there. They left behind a wealth of evidence about their day-to-day lives along with haunting reminders of tragic events long ago—the deaths of loved ones. Dr. Donny L. Hamilton, who excavated the cave, brings to life the story of a skilled, industrious, and caring people who were well adapted to the harsh terrain.
The new exhibit is based on the 2001 book Prehistory of the Rustler Hills: Granado Cave (UT Press). Exhibit and book author Hamilton is head of the Nautical Archaeology Program, director of the Conservation Research Laboratory, and professor of anthropology at Texas A&M University.
We welcome any comments and suggestions. Please pass along this announcement and link to any and all who might find it of interest.
Steve Black and Susan Dial, Editors, www.texasbeyondhistory.net, Texas Archeological Research Laboratory, College of Liberal Arts, University of Texas at Austin, email@example.com
National Cave Rescue Commission Courses
February 19-21 & 26-28 2005
Colorado Bend State Park
About the Seminar
This seminar consists of extensive classroom and fieldwork in all phases of cave rescue including underground environment, vertical rescue, hauling systems, extrication techniques, medical management, communications systems, and the organization and management of cave rescue operations. Basic and advanced course material is presented for students who typically include cavers, emergency service personnel, and emergency managers.
The seminar provides approximately 80 hours of instruction over six days. Its classes are physically strenuous and participants must be in good physical health. Students should be prepared to work in difficult situations, both above and below ground. Each student must demonstrate his or her ability to ascend (on rope) 25 meters, change over, and rappel part way down, tie off a descender, correct a jammed descender, then rappel safely to the ground as part of initial check-in skills.
Participants must review and sign a liability waiver at check-in registration. Persons under the age of 18 will not be permitted to participate.
Courses Offered
LEVEL 1 teaches current cave rescue and emergency management techniques, and provides instruction in caving, basic rope work, litter rigging and transport, and incident command systems. It is specifically designed to meet the various needs of agency personnel with little or no cave related experience, and Cavers with little or any rescue or medical experience. Level 1 prepares the student to function as a cave rescue team member. Level 1 class is limited to 30 students.
Level 2 prepares student to function as cave rescue team leaders. Participants in Level 2 must have successfully completed an NCRC Level 1 course within the past four years. The Level 2 curriculum assumes that students have learned, retained and practiced the skills taught in Level 1. Students are taught more advanced techniques in medical management, vertical and horizontal rescue, team leadership and incident management. Level 2 class is limited to 20 students.
Accommodations
There will be camping sites available with water and Restrooms in the vicinity. Camping and parking will be free for students at the park. Participants will be responsible for their own meals and all trash they generate. Hotels are available approximately 20 miles away in San Saba and Lampasas.
The Caves and Area
Colorado Bend State Park is located 30 miles from both San Saba and Lampasas. Average temperature in January is 45. Be advised that it can be colder or warmer though. Cave temperatures are 65 F. The caves tend to be tight places. The 100% humidity underground guarantees a lot of sweating so clothing should be cool, loose fitting, but durable. Turnout gear is not appropriate.
TCR Vertical Contest
By Aimee Beveridge
For me, TCR wouldn't be the same without the Vertical Contests. I've been entering them every year since winning a cool piece of gear got me hooked at my first TCR in 1996. When it looked like the UT Grotto members that previously ran the contest needed a break after so many dedicated years, I was happy to start helping out in 2002. Probably the best part of the vertical contest is getting to look over the official Texas Old Timers Vertical Contest Book (OTR Vert book). Reading through the OTR Vert book is a real pleasure, as well as a history lesson with entries of vertical contests dating back to 1980 when there were 10 male contestants and only two women contestants, and no children.
By 1984 there were over 20 male climbers and six female climbers.
Over the years, the notes indicate no change in the rope length of 30 meters for the treadmill, with frog technique being differentiated from the rope walker only since 1991.
Record holders for the 30 m rope walker climb go to Paul Fambro with a time of 31.7 seconds in 1984 and Susie Lasko with a time of 42 seconds 1989. Fastest froggers on record are Susan Souby with a time of 1.45 in 2001 and Matt Schram with a time of 1.05 in 1995. It's hard to say who the clear winner is from the children's category because of variations in rope length used, but it should be mentioned that Carl Fromen has been entering and generally winning in the rope walker since he was eight years old. It also appears that PMI has been sponsoring this event since at least 1981!
Vertical contests are educational, and as an incentive to get folks on rope we've been offering guaranteed prizes to all who complete it while keeping two points of attachment at rebelay's, etc. A total of eight people completed the rebelay course this year. The course was made more difficult when the band inadvertently placed their speakers in the direct line of the tyrolean. This minor course disruption didn't stop Jean Krejca from gently tiptoeing over them.
In an effort to continue educating the caving community we asked D.J. Walker and Patrick Lynott to do a mid-day pickoff demonstration. D.J. kept the audience rapt as he demonstrated each move he used to get Patrick down. Patrick, D.J. and Sammy Pizzo helped rig the rebelay course, while Geoff Hoese rigged the treadmill. Kara Dittmer and Susan Pizzo graciously offered to be the judges for the treadmill contest. Rope de-rig was done by D.J., Patrick, Geoff and Jaqui Bills.
We couldn't do these contests without prizes and this year we received generous donation of rope, belts, hats and T-shirts from PMI, Whole Earth Provisions, Inner Mountain Outfitter and Gonzo Grotto Gear donated gift certificates. The UT Grotto provided the carabiners for the rebelay course. Many more people make these contests possible. Traditionally the NTSS Grotto runs the cable ladder climb and this year the ASS did a great job running the Speleolympics course, and Jodie Horton managed the slow race. Like the other contests, the ropes course and treadmill race run all day Saturday. Maybe we'll see you out there next year?
the Texas Caver
Post Office Box 8026
Austin, TX 78713
PRESORTED
STANDARD
U.S. POSTAGE PAID
AUSTIN, TEXAS
PERMIT NO. 1149
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My Story of Wrongful Imprisonment
By Kilroy Watkins
I was a street kid. Not necessarily a boy scout; one who got into trouble here and there but was impacted by a drug-infected and violence-infected community. I witnessed a lot of death early in my life as a result of gang violence and police violence. There was no counseling for us.
My introduction to the criminal justice system came in 1992 at the hands of rogue Chicago cops. I was 21 years old and accused of a crime I did not commit. I was taken into a small room by several police detectives, who choked me repeatedly until I signed documents that the State’s Attorney drew up. These documents said that I murdered someone, which I did not. The police also forced a 15-year old girl to sign a statement saying that she saw me and another man murder someone. She later told the judge during my trial that she only signed the document because she wanted to go home, but the court dismissed her testimony and claimed the statement that she signed – a statement she did not write herself – was fact. As a result, I was incarcerated from 1993 until early 2019. I spent 25 years trying to exonerate myself.
I wasn’t easily deterred, because during my extensive stay at Pontiac Correctional Center, I invested a great deal of time into education. There were numerous jobs in prison. I worked in the laundry room for $20 a month, and later as a janitor, which also paid $20 a month. The prison’s law library paid $40 a month at the time if you were a law clerk, but I’d need a paralegal degree to do that. Even to work in the law library as a janitor or as a librarian, I needed a high school diploma or G.E.D.
I took on that challenge. I dropped out of school around 8th grade, and my reading scores were not very good. While in prison, I enrolled in school, first in something called A.B.E. – Adult Basic Education – to boost my scores to get me into the G.E.D. program.
I was able to do this despite lockdowns at Pontiac that would last 30 or 60 days, where no one could leave their cell – not even to go to class. I asked the teacher for some books that I could use during lockdown. The teacher gave me workbooks that used to belong to inmates who started school but couldn’t finish; either because they got in trouble for fighting, died in prison, or were transferred. He’d give me five or 10 workbooks at a time. During lockdown, he’d come to my cell with a big bag of books and would hand them to me through the bars. I’d hand him the completed workbooks, through the bars, so he could grade them. We started a system, an education behind the bars system, because I couldn’t attend the classroom.
From the time I got to prison in 1993 until 1995, I got my A.B.E., my G.E.D. and then a paralegal degree from MacMurray College, which offered classes at Pontiac. This enabled me to work as in the prison’s law library as a law clerk – or “jailhouse lawyer” as they sometimes calls us – and help individuals pursue their appeals or assist in their grievance processes; such as for the denial of access to health care, or denial of access to the courts to pursue their legal claims.
I also continued my own education,
SEE WATKINS, PAGE 8
LEGISLATIVE UPDATE
By Dawn Larsen
There has been some movement on several of the bills that are currently before the Illinois congress, as well as an update on a long running class action lawsuit.
HB2045 was introduced by Rep. Carol Ammons (103rd District) earlier this year and addresses the $5.00 co-pay that Illinois prisoners currently must pay in order to be seen by a medical provider in IDOC. The purpose of the bill is to eliminate the co-pay, as it creates a hardship for many prisoners. HB5104 had previously been put forward to address eliminating the co-pay, but that bill died last November. This time around the bill passed both houses, was signed by the governor and became Public Act 101-0086 on July 19, 2019. It will go into effect January 1, 2020.
There is very positive news on the Lippert v. Baldwin class action lawsuit pertaining to medical and dental care in IDOC. An agreement was reached in federal district court on January 3, 2019 with IDOC. It includes appointing a monitor to oversee the changes that will be forthcoming, with the intention of ensuring IDOC residents get the medical care that is constitutionally required. The monitor will work with IDOC’s medical director to implement the new guidelines that have been agreed upon.
HB2541, the Re-Entering Citizens Civics Education Act was filed by Rep. Sonya Harper (6th District) in February of this year and “provides that the Department of Corrections and the Department of Juvenile Justice shall provide a nonpartisan peer-led civics program to teach civics to soon-to-be released citizens.” The bill provides that those who are to be released within 12 months will be offered a program that will be led by “nonpartisan civic organizations” who “shall provide adequate training to peer educators on matters including, voting rights, government institutions, current affairs and simulations of voter registration, election and democratic processes”. This bill became Public Act 101-0441 on 8/21/19 and will become law on January 1, 2020.
The origins and status of HB2620 and SB2054, both pertaining to sentence credit, are described in the letter from Gregory Chambers on page 4.
HB0094, introduced by Rep. Justin Slaughter (27th District) pertains to sentence credit. “It provides that those serving a sentence for an offense committed prior to June 19, 1998, who have participated in certain programs while in IDOC, including substance abuse programs, educational programs, life skills courses, behavior modification programs and re-entry planning, prior to the effective date of the amendatory Act, will be eligible for sentence credit. An inmate must provide documentation that shows they participated for at least 45 days in any of these programs in order to receive 90 days sentence credit. For those not able to provide documentation, the sentence credit will be 45 days. It also provides those who obtain a bachelor’s or master’s degree while committed to the Department of Corrections, including while held in pre-trial detention will be awarded 180 days of sentence credit. HB0094 does not apply to those serving natural life, or those required to serve 100% of their sentence.” This bill became Public Act 101-0040 and will become law on January 1, 2020.
IN OUR NAME
By Richard Dyches
You want us to have self-worth…
So you destroy our self-worth.
You want us to be responsible…
So you take away all responsibilities.
You want us to be positive and constructive…
So you degrade us and make us useless.
You want us to be non-violent…
So you put us where there is violence all around us.
You want us to be kind and loving people…
So you subject us to hatred and cruelty.
You want us to quit being the tough guy…
So you put all the losers under one roof.
You want us to be part of our community…
So you isolate us from our community.
You want us to quit exploiting you…
So you put us where we can exploit each other.
You want us to take control of our lives,
Own our own problems and stop being parasites…
So you make us totally dependent on you!
PAIN
By Eric Robles
The pain in my head, the pain in my heart.
The pain you cannot see, it is real.
I will not allow this pain to reign over me.
I will not allow it to consume me.
Rather I will conquer it in every way,
And make it my power to get through every day.
TIME
By Eric Robles
Time, we think it’s on our side
We think we own it.
We think it lasts forever.
In reality time is blind.
Time knows no bounds.
Time is malign.
But wait, time, I’m out of time.
THEN I CRY….
By Richard Dyches
freedom taken
life forsaken
steel bars
painful scars
mental strains
waist chains
concrete walls
collect calls
nothing’s fair
hard to bear
mind games
nick names
count bells
stair wells
masked strangers
constant dangers
jingling keys
trembling knees
lonely hours
faith sours
years wasted
hope tasted
questions why
then I cry….
Welcome to another edition of Northeastern Illinois University’s Stateville Speaks. The first thing you may notice is it comes with some color. No, we did not get a windfall (not yet, anyways), nor did we colorfully spend funds that are so generously donated to the newsletter, we simply found a new printing service. While our old one served us well, we are excited that our new one affords us shiny paper and color, all for less. Thank you Lincoln Square Printing for sharpening your pencil to make this happen.
And what better to “bring to life” than the edition that tells the bitter-sweet last 25 years in the life of Kilroy Watkins? Plucked from the streets, repeatedly choked into falsely confessing to a murder, facing some of the shadiest, most powerful and connected charlatans he will meet in his life, yet still having the gumption to never give up on himself.
Cruel, callous, hypocritical and seeming implausible, the sad truth is that Kilroy’s false conviction and imprisonment is not an anomaly, but more common that any of us really want to believe. So we thank him for sharing and we hope this helps to continue the dialogue and subsequent action in not only getting those still wrongfully imprisoned out, but in allowing many like Kilroy to get out of post-conviction purgatory and fully join society.
Which leads me to ask, does the State ever apologize for their wrongful, often knowing-wrongful actions? Also, whether guilty or innocent, will we, as a society ever allow for redemption, second chances and true restitution? We sure hope so and going forward, we hope nothing but the best for Mr. Watkins.
Fortunately, there are some good changes taking place such as the potentially life-saving rolling back of the medical co-pay. This will allow for medical treatment and medications regardless of financial circumstances. This does not happen by itself; kudos to the John Howard Association and Restore Justice for their hard work and to Rep. Carol Ammons (103rd District) for the courage to follow through.
Ground was broken on the mental health facility on the former sight of Illinois Youth Center-Joliet. This was a direct result and part of the settlement of the longstanding and hard-fought lawsuit Rasho v Balwin, brought by the law firms of Dentons, Equip and Equity, Mayor Brown and Uptown People’s Law Center. (See Stateville Speaks, Summer 2016 issue). It is scheduled for completion by mid-to-late 2021.
The good news for parole is that the discussion is here and not going away. Organizations such as Illinois Prison Project, Parole Illinois and many others are working very hard to make this happen. This campaign will no doubt take time, come incrementally, and will need very strong support from families, friends of those concerned about second chances, or in some cases a real first chance at being a part of society.
I am also convinced that The Pathway to Community (HB2400), or the likes of, will need to pass first in order for parole to really become an acceptable norm in Illinois. If we cannot have compassion and allow for release of terminally ill, elderly and the few handpicked, vetted, “model prisoners” such as what is called for in HB 2400, than why would we expect sweeping change? HB2400 will be back in early 2020, and while painfully limited (my words), it can and should be an excellent and successful trial of how parole could happen.
While getting out is the goal, getting out with a plan should be the standard. Please use your time as effectively as possible. Many of you will be getting out, plan that exit. Please find some resources, as it will also be our mission to find and disseminate information on any and all resources. We know there are a lot of effective programs and we welcome you to let us know who you are and what you do.
In the meantime, thank you for reading, and thank you for overlooking my transgressions in editing. I know you all see it, I cringe, you forgive, we try harder and we move-on to another edition of Stateville Speaks.
CORRECTIONS
Fall/Winter 2018: Please note on page 2, Team Freedom, discretionary parole was referenced to have been abolished in 1977, when, in fact, it occurred in 1978. Additionally, Truth in Sentencing laws (TIS) changed in 1998, not 1999. We apologize for not correcting this at time of print.
Spring 2019: Please note that on page 3, in the announcement of the essay contest, “parole” was misspelled as “prarole.” We regret the error.
PRITZKER NAMES NEW IDOC DIRECTOR
This past spring, Governor Pritzker announced his appointment of Rob Jeffreys as his new director of Illinois Department of Corrections. He has spent over two decades of his twenty-four years of corrections experience in the Ohio Department of Rehabilitation and Corrections.
Jeffreys earned both his Bachelor of Arts and Master of Science in Criminal Justice from Marshall University in Huntington, West Virginia.
Dear Ms. Gayle Tulipano, Editor:
In the fall/winter 2018 edition of Stateville Speaks, I had the occasion to read an article entitled “#Team Freedom Proposal Introduction” written by Elbonie Burnside of the Logan Correctional Center. In the article, Ms. Burnside offered three ways she thought would have the greatest impact on the state’s problem of prison overcrowding: 1) Parole Board, 2) Truth-in-Sentencing and 3) Program Sentence Credit.
Relative to the issues of the Truth-in-Sentencing Act (TSA) and Earned Program Sentence Credit (EPSC), during the month of November 2018, a group of offenders at the Kewanee Life Skills Re-Entry Center assembled to address those issues. The group united in a campaign to enact my proposed Restorative Sentencing Act that would effectively render all offenders sentenced pursuant to TSA laws eligible to receive EPSC.
On the 27th day of November 2018, I forwarded the proposal to a friend and longtime associate Yaacov Delaney, Organizer for Restoring Rights and Justice Reform, at the Community Renewal Society in Chicago, seeking an advocate to pursue the endeavor. Mr. Delaney pitched the proposal to his supervisor who subsequently authorized pursuit of the measure.
A series of meetings were held with the policy director and staff at the organization and members of the American Civil Liberties Union (ACLU) in consideration of the proposal and for the purpose of editing and testing its legal viability.
Our campaign continued by writing letters seeking support and sponsorship to State Senator Kimberly A. Lightford, State Representatives Chris Welch, Arthur Turner and Lashawn Ford. We also sent a letter to the current Lieutenant Governor Julianna Stratton. The Community Renewal Society sought the support of State Representative Justin Slaughter. Representative Slaughter advised Mr. Delaney he would sponsor the bill in the House of Representatives while Senator Lightford informed him she would sponsor the bill in the Senate. On February 14, 2019, Rep. Slaughter filed the bill with the clerk of the 101st General Assembly as HB2620 and on February 15, 2019, Sen. Lightford caused the bill to be filed with the secretary of the Senate as SB2054.
As previously discussed, offenders sentenced under TSA laws would be eligible to receive EPSC (730 ILCS 5/3-603(a)(4.7) within the following proposed limitations: “…shall not reduce the sentence of the prisoner to less than the following amounts 1) 75% of his or her sentence if the prisoner is required to serve 85% of his or her sentence… 2) 60% of his or her sentence if the prisoner is required to serve 75% of his or her sentence… 3) 90% of his or her sentence if the prisoner is required to serve 100% of his or her sentence.”
Additionally, a provision Delaney and I discussed but was not contained in the initial proposal was added to the filed version of the bill. That provision would amend 730 ILCS 5/3-6-3(a)(3) to make TSA offenders eligible to receive Earned Discretionary Sentence Credit (EDSC). This statutory provision would allow offenders required to serve 100% of his or her sentence to earn not more than 3 days for each month of his or her sentence, a person required to serve 85% of his or her sentence to earn not more than 7.5 days for each month of his or her sentence, and offenders required to serve 75% of his or her sentence to earn not more than 12 days sentence credit for each month of his or her sentence of imprisonment.
The battle has just begun and I encourage current offenders, ex-offenders, proponents of the sentencing reform laws, and advocates for programs designed to restore offenders to useful citizenship to join this campaign with the group of offenders at the Kewanee Life Skills Re-entry Center and the Community Renewal Society for the enactment of the Restorative Sentencing Act.
Respectfully,
Gregory L. Chambers
Yaacov Delaney is a formally incarcerated, social advocate and an organizer for the Restoring Rights and Justice Reform Community Renewal Society.
I SEE DEAD PEOPLE
By Richard Dyches
I see dead people. Not in the context of their being inanimate or devoid of life, but rather what is intended by the term “Dead” – lacking any feeling or sensitivity.
I see dead people. In a place where every day is a virtual vision of Halloween in prison … as almost everyone wears a mask. They trick individuals to believe they were “this” or “that” on the street, so they can con with no regard for consequence. “Treating” themselves to the property of others, tasting the sweetness of bitter fruit.
I see dead people. Black, white…red people, in the grips of racial pride, under the guise of being simply proud of ethnicity! Zombies, eyes wide open but vacant; where the walk to the mess hall is like being trapped in some weird documentary by Wes Craven! Graves in the form of bunk beds, where the mentally ill attempt to sleep away time, blind to reality day-by-day. Spiritual decay and distress eats at what’s left of frailty.
I see dead people. People haunted by their own mistakes! Followed by the demons of desire and lust, and no such thing as “trust” do they trust! The saying goes, “it’s just us”, plus who will awake the dead? Perhaps the boss, whose carried his own cross… buried alive inside, crucified to these walls.
I see dead people. Evil disguised as good… a matrix of darkness where the heartless roam freely. I wonder, will tougher laws and prime politicians resurrect the dead? Will programs and pseudo restorative justice programs resurrect the dead?
I “think” I am dead people. I now see myself in the mirror image of chains and pains… socially removed and almost dormant; like some disease, afraid to infect others with my B.P. (borderline pessimism). Awake me from my sleep. Convince me that I’ve dreamt it all! Tell me it was some kind of butterfly effect… and neglect really isn’t real. Release me from my grave (prison).
Already enough said. I will leave you now while I count myself among the dead!! ■
SUBMISSIONS WANTED
Stateville Speaks wants to publish your article, essay, letter, poem or artwork in an upcoming issue. Please try to limit articles to around 500 words. Articles may be edited for length. Artwork will most likely be published in color. Due to the volume of submissions we receive, work will not be returned. If you have a topic you would like us to address in an upcoming edition, drop us a line and let us know. See page 11 for address.
Why Elderly Prisoners Should Be Released
By Jennifer Soble and Bill Ryan
Illinois spends hundreds of millions of dollars every year locking up elderly people like Janet L. Jackson.
Although just 65 years old, Jackson’s arthritis means that she often needs a wheelchair to get around the Logan Correctional Center, Illinois’ only women’s prison. But her mind is sharp. A voracious prisoners’ rights advocate, she fought to make Logan ADA compliant for the many disabled inmates the state continues to incarcerate.
An ordained minister and certified paralegal, Jackson mentors younger women and helps others with their cases to prevent anyone else from dying in prison. In the 33 years she has been in Logan on a life sentence for aiding in the murder of her abusive husband, she has never once had an institutional infraction.
Sherman Morissette was sentenced to life without parole for robbing a cab driver at knifepoint, though no one was hurt and Morissette is a Vietnam veteran. Thirty-five years later, Morissette wakes up at 4 a.m. everyday inside the Stateville Correctional Center.
Morissette moves gingerly; he’s waiting for a double hip replacement to treat the osteoarthritis that ended his 20-year career as a prison paralegal and limits his mobility. Before everyone else awakes, he has read, prayed and completed puzzles to keep his 69-year-old mind sharp.
Morissette will spend the rest of the day reading, helping others with their legal cases, and writing to his friends in the free world.
Nearly 20% of the inmates in the Illinois Department of Corrections are elderly. That figure has more than doubled since 2010, and it will climb past 30% by 2030. Tough-on-crime legislation in the 1980s and ‘90s abolished parole in Illinois and made it nearly impossible for violent offenders to earn “good time” credit. Extremely long sentences and the absence of parole means that more and more people will follow in Jackson and Morissette’s shoes; they will remain in prison decades longer than necessary for them to rehabilitate themselves. Like Jackson and Morissette, one in seven will be sentenced to die in custody.
Their incarceration is multiplying our state’s gargantuan debt. Illinois spent $1.6 billion on corrections in 2018, more than the entire $1.3 billion shortfall in the state’s 2020 budget.
Because of their significant medical needs, elderly people in prison cost two to five times more to incarcerate than average. Rethinking the way, we incarcerate elderly people could help close the budget gap. Using a conservative incarceration estimate of $70,000 a year per elderly person, releasing just the elderly people who have already served 20 years in prison would save Illinois $200 million every year.
Despite the enormous cost, incarcerating people like Jackson and Morissette does not make us safe. Elderly people, especially those who have served significant prison sentences, almost never reoffend.
In 2012, the state of Maryland released nearly 200 elderly people who had been convicted of murder and had served more than 20 years. Five years later, the group has a recidivism rate of 3%. Ten minutes with Jackson and Morissette helps explain why; in addition to being physically incapable of reoffending, many elderly inmates have spent decades on self-improvement, education and spiritual growth.
In fact, because elderly people are frequently victimized in prison, releasing elderly inmates should drive down crime statewide. Although they are remarkable people, Jackson and Morissette are in no way unique. Like thousands of people, they are trapped in a system that has made no space for redemption, personal growth, or changed circumstances. We have failed them, the thousands of others like them, and ourselves.
Our insistence on perpetual punishment disregards the strength of the human spirit, has sucked our resources dry, and has made us less safe. It is time for Illinois to do better, and to actively correct the harm that perpetual punishment has inflicted on us all.
This letter was originally printed in the Chicago Sun-Times on August 12, 2019. Jennifer Soble is the executive director of the Illinois Prison Project, a nonprofit organization dedicated to reducing Illinois’ prison population through direct representation.
Bill Ryan has been a prison reform activist since 1993 and led the movement to abolish the death penalty in Illinois and is the Founder and Consulting Editor of Stateville Speaks Newsletter.
Parole: A Safety Valve for the Plethora of Wrongfully Convicted
Dear Editor,
I am writing to you on behalf of ParoleIllinois.org and all of the innocent people currently in prison in Illinois. We are dedicated to establishing a responsible, comprehensive, and effective parole system in Illinois. There are numerous reasons why Illinois needs such a parole system. One particularly important reason for bringing parole back to our state is that it would provide a safety valve for all of the wrongfully convicted men and women serving life or lengthy sentences in IDOC who are unable to prove their innocence.
It is beyond dispute that numerous police officers have been responsible for framing hundreds of people over the past several decades, dozens for rape and murder. This has already cost taxpayers over a billion dollars in jury awards and settlements. In addition to the dozens of men coerced, tortured and framed by officers Jon Burge and Reynaldo Guevara and their crews, Ronald Watts and his crew may be responsible for framing as many as 500-1000 people. In the last year alone, dozens have been exonerated.
It is also beyond dispute that this is only the tip of the iceberg and that proving a wrongful conviction takes, on average, two decades or more. Furthermore, most of the wrongfully convicted will never be able to prove their innocence. Many spend decades in prison or die there unable to ever procure the evidence necessary to exonerate them – especially when police and prosecutors constantly work to conceal that evidence.
If Illinois had a responsible parole system, many of the people who eventually proved their innocence after 20, 30 or 40 years could have been paroled much sooner. Moreover, those lacking the resources to ever prove their innocence could also find relief. This would reduce not only the harm endured by the wrongfully convicted, but also the unnecessary expenses incurred by taxpayers when wrongly convicted people are unjustly incarcerated for decades on end with no way out.
Sincerely,
Joseph Dole
firstname.lastname@example.org
The transition from incarceration to the outside world can be daunting. It is imperative that you start planning your exit strategy long before your release. Getting a support system is also essential. This can be a good time to reconnect with positive people and try to improve relationships that may have deteriorated in the past.
Immediately following your release, you will need to compile basic, yet important documents, such as your birth certificate, social security card and state ID. Senate Bill 3368 allows for you to go to the Department of Motor Vehicles to obtain a State ID. You will be given a verification form by IDOC, granted a fee waiver and given a 90-day grace period from the date of release for you to complete this. Once an ID card is secured, you can apply for your birth certificate and social security card. To obtain your birth certificate you will have to contact the county’s clerk office in the district you were born in. You will then be able to set up an appointment with your local Social Security Office to re-secure a new card. Once you have this identification you will be able to access an often-overlooked resource, such as a library card, which grants free internet, computer classes and job boards. This allows you to continue on your re-entry path.
Before your release you’ll want to secure a place to live. Potential options are positive family or friends’ houses, or a transition house. Begin writing and reaching out to them before your release date. This is critical. In addition to providing a place to live, many transition homes have programs in place to help you with your re-entry. Some can help connect you with training, employment opportunities, counseling, family mediation, re-entry circles, support groups, churches, etc.
Another critical consideration is healthcare. Health insurance is necessary and upon release, you will have a 60-day grace period to enroll in Medicaid. You can apply by visiting the Illinois Health Care website or by calling (800)843-6154.
A good social support system is crucial, please do not minimize the importance of emotional support. You can start by reaching out to organizations such as a church group. Please don’t be discouraged if you don’t find a good fit the first time, keep trying and find another. There are many good resources out there that are looking to work with those who are re-entering society.
Earlier this summer, civil rights attorney Len Goodman kindly opened up his home and hosted a joint fundraiser for Parole Illinois and Stateville Speaks. While those present at this well-attended event enjoyed a shared sense of comradery over food and drinks, the sense of urgency and commitment for prison reform for people on the inside was never far away. Speakers, such as activists and criminal justice reformers Monica Cosby, Bill Ryan and Kilroy Watkins addressed not only the badly needed reforms, but some of the campaigns for change, as well as lawsuits and legislation.
We at Stateville Speaks are thankful for the generous donations received from the fundraiser and in the mail. It has allowed us to continue with still another edition. While we do not litigate or legislate, we are committed to disseminate and promote any positive change, shed light on the negative and give you, our readers, an important platform for your voice to be heard. And while we are always looking for that pivotal donor, as long as there is a need and a want for Stateville Speaks, we will continue to keep plugging along.
An important and overlooked step that can help you reintegrate into the community is to register to vote. In Illinois, once your sentence is complete you can register and vote. This provides engagement between you and the community. Voting gives you a voice, a say, your power as a part of society.
Don’t waste the time that you have before you, start getting a plan together now.
Do you want to submit an essay, poem, letter or artwork for publication in a future issue of Stateville Speaks? See page 11 for address and submission guidelines.
Will I Be Ready?
By Michael “Saadiq” Cannon
My name is Michael Cannon, better known as “Brother Saadiq”. Come 2019, will mark the end of a 28-year nightmare called incarceration, GOD-WILLING. I’ve been away from free society for over a quarter “century.” That is a very long time…
How has the world changed for a person who got locked up, say in 1970, and was released at the turn of the new millennium in 2000? They came up with so much this and so much that…Well let’s see --- during that timeframe color t.v. was invented and to go along with it, some years later they came up with something called “cable t.v.” You don’t have to cook on the stove anymore because they invented something called a microwave that cooks your food in a matter of seconds!
Not only were touch-tone phones invented (i.e. not the rotary ones we had to “dial”), they came up with this thing called a “cell phone.” I wonder why they call it a cell phone when the least thing a person does with it is call and talk to someone? When you do call someone, you can even “see” them!!! It takes photos. It is an address book, your credit cards, a GPS (whatever that is?), a computer with this thing called an internet that they also came up with. They came up with something called a text gadget, so you don’t even have to “call” someone and talk to them!
I hear they made cars that “talk” to you, and they say they even have cars that will park themselves. Hell, if it were me, I’d have to see it with my own eyes! Wait a minute, that person IS me, only in a later time-frame, an era of time where technology has advanced so much so that the amount of inventions and changes that have taken place is probably triple-fold more than the era of time I mentioned above!
My epic homecoming is quickly approaching. Will I be ready for the world of time and circumstance when I manifest back into the free atmosphere? Where will I live, what will I do, where will I go??? I was a young man of 29 years when I entered prison. All of my thirties, all of my forties and now more than half of my fifties were lost to long-term imprisonment. Upon my release my age will be 57 years. I will be closer to sixty years young than fifties years old. I say it like that because I’m in great shape, probably in better shape than the average forty-year old man who has been out in the free world indulging in years of drugs, alcohol, loss of proper rest and diet.
Yes, I have been preserved like a dinosaur fully intact, like a wooly mammoth frozen in time found in some remote region of the Andes Mountains. Yes, I’m in great physical, mental and spiritual shape with my moral compass squarely intact. But will it be enough? After all, probably the first thing a prospective employer will notice on my job resume and application is my age and picture an old man with a felony record who hasn’t had a job in thirty years.
After I’m given $10 and kicked out into the free world, where will I go?
Why would he/she choose me when he/she has a pool of young men with an extensive and impressive job history to choose from? Where will I work, how will I eat?
After I’m given the $10 and kicked out into the free world, where will I go when I get off of the bus in downtown Chicago? After I have stopped at Mickey D’s and bought a burger, fries and a soda on the long drive to Chicago and am left with fifty cents in my pocket with cars zooming by and people rushing on their way somewhere at 100 miles a minute, what then? My stomach may be full for a brief moment but I’m sure that “Happy Meal” won’t feel so happy if I have nowhere to go from there, meaning no place to live.
I mean all of my immediate family have died and passed on to the spiritual realm of existence, except for one sibling who left me for dead years ago. So…where will I go, will I be homeless? Where will my next meal come from, will I starve to death, or resort to eating out of garbage cans like so many other homeless people do? And oh wow, what if I get sick? I have no healthcare insurance so will I die in the street gutter?
Without any real answers to these REAL-LIFE issues, will I resort to a life of crime in order to fulfill these needs? After all, the first law of nature is self-preservation, right? Will another human being have to come up short due to my come-up? Will I eat and live to the detriment of another person I have to rob, or do even worse?
Fortunately for me, I won’t have to resort to any of these criminal acts because I methodically planned for my future in the free world for the past few years. I didn’t just sit on my hands and did the time. I made the time do for me! I obtained my Associate Degree in Liberal Arts College Degree, and I got a vocational trade (Culinary Arts) under my belt. I’ve drafted business plans from A to Z and I have tried to prepare and plan ahead for all of the things I mentioned above.
But is it enough?! Despite all of my years of planning, I’m sure you all agree that a brother is still going to need a whole lot of aid and assistance when this seal of incarceration is lifted, and I manifest back into the free world.
Paving the Road was designed with these issues in mind. We wanted to create a section where we could help you to Pave the Road to a successful re-entry and transition back into the free world. Tune in to each and every Two Roads Newsletter and let us help you to help yourself! PLAN…PLAN…PLAN… ■
obtaining a literacy tutor training certificate, a degree in commercial custodial work and another in construction occupation. I got a certification in anger management. I was working towards a master’s degree in business administration but was two classes shy when MacMurray discontinued its educational programs with Pontiac, so I didn’t complete it.
Working in the law library gave me the opportunity to gain insight into how the criminal justice system worked – or how it was supposed to work. I realized that a duality existed in the criminal justice system, in which it tends to serve white Americans but not really serve black Americans. Realizing that, it was a struggle to get some type of remedy out of the court. I continued to fight. I litigated all the way up to my release date earlier this year.
The police who tortured me were trained under Commander Jon Burge, now deceased, who trained police to torture suspects into false confessions. Former Chicago Mayor Richard M. Daley allowed Burge to create this torture machine, his “Midnight Crew,” in order to close cases. And it looked great for media purposes and for political purposes. Daley was the Cook County’s State’s Attorney when Burge became a police commander, and shot up politically because his record made it look like he was good at prosecuting high-profile cases. But he needed bodies in order to do that. What Burge and his men did paid off for a lot of white police officers and prosecutors. Bodies of black boys from poor, marginalized neighborhoods were being exploited. This happened for years.
Burge’s torture ring went as far back as 1972. The city of Chicago gives this false narrative that the torture stopped with Burge’s firing in 1993, but it continued a lot longer than that; possibly as late as 2006. African American boys were tortured into false confessions, prosecuted in courts, and incarcerated. What was unique about my situation was that Anita Alvarez, who became Cook County’s State Attorney in 2008, was my trial prosecutor. Judges in the county did not want to touch my case once she became an elected official. There was much denial involved.
A report released later revealed that the same detectives who tortured me did so to many other black men who were convicted. The report explains how the prosecutors laid out this pattern of perjury, and about the collusion between the State’s Attorney and the detectives. They found evidence that former Chicago Mayor Daley was aware of the torture and went out of his way to cover it up.
While I was incarcerated, I continued to litigate. I continued to try to get the documents that would support that I was coerced into signing a false confession. This is what the city fought so hard against, because they knew as long as we couldn’t get access to the documents to substantiate our claim, that judges wouldn’t re-examine my case.
I submitted FOIA (Freedom of Information Act) requests to the city, probably four or five times. And they gave me run-of-the-mill answers: that my request was too burdensome, or the that the documents were not available, or that I had a pending criminal case and I needed to get the documents in discovery. I finally threatened to sue the city to comply with FOIA because these were public documents that I was asking for; Chicago Police Department misconduct files that outlined the pattern and practice of torture. The city adamantly refused to give me these documents because the State’s Attorney’s Office did not want to release them. So, I initiated the suit and it ended up snowballing. The lower court dismissed it. I appealed, and this is where everything got interesting.
The attorneys of Lovey and Lovey took my case pro bono. They prepared a brief to submit to the appellate court, and the judges ruled unanimously that I was entitled to those documents because they should have been given to me under FOIA. The judges told the City of Chicago that they could not prove that the police misconduct files were not public information. But a few days later, the judges reversed their own decision without any explanation.
We don’t know who they got a phone call from, or what made them change their minds. The judges were trying to protect these police misconduct files. It shows you how systemic, and how many institutions are involved, in protecting these cops. So, we went to the Illinois Supreme Court, which told the Appellate Court to reinstate my appeal. The city realized that they were in a lose-lose situation, so they provided me with the documents of the police misconduct files.
My next big challenge came in 2015. I filed a declaratory judgement against Anita Alvarez. Since my incarceration, every year something new would come out in the media about police torture that the state never shared with me or my attorney. I continued to send FOIA requests. I’d ask for all the documents involved with the officers and their history of misconduct. They’d always play like they didn’t know what I was talking about. Finally, I found that the Office of Illinois Attorney General Lisa Madigan oversees what’s called the Public Access Counselor, who is responsible for making a public body comply with state law. Often, the Attorney General’s Office does not enforce the Cook County State’s Attorney to comply with FOIA requests. So, I named Madigan as a defendant, along with Alvarez.
The Cook County State’s Attorneys Office tried to claim that they were a part of the Judicial Branch of government, and therefore not subject to FOIA requests, when in the Illinois Constitution, they are clearly part of the Executive Branch of government. The Illinois Supreme Court caught this error and pointed out that the various counties’ states attorney’s offices were part of the executive branch of government and are subject to FOIA.
That cut the legs from that argument, so they had to come up with a new reason why I should not be entitled to my criminal discovery file. They tried to claim that it would threaten the safety of the officers, or potential witnesses, if they disclosed it – even though it is over 20 years later. But they’d never elaborate. Nevertheless, myself and Lovey and Lovey defeated them again. And the judge told them that they must disclose all remaining criminal discovery files under my indictment, which turned out to be over 5,000 pages of documents.
Some of these documents I was already familiar with, but a lot of them I was not. The State’s Attorney’s Office was aware that the witness they used in court was never present at the scene of the crime. She was a 15-year old girl, and in her testimony, she said that she wasn’t there. She signed a document that implicated me in the crime because she was told that she could go home if she signed it. She was forced to be a witness, and she was treated as a hostile witness on the stand. Prosecutors told the judge that she was recanting her statement because she was afraid of retaliation, while the girl told the grand jury that the signed statement was not her statement.
Reports from other witnesses say that the girl was not there. When I won my FOIA suit, I was also given the transcripts and documents from my co-defendant’s case. I learned that his attorney impeached a prosecutor in the State’s Attorney’s Office who wrote out statements and had witnesses sign them. The attorney for my co-defendant noticed that in the statements
of three witnesses who allegedly saw me commit a crime, that none of them mentioned the fourth girl, the 15-year old whose statement implicated me in the murder. These were all high school students, who could read and write, but they were not allowed to write their own statements to sign.
As a result of this lawsuit, I could see what was manufactured by the police and the State’s Attorney’s Office. I could see what was fabricated and now claim perjury, because it was plain as day. All of this was the result of me digging in and fighting in this battle against this wrongful murder conviction. Despite this evidence, the court is still trying to make a determination on my innocence.
On January 25, 2019, I was released from prison. I continue to litigate my case. It’s still ongoing before the Supreme Court of Cook County. The question before the court is whether or not I have provided rediscovered evidence of actual innocence; if the conviction should be tossed out.
But in the process, I’m also waiting for my report from the Illinois Torture Inquiry and Relief Commission (TIRC). They contacted me and said they were prepared to release it. The complaint was filed in 2011. It’s 2019. Since my release, I go every time the TIRC hears claims. I’ve told them my stress and frustrations with their delays and ask why they cannot release my report when they’ve already released reports involving my detectives who were found to have more than 80 claims of torture against them combined. I feel that they are just sandbagging it for other reasons. I made it to parole, and they still haven’t given me the report. I was supposed to get my report on August 21, but then I was contacted and told that they don’t have enough commissioners to hear my claim. There are supposed to be seven commissioners, but two left, and one is in conflict of interest because he worked on my case back in 1992.
Much of my family chose to leave Illinois while I was imprisoned. My mother became concerned about my other siblings, and the level of police violence and gang violence in Chicago. When I was released, I had to find my own way through the city; find out how to start my life over.
The city created a narrative that they will provide reparations to torture survivors – but only for those who can prove that Burge was involved in their torture, up to 1991. Those who were tortured after 1991, such as me, are not included in that reparation package. Neither the city nor the state is assisting with housing or employment. All my support comes from St. Leonard’s Ministries, which has numerous resources and programs to help me with my transition.
I’m still unemployed. It’s really difficult to find employment because I’m a convicted murderer. I had electronic monitoring for 120 days after my release. I had to complete an anger management course. I am on Mandatory Supervised Release (MSR) – what was formerly called parole – for three years.
However, Cook County took this further, and now requires that return parolees register with the Chicago Police Department for something called the Violent Offenders Against Youth Registry. This is a registry of offenders who committed crimes against minors and live in Cook County. If I change home addresses or go to school during the next 10 years, I have to pay a fee to update that information with the police. This is arbitrary and punitive, as there were no minors under 18 involved in my alleged crime.
Because I acquired so much knowledge and information about the criminal justice system, the systemic practice of police violence, and other related issues during my incarceration, I have been able to help and advise others. I work with numerous organizations in trying to help them form bills and ideas about how they can assist long-term prisoners, as well as torture survivors, who return home.
I currently sit on the survivors’ advisory council for the Chicago Torture Justice Center. I also am involved with the Chicago Alliance Against Racist and Political Oppression, who recently gave a petition to Governor Pritzker to release all torture survivors from prison. I’m working with Parole Illinois, who is trying to bring back the parole board for seniors and long-term prisoners. I’m also working with the Center for Racial Justice, who is trying to draw up legislation so that the Chicago Police Board would be elected instead of appointed. We know that if they are appointed, there’s a lot of nepotism and favoritism with their cronies; it’s just law enforcement overseeing law enforcement. We should have a voice on who should sit on the Police Board and create police oversight.
I do keynote speaking. I was invited to the John Howard Association as a guest speaker. I was also contracted by the University of Chicago to speak as a torture survivor and long-term prisoner. I speak at middle schools and high schools on the issue of police violence, as well as criminal justice bias and the need for criminal justice reform. I talk to kids about transitioning to life out of prison, and how to overcome suffering and not be broken by it. Finding a light, locking into that light, and letting it be your path.
-As told to Sal Barry
She needed me to look at her.
She needed me to look into her eyes so I could see how much pain I’d caused her.
She wanted me to look into her eyes so that I could recognize that I had ripped out a piece of her heart.
She needed me to see this, even though I’d never seen her before in my life.
At first, I couldn’t, I wouldn’t.
I noticed her during the jury selection process, but paid very little attention to the young white woman due to the throng of prospective jurors being ushered in, impaneled or dismissed. I was too busy trying to look innocent in my brand new suit, with my shiny leather shoes – my little Afro, picked out to symmetrical perfection.
I was able to frown with an intellectual understanding of whatever nonsense came out of my judge’s mouth, as if the look on my face could be introduced into evidence as proof of my innocence. I’d stare incredulously at prosecutors as they told my jury the truth about me. I’d stare smugly at the police in the gallery who arrested me almost four years earlier for first degree murder, home invasion and armed robbery, as if all the evidence they had on me still wouldn’t be enough. I’d shrug, dumbfounded, smiling at my elderly mother who was there in support of me, reassuring her that all was well, even when a fingerprint left in blood on the victim’s glasses was a match to me.
No big deal, mama.
The young woman’s eyes never left me. She needed me to see her. She was probably 25 years old in 1997, had long brown hair that she kept in a severely tight ponytail, and her large brown eyes would have been pretty had they not been bloodshot and brimming with tears from rage and lack of sleep.
Her jaws and temples throbbed with anguish and a thick vein pulsed from the tip of her widow’s peak to right above her left eyebrow. She knew I did it. I knew I did it, and she wanted my acknowledgement of that. That’s what her eyes said to me.
Pain.
Her tormented glare was so unnerving that at first, I couldn’t do anything but steal quick glances at her, acting as if I was looking past her at the cop sitting behind her, or the reporter sitting next to her.
No matter what was happening in that courtroom, she never took her eyes off of me.
Regardless of how the evidence seemed to clear me one moment or condemn me the next; regardless of the prosecutor’s explosive bombshells, or my lawyer’s hyperbolic histrionics – she watched me. She paid attention to nothing else. Her eyes only followed me. They bore into me. They seethed at me, the young black man that killed her friend. She made it hard to breathe.
She made it hard for me to be anything other than what I truly was, and forced me to observe the pain I caused. Her eyes told me I owed her and everyone like her the decency of looking her in the eye so I could see their pain. She did not give a damn about anything else going on in that courtroom.
When my verdict was read, I swallowed hard, predictably being found guilty on all counts. The news still made me numb. I’d taken so much from so many, directly and indirectly, because of my actions. It made it hard for me to look anyone in the eye. Yet, I gritted my teeth and sat up as the jurors were being polled, one by one.
I would only look into her eyes.
“Juror number one, is this your verdict?” the judge asked. “Yes, your honor”, juror number one said. “Juror number two, is this your verdict?” “Yes, your honor.” And so on. As I slowly turned to face her, she sat stock upright as every juror said that his or her verdict was true and correct. The vein in her forehead subsided, her color returned, and her eyes were tinged with a bit of relief.
She needed me to know that the human being I killed was loved. Was missed. Was needed. Was better than me.
I stood to leave the courtroom under heavy escort, and she stood with me, our eyes not parting until the final door swung shut between us. The steel door to the holding tank I was placed in alone clanged shut. For the first time in almost four years, I wept.
HAVING FAITH IN HAPPINESS
By Peter Saunders
I awoke this morning to find my friend Mr. Sun so I gathered my pennies in search of some fun.
I then went on a journey for a magical kite one that was fearless with determination and might.
As I put it together and tied the string the sun disappeared and the wind began to sing.
Then a storm appeared on my bright, sunny day but my kite said don’t worry I’ll lead the way.
As the violent wind thrashed and beat up my kite my feet left the ground and I soared in flight.
I closed my eyes tight for fear of the unknown however, after I landed I felt much at home.
The storm was now over and the sun was bold I was at the end of a rainbow sitting in a pot of gold.
I thought my day was ruined and pennies didn’t amount to much but having faith in happiness I knew I’d find such.
A NEW LINE IS DRAWN
By Jonathon Meskauskas
Both the U.S. Supreme Court and the Illinois Supreme Court have stated that society draws the line at 18 when refusing to extend the principles announced in *Miller v. Alabama*, 567 U.S. 460 to those over the age of 18 when they committed their crime. (See *People v. Harris*, 2018 IL 121932 at paragraph 54 (Oct. 18, 2018); *Roper v. Simmons*, 543 U.S. at 574, 125 S. Ct.1183.
However, the Illinois legislature just redrew the line that society traditionally drew at 18. House Bill 531 was signed into law, as Public Act 100-1182. This new law states that most people who were under 21 when they committed their crime and sentenced after the effective date of the Public Act, are eligible for parole. The legislature has finally listened to what social scientists are saying – the brain does not fully develop until a person is in his or her mid-twenties.
Although the new Public Act is not retroactive, you can still use it in your as applied or facial, constitutional challenge to your sentence to point out that society no longer draws the line at 18, but now 21. If you were under the age of 21 when you committed your crime you may be entitled to a re-sentencing hearing. If you are re-sentenced after the effective date of Public Act 100-1182 you will also be entitled to a parole hearing.
Thanks to Illinois Prison Talk (IPT) for support and further dissemination of Stateville Speaks, and your tireless reform efforts. Visit illinoisprisontalk.com to learn more.
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John Jackson just got out of prison, after serving 50 years. He had no one to turn to. All of his family members had passed.
He turned to the employment office to get a job.
"Sorry, but you're too old and you been in prison."
He needed a place to lay his head, so he slept beneath viaducts.
John Jackson died from pneumonia. Prisons are still killing prisoners when, and if, they get out.
By Arkee—©
Stateville Speaks
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Proposed resolution on Enhancing transparency in the tenure process: External Reviewers
Tracy Stokol, Clinical Pathology
Chair of the Academic Freedom and Professional Status of Faculty (AFPSF)
For simplicity we shall assume that an external reviewer is an individual who provides an evaluation of the candidate’s research and scholarship and is external to Cornell University, and who is not a voting member of the candidate’s unit. Note that by this definition an external reviewer can be a Cornell faculty member, e.g., a member of the candidate’s graduate field who is in a different department. The purpose of an external reviewer is to provide an outside perception of the candidate’s research and scholarship. Collectively, the external reviewer letters should inform the reader about the candidate’s breadth, depth, impact, and anticipated trajectory.
Because of the importance of this dossier component, the candidate should be able to suggest reviewers. The broader the engagement of the voting faculty the better. To identify prospective reviewers, broad engagement of the voting faculty by the chair or unit head is recommended. However, it is understood that in the larger units the task may be delegated to a subset of the voting faculty.
A typical selection method starts with the candidate submitting to the department a list of potential reviewers. The department subsequently produces the final list by augmenting a subset of the candidate’s list with its own choices. Numerical rules govern the process, e.g., the candidate might be told to “provide six names of which two will be selected.” The end result is a final list that is the union of two disparate lists; there are candidate-selected reviewers and department-selected reviewers. The trouble with this approach to external reviewer selection is that it invites second guessing by the candidate: “if I leave Professor X off my list then the department will most assuredly select Professor X.” Moreover, the strategy has no inspirational value in terms of getting the candidate to think early and often about their “radius of impact”. The candidate invariably focuses on reviewers who are deeply familiar with their work and not at all about reviewers who can attest to its far flung implications.
The independent list method (ILM) for choosing external reviewers addresses these shortcomings and is as follows. The candidate and the department independently produce their own list of reviewers. The lists should be equal in length and assembled with one goal in mind: the collection of individuals on the list provide an accurate fair and informed assessment of the candidate’s work. A “fair and informed accurate assessment” requires the inclusion may include some individuals whose area of expertise has some “distance” from the candidate’s area of expertise. This compels the candidate to think in a productive way about radius of impact and why it is important.
Using the two lists, the department proceeds to develop the final list of external reviewers. There are three numbers associated with the process that need to be identified: the length $L$ of the independently-produced lists, the minimum number $C$ of selected reviewers that must be chosen from the candidate’s list, and a range of the total number $T$ of selected reviewers (8 external reviewers is a suggested minimum). The independent lists need to be included in the dossier so that it is clear which of the received letters are from reviewers chosen by the candidate only, which are from reviewers chosen by the department only, and which are from reviewers chosen by both. The list should include reviewers that were asked and declined, plus the reason for declining, if given. Note that individuals may decline to review a promotion dossier for multiple reasons and declining a request for dossier review without a given reason does not reflect on the candidate’s suitability for promotion, i.e. should not be viewed negatively against the candidate.
Whereas the selection of external reviewers is central to the tenure review process;
Whereas candidate input to the process should be structured in a way that is fair and which inspires an understanding of why radius of impact is important transparent;
Be it resolved that the ILM independent list method for selecting external reviewers be adopted by each college.
Senate Q&A
Recording and classroom privacy, classroom speech, and the year ahead
Steve Jackson, Information Science and Vice Provost for Academic Innovation
Recording and classroom privacy, classroom speech, and the year ahead
Steve Jackson, Vice-Provost for Academic Innovation (Information Science / STS) (email@example.com)
Rob Vanderlan, Director of the Center for Teaching Innovation (firstname.lastname@example.org)
Faculty Senate,
11 September 2024
Update: Recording and Classroom Privacy
Reminder: from Faculty Senate, Nov 8, 2023
- Several faculty have reported concerns around unauthorized student recording of classroom discussions
- Concerns have been expressed around student safety (potential doxxing or harassment, social media controversies, safety of international students expressing ideas critical of home country governments)
- Concerns have also been expressed around unauthorized and out-of-context sharing of faculty comments
- Additional concerns exist around third-party (esp. commercial) sharing of lecture and discussion materials as violations of faculty intellectual property
The openness and privacy of classroom discussions is essential to Cornell’s traditions of open inquiry and freedom of learning, which include the right to explore, experiment, try out ideas, debate, and change one’s mind in the relative openness and safety of the classroom environment. Students are not permitted to record classroom lectures and discussions, in whole or in part, or related instructional spaces like laboratories or studios, without the prior written permission of instructors. Where such permission is given (for example, to support student accommodations or second language learners) or where recordings or other materials are made available to all students by instructors, students may not share instructor- or student-generated content (lectures or lecture slides, photos, student assignments or presentations, class discussions or discussion board postings, etc.) either within or beyond the course environment without prior instructor permission. Note that unauthorized sharing of classroom materials may also violate other university policies – for example, the university’s Anti-Doxxing Policy (https://policy.cornell.edu/policy-library/interim-anti-doxxing-policy) or the Student Code of Conduct (https://scl.cornell.edu/studentconduct).
In addition, students are not authorized to replicate, reproduce, copy, or transmit lectures and course materials, or materials derived from the course including class notes that incorporate the original content in new ways, for sale or general distribution to others without the written consent of the faculty or academic staff member or class participant who is the original source of such materials.
Summary: 1. no recording without instructor permission (but note important SDS and ESL uses); 2. no sharing of recordings, instructor- or student-generated materials without prior instructor permission. NB: applies to classroom and related instructional spaces; does NOT apply to office hours or other faculty-student interactions.
The Year Ahead (in teaching):
- Reminder!
- Teaching During an Election Year
- recognizing (varied!) student perspectives and struggles
- pedagogical opportunities
- assignment timing
- 501c3 restrictions on campaign advocacy (Policy 4.18) – but encouragement/support to vote is welcome(!)
The Year Ahead (in teaching):
- **Building Inclusive Classrooms**:
- **Fostering Community and Belonging**
(building community, fostering trust, establishing culture, community agreements, etc.)
- **Engaging Viewpoint Diversity in the Classroom**
(rationale, guidance, facilitating tough conversations, responding to flashpoints, etc.)
- IDP: [Strategies for Cultivating Democratic Education and Dialogue](#)
- **Using Inclusive Teaching Strategies**
(inclusive teaching strategies, universal design for learning, accessibility, etc.)
The Year Ahead (in teaching):
- **Teaching During Periods of Disruption**
- **Preparation**: grade security; security of access to student work; departmental access to all Canvas course sites; establish communication channels (email and cell phones); spreading of student work and grading; resilient syllabus design
- **Communication**: clear and frequent communication on adjustments, changes, and updates; clear and consistent messaging (including w university guidance and policies)
- **Adjustments**: lightening load, adjusting roles and responsibilities, changing assignment structure or grading methods (peer assessment, Gradescope, etc.) – is there a plan B (and C)?
- Note: see also Friday Sep 6 email on teaching and research continuity from grad school
- Follow email updates from ‘email@example.com’ and FAQs at: https://unionupdate.gradschool.cornell.edu/
- **area, department or college-specific challenges and concerns** – feedback to Associate Deans
Cornell upholds a strong and enduring commitment to academic freedom. (see: Cornell Faculty Statement on Academic Freedom and Responsibility) (1960; 2021)
Classroom speech is different than freedom of expression in general, and is different (per AAUP) than the rules that would apply to the statements of faculty members in their research capacity, or political expression in the world at large (AAUP: ‘extra-mural speech’), or to public events on campus (see Interim Expressive Activity Policy).
Classroom speech is limited (per the AAUP) by topicality (is the speech connected to the subject of the class, as evaluated by disciplinary peers?); and by restrictions (given by the university’s non-profit status) against direct advocacy of an electoral campaign (‘here’s why I think you should vote for candidate X or Y’).
It may also be conditioned by the university’s Title VI, Title VII and Title IX obligations (as expressed under university policy 6.4): namely, the obligation to provide all students a school environment free from discrimination or harassment based on race, color, or national origin, including shared ancestry or ethnic characteristics (‘Title VI’) or on the basis of sex (‘Title IX’). [Title VII: same categories, but in employment]
Classroom speech is also bound by standards of professional conduct and a wide-ranging duty of care for our students – our commitment to engaging ALL students in a spirit of openness, fairness, and support. This does NOT include a right to always be comfortable, but it DOES include a right to be listened to, considered, heard and fairly treated coming from a wide variety of subject positions, and a commitment to a wider goal of belonging (very broadly construed) that should underpin all our classroom environments. It may also require an element of respect and basic safety needed if students are to engage, try out, and express ideas, and perhaps ultimately to learn, grow and change their understanding of the world.
Academic freedom and classroom speech: discuss!
- DISCUSS !!!
- Conversations w faculty in your departments? (freedom and responsibility in the classroom?)
- Classroom adjacent spaces? (labs, studios, office hours, living learning spaces, engaged teaching environments, etc.)
- Places where multiple speech categories meet and collide (expressive activities, extra-mural, research, classroom speech)?
- Questions / challenges / concerns ???
Thank you! Questions, thoughts, discussion, feedback welcome.
- **CTI drop-in office hours:**
Monday-Friday 1-3 pm (or by appointment)
[https://teaching.cornell.edu/online-drop-sessions](https://teaching.cornell.edu/online-drop-sessions)
- **VPAI office hours:**
Wednesdays 11-1, 449B Day Hall (or by appointment)
(firstname.lastname@example.org; email@example.com)
Senate Q&A
Senate Announcements and Updates
Eve De Rosa, Dean of Faculty, Chair of the University Faculty Committee; Psychology
Chelsea Specht, Associate Dean of Faculty, Chair of the Nominations and Elections Committee; Plant Biology
## 2024-25 New Committee Members
### Academic Freedom and Professional Status of the Faculty (AFPSF)
- Beth Lyon – 2027 – Law School
- Eric Rebillard – 2027 – Arts & Sciences
- Gautam Hans – 2027 – Law School
### Academic Programs and Policies Committee (CAPP)
- Ernesto Arevalo – 2027 – Arts & Sciences
- Gen Meredith – 2027 – Veterinary Medicine
- Julia Markovits – 2027 – Arts & Sciences
- Kathleen Long – 2027 – Arts & Sciences
### A.D. White Professor-at-Large Selection Committee (PAL)
- Chair: Bob Weiss – 2027 – Veterinary Medicine
- Samantha Sheppard – 2027 – Arts & Sciences
### Committee on Financial Policies (FPC)
- Diane Burton – 2027 – ILR School
### Committee on Music
- Chair: Roger Gilbert – 2028 – Arts & Sciences
- Emad Atiq – 2028 – Law School
- Kaja McGowan – 2028 – Arts & Sciences
- Ruth Collins – 2028 – Veterinary Medicine
### Educational Policy Committee (EPC)
- Antonia Jameson Jordan – 2027 – Veterinary Medicine
### Faculty Advisory Committee on Tenure Appointments (FACTA)
- Jane Wang – 2026 – Arts & Sciences
- Julia Finkelstein – 2026 – Human Ecology
- Rachana Kamtekar – 2026 – Arts & Sciences
### Faculty Advisory Committee on Athletics and Physical Education (FACAPE)
- Chair: Ashleigh Newman – 2027 – Veterinary Medicine
- Jennifer Newsom – 2027 – AAP
- Kendra Bischoff – 2027 – Arts & Sciences
- Kevin Kniffin – 2027 – SC Johnson College of Business
- Natalie Capiro – 2027 – Engineering
- Yuval Grossman – 2027 – Arts & Sciences
### Nominations and Elections Committee (appointed)
- Sarosh Kuruvilla – 2027 – ILR School
### University Assembly:
- David Bateman – 2026 – Arts & Sciences, Brooks School
- Ellen Gainor – 2026 – Arts & Sciences
- Jonathan Butcher – 2026 – Engineering
### University Assembly: Campus Welfare Committee
- Andre Kessler – 2026 – CALS
### University Assembly: Campus Planning Committee
- Thomas Campanella – 2026 – AAP
### University Faculty Library Board
- Chair-In-Waiting: Karim-Aly Kassam – 2028 – CALS (begins as Chair 1/1/25)
- Annetta Alexandridis – 2028 – Arts & Sciences
- Karen Levy – 2025 – Bowers CIS
- Mildred Warner – 2028 – AAP, CALS
- Shaoyi Jiang – 2028 – Engineering
### University-ROTC Relationships Committee (URRC)
- Juan Hinestroza – 2027 – Human Ecology
Academic Integrity Working Group
• Objective is to review and update the academic integrity code, design a standardized reporting system, and streamline procedures to ensure consistent adherence to the code.
• Faculty Senate
• Continuing Education
• Agriculture and Life Sciences
• Architecture, Art and Planning
• Arts and Sciences
• Brooks Public Policy
• Bowers Computing and Information Science
• Cornell Engineering
• Graduate School
• Human Ecology
• Industrial and Labor Relations
• Cornell Law
• SC Johnson College of Business
• Veterinary Medicine
• Cornell Tech
Senate Announcements and Updates
• Graduate Student Unionization Update
• FAQs
• Teaching and Research Continuity
• Teaching Professor title has been approved by the Board of Trustee’s Academic Affairs committee
• Road trip!
• Inspired by our discussion of representing 3 campuses at the Orientation
• We will tour and hold a faculty forum on the AgriTech campus as well as the CornellTech campus this academic year
What does ‘any person...any study...’ mean in 2025 and what could it mean in the future?
• Time of transition: Interim President and Interim Provost what do we want our future President and our near future Provost to know about the faculty?
• What will matter to the faculty about our community and our academic future?
• Launch for small group discussions across campus and record for our future
• Take it on the road...
• With Interim President Kotlikoff in September – SENATORS ONLY
• At the Ithaca campus
• At the Cornell Tech campus
• At the AgriTech campus
Senate Discussion
CORNELL UNIVERSITY
FACULTY SENATE
Good of the Order
Adjournment
|
5TH ANNUAL
SUMMER SCIENCE & ENGINEERING SYMPOSIUM | 2023
July 25th, 2023
Organized By: Mississippi Academy of Sciences and Mississippi State University
Venue: Mississippi State University, Bost Conference Center Mississippi State, (Starkville Campus), MS 39759
Symposium Chairs
Dr. K. Raja Reddy, Chair
Dr. Jason Keith, Co-Chair
Dr. Scott T. Willard, Co-Chair
Dr. Babu Patiolla, MAS President
Dr. Ham Benghuzzi, MAS Divisional Advisor
Scientific Committee Coordinators
Dr. Jamie Larson, Chair
Dr. Raju Bheemanahalli, Co-chair
Dr. Paul Tseng, Co-chair
Mississippi State University
Mississippi State, MS
Awards Committee
Dr. Michelle Tucci, Chair
Dr. Ken Butler, Vice Chair
The University of Mississippi Med. Center,
Jackson, MS
Exhibit Coordinator
Ty Tipton
Thomas Scientific
Major Events
| Time | Event |
|--------------------|--------------------------------------------|
| 8:30-9:30 AM | Registration, poster set up and breakfast |
| 9:30-10:00 AM | Opening of the event/welcome speeches |
| 10:00-11:30 AM | 3-minute oral presentations |
| 11:30-12:00 PM | Networking |
| 12:00-1:00 PM | Lunch break |
| 1:00-3:30 PM | Poster presentations and judging |
| 3:30-3:45 PM | Coffee break |
| 3:45-4:45 PM | Round table discussion |
| 4:45-5:15 PM | Awards and recognitions |
| 5:15 PM | Closing remarks |
Symposium Sponsors
Mississippi State University
Bagley College of Engineering
DAFVM (Division of Agriculture, Forestry, & Veterinary Medicine)
Graduate School
MAFES (Mississippi Agricultural and Forestry Experiment Station)
Office of Research and Economic Development
Mississippi Research Consortium
USDA-ARS, Southeast Area, Stoneville, MS
Kiwannis Club of Starkville
# TABLE OF CONTENTS
**PROGRAM** ................................................................................................................................. 4
**COMMITTEES AND JUDGES** ........................................................................................................... 5
**PRESENTER INDEX** ....................................................................................................................... 6
- **3-MINUTE ORAL PRESENTATION (3-M)** .................................................................................. 10
- **POSTER (P)** ............................................................................................................................. 15
- UNDERGRADUATE STUDENT POSTER (U-P)............................................................................ 15
- GRADUATE STUDENT POSTER (G-P)......................................................................................... 21
- INVESTIGATOR POSTER (I-P).................................................................................................... 31
- HIGH SCHOOL POSTER (HS-P)................................................................................................. 34
| TIME | EVENT |
|--------------|----------------------------------------------------------------------|
| 8:30-9:30 AM | REGISTRATION, POSTER SET UP AND BREAKFAST |
| | Location: Bost Conference Center, Mississippi State University, |
| | Mississippi State, MS |
| 9:30-10:00 AM| OPENING OF THE EVENT/ WELCOME SPEECHES |
| | Dr. K. Raja Reddy |
| | Symposium Chair, Mississippi State University |
| | Dr. Babu Patlolla |
| | MAS President, Alcorn State University |
| | Dr. Ham Benghuzzi |
| | Executive Director, Mississippi Academy of Sciences |
| 10:00-11:30 AM| 3-MINUTE ORAL PRESENTATIONS |
| | Moderators: Dr. Priyadarshini Basu and Dr. Jagman Dhillon |
| | Mississippi State University |
| 11:30-12:00 PM| NETWORKING |
| 12:00 -1:00 PM| LUNCH BREAK |
| 1:00 -3:30 PM | POSTER PRESENTATIONS AND JUDGING |
| | Coordinator: Dr. Raju Bheemanahalli and Dr. Paul Tseng |
| | Mississippi State University |
| 3:30-3:45 PM | COFFEE BREAK |
| 3:45-4:45 PM | ROUND TABLE DISCUSSION |
| | Topic: Embracing the Future: Addressing Emerging AI and Data Science |
| | Labor Market Expectations |
| | Moderators: Dr. Michelle Tucci |
| | University of Mississippi Medical Center |
| | Dr. Shrinidhi Ambinakudige |
| | Professor of GeoSciences, Mississippi State University |
| | Dr. Mimmo Parisi |
| | Executive Director, Data Science Program, Mississippi State University|
| | Dr. Jonathan Barlow |
| | Associate Director, Data Science Program, Mississippi State University|
| 4:45-5:15 PM | AWARDS AND RECOGNITIONS |
| | Dr. Michelle Tucci |
| | JMAS, Editor, University of Mississippi Medical Center |
| | Dr. Kenneth Butler |
| | University of Mississippi Medical Center |
| 5:15 PM | CLOSING REMARKS |
| | Dr. K. Raja Reddy, Symposium Chair |
---
**Logos:**
- Benchmark Scientific
- Thomas Scientific
- Eppendorf
- MCE MedChem Express
- Halyard
- IAE International Academic Express
## COMMITTEES AND JUDGES
### Scientific Committee
Jamie Larson, Chair
Raju Bheemanahalli, Co-chair
Paul Tseng, Co-chair
Adeli, Ardeshir
Ahn, Seung-Joon
Avila, Luis
Babineaux, Claire
Ballamoole, Snehalatha
Ballard, Iva
Basu, Priyadarshini
Benghuzzi, Amed
Brand, David
Butler, Ken
Chambers, Cheryl
Dharan, Vandana
Dhillon, Jagman
Feng, Gary
Ganapathi Shanmugam, Shankar
Gharakhani, Hussein
Howell, David
Hu, Jing
Huang, Yanbo
Iqbal, Umar
Junie P. Warrington
Larry McDaniel
Li, Jiaxu
Li, Xiaofei
Magbanua, Zenaida
Matthews, Allison
McCarty, Jack
McGee, Marcus
Meenakshi Sood
Mulvaney, Mike
Nannapaneni, Rama
Olga McDaniel
Patil, Prakash
Patlolla, Babu
Pillai, Nisha
Ramkumar, Mahalingham
Reed, Vaughn
Rupak, Gautam
Shrestha, Amrit
Tewolde, Haile
Tucci, Michelle A.
Wijewardane, Nuwan
Woolfolk, Sandra
Yu, Fei
Yu, Lixin
Yue, Ziming
Zhang, Ping
Zhang, Xin
### Local Arrangement Committee
Ambinakudige, Shrinidhi, Coordinator
Adhikari, Bikash
Chinthalapudi, D. P Mahesh
Dawkins, Alaina
Earp, Mary-Margaret
Green, Seth
Hilaire, Patterson
Junkin, Timothy
Kodadinne N, Nisarga
Lopez, Evita
Rodgers, Kathleen
Reolon de Souza, Fernanda
Sankara Pillai, Lekshmy
Segbefia, Worlanyo
Sharma, Ramandeep Kumar
Subramanyam, Bala
Thati, Manikanta
Thenveettil, Naflath
## PRESENTER INDEX
| Time | ABBREVIATION |
|-----------------------|---------------------------------------------------|
| 9:30 – 10:45 AM | 3M : 3-Minute Oral Presentation |
| 1:00 – 3:30 PM | U-P : Undergraduate Student Poster |
| | G-P : Graduate Student Poster |
| | I-P : Investigator Poster |
| | HS-P : High School Poster |
### 3-MINUTE ORAL PRESENTATION (3M)
| NAME | ID | TITLE |
|-----------------------|--------|----------------------------------------------------------------------|
| Ahmya M. Clayton | U-3M01 | THE EFFECT OF MATERNAL EXPOSURE TO CANNABINOID 1 RECEPTOR MANIPULATION AND ACUTE SEIZURES ON MOUSE FETUSES AT EMBRYONIC DAY 18.5 |
| Andrea Tall | U-3M02 | EFFECT OF PRENATAL EXPOSURE TO REDUCED UTEROPLACENTAL PERFUSION AND SEIZURES ON COGNITIVE FUNCTION AND TAU PROTEIN IN 2-MONTH-OLD MOUSE OFFSPRING |
| Ian McGee | U-3M03 | DEVELOPMENT OF ELASTIN-LIKE PEPTIDE NFK-B INHIBITOR FOR TREATMENT OF TRAUMATIC BRAIN INJURY |
| Allie M. Smith | G-3M05 | TRANSGENIC MODEL OF DIABETES ALTERS ANXIETY-LIKE BEHAVIORS ACUTELY FOLLOWING JUVENILE TRAUMATIC BRAIN INJURY |
| Amanda Mayo | G-3M06 | EFFECTIVENESS OF OMEKA VIRTUAL COLLECTIONS FOR ENGAGING DUNN-SEILER MUSEUM AUDIENCES |
| Amisha Parekh | G-3M07 | TITANIUM ANODIZATION TO FORM HYDROXYAPATITE AND TRICALCIUM PHOSPHATE COMBINATION SURFACES |
| Ana Maria Valencia | G-3M08 | COMPARISON OF INITIATORS TOWARDS THE SYNTHESIS OF DEGRADABLE POLY(STYRENE-CO-ACETAL) FROM BIO-BASED PRECURSOR |
| Claire S. Geneser | G-3M09 | NAVIGATING STELLAR ACTIVITY OF YOUNG STARS TO VALIDATE TESS PLANETS AROUND K DWARFS |
| Humayun Ahmad | G-3M10 | HIGHLY STRETCHABLE AND REVERSIBLE COAXIAL P3HT COMPOSITE FIBER |
| Jaccare Jauregui-Ulloa| G-3M11 | HIGH-POWER LASER IRRADIATION PRODUCES MORPHOLOGICAL CHANGES IN ULTRA-TRANSLUCENT ZIRCONIA |
| Jing Huang | G-3M12 | EVALUATING THE POTENTIAL PROBIOTIC FUNCTIONS OF TWO AUTOCHTHONOUS INTESTINAL BACTERIA FROM HYBRID CATFISH. |
| Maitreyee Rawat | G-3M13 | C-H FUNCTIONALIZATION OF INDOLE WITH DIAZOACETATE CATALYZED BY A CCC-NHC IR (II) DIMER COMPLEX |
| Nate Venarske | G-3M14 | VISUALIZING BLOOM-TIME VARIATIONS IN ASCLEPIAS (MILKWEEDS) ACROSS MISSISSIPPI |
| Oluwabori Adekanye | G-3M15 | CARBOXYLESTERASE 1 (CES1) REGULATES INFLAMMATORY CYTOKINES IN HUMAN MACROPHAGES. |
| Praveen Gajula | G-3M16 | FIELD PERFORMANCE OF BIOSTIMULANTS IN CORN PRODUCTION |
| Simegnew Alaba | G-3M17 | MWAM: MULTRESOLUTION WAVELET ATTENTION MODULE |
| Simranjit Kaur | G-3M18 | EFFECT OF REDUCED UTERO-PLACENTAL PERFUSION AND ACUTE SEIZURE EXPOSURE ON COGNITIVE FUNCTION AND TAU PROTEIN IN MICE AT 2 MONTHS POSTPARTUM |
| Jason A. Griggs | I-3M19 | CALIBRATION OF AN OPEN-SOURCE APPLICATION FOR MEASURING FRACTAL SURFACES |
| NAME | ID | TITLE |
|-----------------------|------|----------------------------------------------------------------------|
| Bailey D. Lupo | U-P01| SUBSTRATE ANALYSIS OF RECOMBINANT YFDV AND YHJX, A PUTATIVE |
| | | TRANSMEMBRANE ANTIPORTER IN ESCHERICHIA COLI |
| Benjamin Roberts | U-P02| NMR FOR HYDROLYSIS OF METHANEMINE TO FORMALDEHYDE |
| Chloe Batiste | U-P03| AUTOLOGOUS BONE REPLACEMENT, BONE REMODELING, AND NEURONAL |
| | | ASSESSMENT FOLLOWING CRANIOPLASTY |
| Claire Green | U-P04| CREATING A PHENOLOGY WHEEL FOR THE SOUTHEAST REGION |
| Elliott Butler | U-P05| GEOSPATIAL INVENTORY OF ON-FARM WATER STORAGE SYSTEMS FOR |
| | | IRRIGATION IN NORTHEAST MISSISSIPPI |
| Jaydon Gibson | U-P06| DEVELOPMENT OF A PORTABLE DEVICE TO MEASURE ADHESION STRENGTH |
| | | OF GECKO TOEPADS |
| Jenna Hart | U-P07| MICROGLIAL SUPPRESSOR AZITHROMYCIN ATTENUATES LIPOPOLYSACCHARIDE- |
| | | INDUCED NEUROBEHAVIORAL DYSFUNCTION, BRAIN INFLAMMATION AND |
| | | OXIDATIVE STRESS IN NEONATAL RATS |
| Josh A. Khanna | U-P08| PHOTOCHEMISTRY OF AROMATIC IMIDES: SYNTHETIC POTENTIAL AND RADICAL |
| | | ANIONS IN AQUEOUS SOLUTION |
| Katelyn Booker | U-P09| THE EFFECTS OF NPY Y1 ANTAGONIST ON PAIN AND GAIT FOLLOWING |
| | | CHRONIC CONSTRICTION NERVE INJURY IN A RAT MODEL |
| Mackenzie C. Vordick | U-P10| QUANTUM YIELD OF VISIBLE WAVELENGTH PHOTOCLEAVAGE OF DNA |
| Madeline C. Harris | U-P11| BOTH INTRAUTERINE GROWTH RESTRICTION AND MATERNAL INFLAMMATION |
| | | ENHANCE SUSCEPTIBILITY TO ISCHEMIC STROKE-INDUCED NEUROBEHAVIORAL |
| | | DEFICITS AND BRAIN DAMAGE AND IN ADULT RATS |
| Madeline McKnight | U-P12| DESCRIBING THE CONSUMPTION OF CHLOROTETRACYCLINE-CONTAINING |
| | | SUPPLEMENT OFFERED FREE-CHOICE TO COMMERCIAL BEEF COWS ON PASTURE |
| Malachi Morris | U-P13| INTRANASAL INSULIN IMPROVES NEUROBEHAVIORAL PERFORMANCE AND REDUCES |
| | | BRAIN INJURY FOLLOWING SYSTEMIC LIPOPOLYSACCHARIDE EXPOSURE IN |
| | | NEONATAL RATS |
| Manuel Munoz II | U-P14| THE EFFECT OF A HIGH-INTENSITY FUNCTIONAL TRAINING WARM-UP ON |
| | | DEADLIFT ONE-REPETITION MAXIMUM PERFORMANCE |
| McKenzie Henson | U-P15| NEUROPEPTIDE Y ANTAGONIST AMELIORATES MATERNAL INFLAMMATION AND |
| | | REDUCED UTERINE PERFUSION PRESSURE-INDUCED POOR FETAL DEVELOPMENT |
| | | AND NEUROBEHAVIORAL DEFICITS IN PREGNANT RATS |
| Muhammad Nafis | U-P16| CELLULAR EFFECTS OF CATABOLIC INFLAMMATORY CYTOKINES ON |
| | | CHONDROCYTES |
| Nicholas Gray | U-P17| MAPPING INVASIVE AQUATIC PLANTS USING UAS IMAGERY AND DEEP LEARNING |
| Penelope Prochnow | U-P18| GEOSPATIAL ANALYSIS: DISPERSAL OF ASPERGILLUS FLAVUS AF36 STRAIN IN |
| | | TREE NUT CROPPING SYSTEMS |
| Prabesh Khanal | U-P19| INVESTIGATING THE INFLUENCE OF RAINFALL AND OTHER WEATHER-FORCING |
| | | FACTORS ON SOIL MOISTURE AND SOYBEAN YIELD USING THE APEX MODEL |
| Sabrina Sastre | U-P20| ENHANCING HERBICIDE SELECTIVITY IN TOMATO THROUGH SAFENING EFFECTS |
| | | OF MELATONIN AND 2,4,6-TRICHLOROPHOXYACETIC ACID |
| Selby A Ireland | U-P21| AGOMELATINE ATTENUATES SYSTEMIC LIPOPOLYSACCHARIDE-INDUCED BRAIN |
| | | INJURY, BRAIN INFLAMMATION, AND NEUROBEHAVIORAL DISTURBANCES IN |
| | | NEONATAL RATS |
| Tanner Jones | U-P22| REPLICATION OF IMPACT PARAMETERS FROM CADAVERIC LUMBAR INTERBODY |
| | | FUSION USING A BENCHTOP DEVICE |
| Tyler D. Twedt | U-P23| SYNTHESIS OF PYRIDINE-BASED HIV INTEGRASE INHIBITORS |
| Zoe O. Elder | U-P24| PHOTOCHEMICAL KEY STEPS IN CYCLIZATION REACTIONS: SYNTHESIS OF |
| | | ISOINDOLONE PIPERIDINES AS KINASE INHIBITORS |
**GRADUATE STUDENT POSTER (G-P)**
| NAME | ID | TITLE |
|-----------------------|------|----------------------------------------------------------------------|
| Aaron LeGrand | G-P25| DESIGN OF UAV SIMULATIONS VIA PHYSICS-BASED SIMULATION FOR |
| | | SITUATIONAL AWARENESS |
| Aditya Kunapareddy | G-P26| TOPOGRAPHY OF A FRACTURED MONOLITHIC ZIRCONIA CROWN - A CASE REPORT|
| Amanda Mayo | G-P27| EFFECTIVENESS OF OMEKA VIRTUAL COLLECTIONS FOR ENGAGING DUNN-SEILER|
| | | MUSEUM AUDIENCES |
| Bala Subramanyam Sivarathri | G-P28| CAN BIOSTIMULANTS IMPROVE SOYBEAN GERMINATION UNDER LOW AND HIGH |
| | | TEMPERATURES? |
| NAME | ID | TITLE |
|-----------------------|------|----------------------------------------------------------------------|
| Bates Bennett | G-P29| DATA-DRIVEN EVACUATION MODELING FOR SPATIAL DIFFERENCES WITH AGENT-BASED SIMULATIONS |
| Bernard Abubakari | G-P30| AN EVALUATION OF CURRENT STATUS OF GLACIERS IN THE WESTERN UNITED STATES USING MACHINE LEARNING ALGORITHMS AND SENTINEL-2A IMAGES |
| Bikash Adhikari | G-P31| DECODING GENOTYPIC VARIABILITY IN ROMAINE LETTUCE FOR IMPROVED SALT STRESS RESILIENCE |
| Chiranjibi Shah | G-P32| MI-AFR: MULTIPLE INSTANCE ACTIVE LEARNING-BASED APPROACH FOR FISH SPECIES RECOGNITION IN UNDERWATER ENVIRONMENTS |
| Courtney Wynn | G-P33| MORE THAN DETOXIFICATION: A GLUCOSE-CONJUGATING ENZYME IS HIGHLY EXPRESSED IN THE SILK GLANDS OF MOTHS |
| Dinan Noor | G-P34| TRENDS IN PREVALENCE OF DEPRESSIVE SYMPTOMS AND SUICIDAL TENDENCIES AMONG US ADOLESCENTS AND PROJECTIONS TO 2031; YOUTH RISK BEHAVIOR SERVEILLENCCE SYSTEM: 2001-2021 |
| Durga P M Chinthalapudi | G-P35| EVALUATING COVER CROPS AND N FERTILIZATION EFFECTS ON SOIL MICROBIOTA, SOIL ENZYMATIC ACTIVITIES AND NUTRIENT CYCLING IN CORN PRODUCTION SYSTEMS |
| Ebenezer Olaniyi | G-P36| IDENTIFICATION OF MICROBALLY SPOILED BROILER BREAST MEAT THROUGH OPTICAL SENSING AND DEEP LEARNING |
| Emmanuel Oladejo | G-P37| EFFECTS OF DIETARY SUPPLEMENTATION OF MHA-CA VS. DL-MET ON GROWTH PERFORMANCE AND INTESTINAL HISTOMORPHOLOGY IN GROWING PIGS |
| Haley N. Williams | G-P38| IMPACT OF PRUNING INTENSITY AND VINE SPACING ON YIELD AND GRAPE QUALITY OF 'MIDSOUTH' IN SOUTH MISSISSIPPI |
| Htet Lin Naing | G-P39| MODELING THE EFFECT OF NEIGHBORHOOD COMPETITION ON TREE DIAMETER GROWTH IN THE PACIFIC NORTHWEST COAST RANGE |
| Jenny B. Ryals | G-P40| EFFECT OF X-RAY IRRADIATION ON LOROPETALUM GALL BACTERIA |
| Jianing Liang | G-P41| THE IMPACT FACTORS ON THE CHANGES OF GREENHOUSE GAS (GHG) FLUX IN CONSERVATION RESERVE PROGRAM (CRP) HARDWOOD FOREST |
| Katie Elmore | G-P42| INCORPORATION OF CELLULOSE NANOCRYSTALS INTO A COTTONSEED OIL-BASED NETWORK POLYMER: INVESTIGATION OF THE EFFECT ON MECHANICAL PROPERTIES |
| Kyle Callahan | G-P43| NANO- AND MACRO-SCALE IMPACT FAILURE OF POLY(METHYL METHACRYLATE) |
| M M Nabi | G-P44| UNDERWATER FISH SPECIES RECOGNITION WITH AN ENHANCED YOLO MODEL |
| Madison Klim | G-P45| AZITHROMYCIN ALLEVIATES BRAIN INFLAMMATION AND IMPROVES SENSORIMOTOR PERFORMANCE FOLLOWING HYPOXIC-ISCHEMIC EXPOSURE IN NEONATAL RATS |
| Mahathir Mohammad Bappy | G-P46| ADAPTIVE THERMAL HISTORY DEIDENTIFICATION FOR PRIVACY-PRESERVING PROCESS-DEFECT MODELING OF METAL BASED ADDITIVE MANUFACTURING |
| Miguel A. Cabrera-Briseno | G-P47| HYDROBORATION OF CARBONYL COMPOUNDS USING A [Ni{[P(1-P)(E2-SiHMe)}(PPH3)2] AND[Ni(H)(PSiPr)(PPH3)] CATALYST AT MILD CONDITIONS |
| Mohammad Moinul Hossain | G-P48| ACHIEVING HIGH-SPEED RETRACTION IN STRETCHABLE HYDROGELS |
| Muhammad Usman | G-P49| ROOT PHENOTYPING AND TRAITS CHARACTERIZATION THROUGH COMPUTER VISION AND DEEP LEARNING |
| Namita Sinha | G-P50| EFFECT OF PLANT POPULATION, HYBRID VARIETY AND NITROGEN RATES ON CORN PHENOYPE |
| Nate Venarske | G-P51| VISUALIZING BLOOM-TIME VARIATIONS IN ASCLEPIAS (MILKWEEDS) ACROSS MISSISSIPPI |
| Oluwabori Adekanye | G-P52| CARBOXYLESTERASE 1 (CES1) REGULATES PROSTAGLANDINS AND CD206 IN VITRO AND IN VIVO M1 AND M2 MACROPHAGES |
| Patterson Hilaire | G-P53| IMPACT OF SALT STRESS ON EARLY-SEASON GROWTH AND DEVELOPMENT IN SORGHUM |
| Prakriti Adhikari | G-P54| DIVERGENT SELECTION FOR ANTHESIS OF ANNUAL RYEGRASS (LOLIUM PERENNE SSP. MULTIFLORUM) |
| Pratima Poudel | G-P55| TECHNO-ECONOMIC ASSESSMENT IN DETERMINING BIOMASS QUANTITIES IN POPLAR. |
| Praveen Gajula | G-P56| FIELD PERFORMANCE OF BIOSTIMULANTS IN CORN PRODUCTION |
| Rabia Amen | G-P57| APPLICATION OF AMINATED-TEMPO-NANO-CELLULOSE COMPOSITE (ATNC) AEROGEL AS A NEW ADSORBENT FOR THE REMOVAL OF ANTIBIOTICS FROM WASTEWATER. |
| NAME | ID | TITLE |
|-----------------------------|--------|----------------------------------------------------------------------|
| Ramandeep Kumar Sharma | G-P58 | CLIMATE VARIABILITY AND ITS IMPACT ON MISSISSIPPI CORN YIELD |
| Ramandeep Kumar Sharma | G-P59 | HISTORICAL RECORDS ON SOYBEAN CROP CLIMATE LINK SINCE 1970: AN EXPERIENCE FROM MISSISSIPPI |
| Rezwana Rahman Setu | G-P60 | ANALYSIS OF SYSTEMIC ACQUIRED RESISTANCE BY MONITORING REDOX-MEDIATED TRANSCRIPTIONAL DYNAMICS IN ARABIDOPSIS |
| Riya Titus | G-P61 | EFFECT OF INDENTATION LOAD ON VICKERS HARDNESS FOR THERMOPLASTIC MATERIALS |
| Roberto Venta | G-P62 | FERROCENE LINKED XANTHENE DYES FOR ELECTROCHROMIC APPLICATIONS |
| Rohini Maram | G-P63 | MICROPLASTIC DETECTION IN CHICKEN MEAT: A NOVEL APPROACH USING HYPERSPECTRAL IMAGING AND DEEP LEARNING |
| Saikrishna sravanam | G-P64 | PRELIMINARY INVESTIGATION IN MODELLING AND SIMULATION OF POWER GRID BY USING PANDAPOWER |
| Sena Isbilir | G-P65 | REVEALING INTERACTIONS BETWEEN SOYBEAN LOOPERS (CHRYSODEIXIS INCLUDENS) AND CHLOROTRANILIPROLE BY TRANSCRIPTOME ANALYSIS |
| Sheetal Chowdhury | G-P66 | EXTENDING THE THREE-DIMENSIONAL CULTURE OF ADIPOCYTES THROUGH SURFACE COATINGS |
| Sujin Lee | G-P67 | PIGMENT TRANSPORTER MUTAGENESIS USING CRISPR/CAS9 IN THE SOYBEAN LOOPER (CHRYSODEIXIS INCLUDENS) |
| Taiwo Abifarin | G-P68 | ROLE OF SMALL PEPTIDES IN REGULATING RICE RESPONSES TO DROUGHT |
| Thevathayarajh Thayananthan| G-P69 | CATFISH CUTTING AUTOMATION THROUGH COMPUTER VISION AND DEEP LEARNING |
**INVESTIGATOR POSTER (I-P)**
| NAME | ID | TITLE |
|-----------------------------|--------|----------------------------------------------------------------------|
| Chandan Kumar | I-P70 | EXPLAINABLE ARTIFICIAL INTELLIGENCE FOR CORN YIELD PREDICTION USING UAV MULTISPECTRAL DATA |
| Fernanda Reolon de Souza | I-P71 | EFFECT OF FLOODING ON THE METABOLISM OF QUINOA AND AMARANTH |
| Haifeng Wang | I-P72 | ROBUST UNSUPERVISED DOMAIN ADAPTATION FOR EXTRACAPSULAR EXTENSION IDENTIFICATION IN HEAD AND NECK CANCER |
| John Afolabi | I-P73 | SURVEY ON CHAT GPT AND ITS APPLICATIONS |
| Lekshmy Sankara Pillai | I-P74 | GENOME-WIDE ASSOCIATION STUDIES OF MORPHO-PHYSIOLOGICAL AND YIELD TRAITS IN SOYBEAN |
| Lingyiqian Luo | I-P75 | IN SITU DIFFUSE REFLECTANCE IR SPECTROSCOPY INVESTIGATION OF CO ADSORPTION OVER MESOPOROUS PT-CERIA |
| Meenakshi Sood | I-P76 | COMPARATIVE ASSESSMENT OF MORPHOLOGICAL AND MOLECULAR GENETIC DIVERSITY AMONG POLE BEAN (PHASEOLUS VULGARIS L.) GENOTYPES |
| Naflath Thenveettil | I-P77 | TEMPERATURE AND ELEVATED CO2 ALTER SOYBEAN SEED YIELD AND QUALITY AND EXHIBIT TRANSGENERATIONAL EFFECTS ON SEED EMERGENCE AND SEEDLING VIGOR |
| Nisarga Kodadinne Narayana | I-P78 | COVER CROP AND POULTRY LITTER TREATMENTS ENHANCES SOIL MICROBIAL COMMUNITY STRUCTURE AND FUNCTION IN A DRYLAND SOYBEAN PRODUCTION SYSTEM |
**HIGH SCHOOL POSTER (HS-P)**
| NAME | ID | TITLE |
|-----------------------------|--------|----------------------------------------------------------------------|
| Lillion Hamil | HS-P79 | A BRIEF REVIEW OF THE PATHOPHYSIOLOGY, SIGNS AND SYMPTOMS, DIAGNOSIS, AND TREATMENT OF HASHIMOTO’S THYROIDITIS |
U-3M01 THE EFFECT OF MATERNAL EXPOSURE TO CANNABINOID 1 RECEPTOR MANIPULATION AND SEIZURES ON MOUSE FETUSES AT EMBRYONIC DAY 18.5
Ahmya M. Clayton, Maria Jones-Muhammad, Tyranny Pryor, Qingmei Shao, Junie P. Warrington
University of Mississippi Medical Center, Jackson, MS
The endocannabinoid system (ECS), comprising of enzymes, ligands, and receptors, is found within the central nervous system and other organ systems. Studies show that the ECS has an important role in normal pregnancy regulation. With a rise in the use of cannabis-containing products, known to activate the ECS, it is important to understand the acute and long-term effects that maternal use of these products may have on fetal development. The aim of this study was to determine whether acute maternal exposure to cannabinoid 1 receptor (CB1R) agonist and antagonist administered before seizure induction leads to changes in fetal and placental weights, and fetal brain CB1R expression. Pregnant mice underwent sham surgery on gestational day (GD) 13.5. On GD18.5, mice received no treatment, pentylentetrazol only (PTZ, 40mg/kg), Rimonabant (10mg/kg) + PTZ, or 2-AG (1mg/kg) + PTZ, followed by behavioral recording. Placentas, fetuses, and fetal brains were harvested and weighed. Fetal brains (n=6/group) were selected randomly and homogenized in preparation for Western blotting. There were no significant differences in fetal body or brain weight amongst groups, but placental weight decreased after exposure to 2-AG + PTZ in comparison to other groups (p<0.01). CB1R protein expression was not different amongst groups. Taken together, acute agonism or antagonism of the CB1R had no effect on fetal characteristics, but CB1R agonism reduced placental weight. Ongoing and future studies will assess changes in ECS ligands and enzymes in fetal brain and circulation and will assess the impact of repeated maternal exposure on fetal brain development.
U-3M02 EFFECT OF PRENATAL EXPOSURE TO REDUCED UTEROPLACENTAL PERFUSION AND SEIZURES ON COGNITIVE FUNCTION AND TAU PROTEIN IN 2-MONTH-OLD MOUSE OFFSPRING
Andrea Tall, Maria Jones-Muhammad, Tyranny Pryor, Qingmei Shao, Junie P. Warrington
University of Mississippi Medical Center
Children born to mothers with preeclampsia, a hypertensive pregnancy disorder, or eclampsia, new-onset seizures during pregnancy, are more likely to develop learning and memory deficits and are more susceptible to neurovascular diseases compared to those born from normal pregnancies. The contributing mechanisms are not known. In this study, we assessed whether mice exposed to reduced uteroplacental perfusion (RUPP), to mimic preeclampsia or pentylentetrazol (PTZ) injection (to induce seizures and model eclampsia), developed learning and memory impairment or Alzheimer’s disease markers at 2 months of age. On gestational day 13.5, pregnant C57BL/6 mice underwent sham or RUPP surgery followed by injection or no treatment with PTZ (40mg/kg). At 2 months of age, male and female offspring were tested on the Barnes Maze. Mice born to mothers in the RUPP + PTZ took a greater distance to navigate to the escape box compared to Sham + PTZ (p=0.036) on Day 1 of the learning acquisition phase. Over time, all mice were able to shorten their distance which indicates that learning ability was not significantly impacted by RUPP or PTZ. However, short-term memory was slightly impacted by exposure to RUPP and seizures. Using ELISA, we found that Tau concentration in hippocampus and cortex was not different between groups. Together, these results suggest that exposure to seizures and/or preeclampsia-like conditions induces modest learning and memory impairment in exposed offspring during young adulthood. Ongoing and future studies will assess learning and memory at older time points and will assess changes in other Alzheimer’s disease markers.
U-3M03 DEVELOPMENT OF ELASTIN-LIKE PEPTIDE NFK-B INHIBITOR FOR TREATMENT OF TRAUMATIC BRAIN INJURY
Ian G. McGee, Allie M. Smith, John A. Howell, Jacob Haskell, Gene L. Bidwell, Bernadette E. Grayson
University of Mississippi Medical Center, Jackson, MS
In the US, approximately 3 million cases of traumatic brain injury (TBI) occur annually. Mild TBI, also known as concussion, is the most common form of TBI. Exposure to TBI can induce brain damage many years following the cessation of injury. Even a single TBI can cause long-term impairments, which can include cognitive dysfunction and anxiety-associated behaviors, that can persist for up to a year post-injury in approximately 15% of injured individuals. Damage to the brain results in the elevation of proinflammatory cytokines. The nuclear factor kappa b (NF-KB) pathway is a transcription factor and master regulator of inflammatory gene expression. Currently, no FDA-approved TBI treatments are available to treat concussion. In the current study, we are investigating novel elastin-like peptide (ELP) NF-KB inhibition (i) for the treatment of TBI. Male Long-Evans rats were fed either a standard diet (SD) or a 40% high-fat diet supplemented with 10% high-fructose corn syrup (HD) for 9 days prior to injury. Rats were anesthetized and intravenously administered fluorescently labeled SynB1-ELP-p50i (50 mg/kg IV) 90 min after either a sham-TBI or TBI induced using the CHIMERA (Closed Head Injury Model of Engineered Rotational Acceleration) (N=6/group). The protein was allowed to circulate for 4 hours after injection, and biodistribution and deposition in the brain were determined by ex vivo whole organ imaging using the IVIS. Fluorescently labeled SynB1-ELP-p50i deposited equally in the kidneys and liver of all 4 groups. Plasma clearance in all 4 groups was similar. Overall, there was a statistically significant difference by diet with HD rats having higher ELPi than SD rats, p<0.05. There was a trend towards higher intrabrain deposition of SynB1-ELP-p50i in the HD-TBI rats compared to SD rats. TBI alone and HD alone increased BBB permeability and SynB1-ELP-p50i deposition. HD-TBI exacerbated BBB permeability and resulted in the highest deposition. These data suggest that NF-KB inhibition may be a promising candidate for TBI treatment.
G-3M05 TRANSGENIC MODEL OF DIABETES ALTERS ANXIETY-LIKE BEHAVIORS ACUTELY FOLLOWING JUVENILE TRAUMATIC BRAIN INJURY
Allie M. Smith, Zyra J. Warfield, Charles C. Barnes, Christiano Dos Santos E Santos, Fan Fan, Bernadette E. Grayson
University of Mississippi Medical Center, Jackson, MS
Traumatic brain injury (TBI) is one of the leading causes of death in juveniles, and the pediatric population is most likely to sustain a TBI compared to all other age groups. Rates of type 2 diabetes diagnoses in juveniles have almost doubled over the past 20 years. The goal of the current study was to determine if the transgenic rat model of type 2 diabetes (T2DN) would have altered recovery from TBI in comparison to Sprague Dawley (SD) rats. In the present study, male and female T2DN and SD rats sustained either a Sham TBI or a TBI via the Closed Head Injury Model of Engineered Rotational
Acceleration (CHIMERA) on post-natal day (PND30). T2DN and SD TBI recipients exhibited similarly increased time to righting and walking compared to Sham. Subjects participated in one trial of the open field test (OFT) on PND36. Subjects were euthanized on PND37, and brain and blood plasma samples were collected for use in QRT-PCR and insulin assays. Additionally, fasting blood glucose levels were taken on PND25 and at euthanasia. T2DN rats had significantly higher fasting blood glucose levels on PND37 than PND25, with no SD differences at either time. In the OFT, the T2DN TBI rats traveled farther and tabulated increased ambulatory time, ambulatory counts, and horizontal counts ($p < 0.01$) compared to T2DN Sham animals. SD Sham and TBI behavior in the OFT was unremarkable. Genetically modified young diabetic rats demonstrate a proclivity toward altered behavior patterns compared to controls.
**G-3M06 EFFECTIVENESS OF OMEKA VIRTUAL COLLECTIONS FOR ENGAGING DUNN-SEILER MUSEUM AUDIENCES**
*Amanda Mayo, Renee Clary, Athena Nagel, Christa Haney*
*Mississippi State University, Mississippi State, MS*
Museums have been an important part of human history for centuries because of their preservation of important artifacts and cultural relics. Traditionally, visitors had to travel to the museum to view artifacts and specimens in a gallery. Lack of museum access has been a continuing issue for low-income visitors, and it became a problem for all during the Covid-19 pandemic. The creation of virtual museum collections, including website collections like the Omeka Virtual Platform, allow scientists to share museum collections with a larger audience because visitors are constrained by financial or geographic barriers. This study investigated the effectiveness of the Dunn-Seiler Museum’s Omeka Virtual Platform for learning outcomes. The Dunn-Seiler hosts a small public gallery in the Department of Geosciences at Mississippi State University. We researched how virtual museum platforms compared with in-person informal outreach with respect to learners’ content gains and affective responses to activities that investigated fossil specimens (virtually and hands-on) that demonstrated both higher and lower sea levels in Mississippi’s geologic history. The research was conducted in middle-level classrooms within two school districts in Mississippi (N = 99 students). Analysis of pre- and post-assessments of control (hands-on) and experimental (virtual specimens) groups revealed that there was no significant difference in content gain or affective response when student data were reviewed in aggregate for control vs. experimental groups. These results suggest that virtual fossil specimens offer a comparable experience to hands-on specimens within museum outreach.
**G-3M07 TITANIUM ANODIZATION TO FORM HYDROXYAPATITE AND TRICALCIUM PHOSPHATE COMBINATION SURFACES**
*Amisha, Amol V. Jamorkar, Michael D. Roach*
*University of Mississippi Medical Center, Jackson, MS*
Traditional plasma-sprayed hydroxyapatite coatings on titanium have been shown to improve osseointegration but possess less than desirable adhesion strengths which can result in delamination and implant loosening. Hydroxyapatite-containing anodized coatings have shown to be stronger than the plasma-sprayed hydroxyapatite coatings. In the present study, commercially-pure titanium discs were anodized using pulsed-galvanostatic waveforms in a series of four novel electrolytes to form oxides consisting of strategic combinations of alpha-tricalcium phosphate and hydroxyapatite. Optical and Scanning electron Microscopy (SEM), thin film x-ray diffraction (XRD), laser confocal microscopy (LCM), electron dispersive spectroscopy (EDS), and Fourier transform infrared spectroscopy (FTIR), were utilized to characterize the oxide surfaces, SEM and LCM analyses revealed petal-like structures and multiscale roughness profiles in two oxides. XRD analyses on these oxides revealed alpha-tricalcium phosphate and hydroxyapatite combinations. EDS results on these revealed substantial Ca and P uptake with Ca/P ratios in range of 1.4 - 2.1. FTIR analyses revealed high intensity and sharp phosphate (1025 – 1200cm$^{-1}$) and carbonate (880,1750 and 1450cm$^{-1}$) peaks for these oxides. The present study showed formation of oxides consisting of strategic combinations of alpha-tricalcium phosphate and hydroxyapatite by anodization. The characteristic petal-like structured appearance on SEM analysis indicated the formation of hydroxyapatite. Further, the presence of sharp carbonate peaks on FTIR analysis indicated the presence of a highly crystalline carbonated or bone-like apatite formation. This study formed chemically and topographically enhanced carbonated hydroxyapatite and alpha-tricalcium phosphate combination oxides that show much promise for improving bone to implant contact around future implants.
**G-3M08 COMPARISON OF INITIATORS TOWARDS THE SYNTHESIS OF DEGRADABLE POLY(STYRENE-CO-AZETAL) FROM BIO-BASED PRECURSOR**
*Ana Maria Valencia, Colleen Scott*
*Mississippi State University, Mississippi State, MS*
Polystyrene (PS) is a major commodity polymer used globally for packaging and insulation due to its low cost, insulation, chemical durability, and ease of manufacturing. However, like many of our commodity plastics, PS persists in the environment indefinitely after disposal, contributing to the waste accumulation problem. For this reason, there is a need to design degradable polymers to address the environmental pollution problem. An additional problem is our reliance on petrochemical for our precursors. With the volatility in the cost of petroleum, there is a need for more reliance on stable feedstock to obtain the precursors. Consequently, biomass is a sustainable and inexpensive feedstock that is highly appropriate for designing degradable thermoplastics. One approach is to design degradable polymers with hydrolytic acetal groups that could undergo degradation in an efficient method. In this research, we focus on the synthesis of PS from biomass with a hydrolytic acetal group. In this way, the introduction of acetal groups would improve the degradability of the polymer and the products of this degradation will not cause damage to the environment. PS can be prepared by thermally initiated free-radical polymerization reaction, using common initiators such as azobisisobutyronitrile (AIBN) and benzoyl peroxide (BPO). However, polymers obtained with these initiators showed low molecular weight, and the crosslinking obtained by this method was low. For this reason, a new initiator was tried to improve the molecular weight of the polymer and the crosslinking yield. The use of novel radical initiators such as polyamidine (PANI) was proposed. In this presentation, we will report on the synthesis and characterization of an acetal containing PS by using two different initiators, with the aim to compare the best-crosslinked product and its possibility to undergo degradation.
**G-3M09 NAVIGATING STELLAR ACTIVITY OF YOUNG STARS TO VALIDATE TESS PLANETS AROUND K DWARFS**
*Claire S. Geneser*
*Mississippi State University, Mississippi State, MS*
We present preliminary results for the characterization of two TESS-discovered, sub-Neptune mass planetary candidates in orbit around relatively young host stars. GJ 105.5 b has an orbital period of 15.669±0.002 days and a radius of 2.69±0.55 R$_{\text{Earth}}$ orbiting an adolescent K dwarf. To both confirm the planet and constrain its mass as well as search for additional planets, we obtained high-spectral resolution spectroscopy with the infrared iSHELL spectrograph on the 3m NASA/IRTF telescope and the optical NEID spectrograph on the WIYN 3.5m telescope at Kitt Peak National Observatory. These specially designed echelle spectrographs utilize a methane gas cell and laser frequency comb, respectively, from which we are able to achieve precise radial velocity (PRV) measurements of 1 to 3 m/s precision. TOI 139 b has an orbital period of 11.071±0.00004 days and a radius of 3.079±0.31
Rearth. The host star exhibits two youth indicators: the TESS light curve contains a photometric rotation period of ~8 days which is consistent with that of a youthful K dwarf, and the spectrum shows chromospheric emission excess as indicated by Ca II H & K emission lines. This target has public HIRES PRV measurements obtained on the 10m Keck I telescope and extracted using the SERVAL pipeline which demonstrates precision of 2 m/s. We also employ the infrared ISHELL spectrograph to gather additional PRV measurements on this target. Combining PRV measurements at visible and near-infrared wavelengths reduces the impact of star spots or other sources of stellar variability on the time series which can be misinterpreted as a planetary signal. PRVs from both spectrographs are jointly modeled with a chromatic Gaussian Process (GP) kernel which takes advantage of the wavelength dependency of stellar activity on the RV time series. In this poster, we will outline the process of PRV extraction and modeling, explain how the GP model accounts for stellar activity, and present preliminary results of the mass and orbital parameters from the PRV measurements completed so far. Identifying the properties of planets around adolescent stars will fine-tune our understanding of young solar systems. We aim to collect additional PRV measurements to confirm both of these planet candidates, so we may contribute to the number of known planets around youthful, K dwarf stars.
G-3M10 HIGHLY STRETCHABLE AND REVERSIBLE COAXIAL P3HT COMPOSITE FIBER
Humayun Ahmad, Maggie Britton, Santana Kundu
Dave C. Swalm School of Chemical Engineering, Mississippi State University, USA
Conjugated polymers have potential applications in many areas including in wearable electronics, healthcare devices, electronic skin, and flexible displays. For these applications, it is important that the polymer maintains electronic properties with mechanical deformation. Achieving such is a significant challenge, as the performance of many systems deteriorates under stretched conditions. Here, we report the fabrication of highly stretchable composite fibers consisting of semiconducting poly(3-hexylthiophene) (P3HT), and butyl rubber (BR) obtained using a coaxial electrospinning technique. BR, an elastomer, was used in the core, whereas P3HT was used in the shell to obtain coaxial stretchable fiber. The polarized optical microscopy analysis captures the ordered structure present in the fibers. Photoluminescence spectroscopic study of the fiber mat captured as high as 12 nm red-shift for 0-0 aggregation peak in the stretched fibers. This red shift signifies the change of ordered structure in fiber due to the application of tensile load along the strain direction. The fibers were highly stretchable, as the ruptures strain of the electrospun fiber was approximately 1000%. The electrical conductivity values at different strain conditions were recorded. Electrical conductivity did not change significantly up to 400% strain. Further, the conductivity is maintained for this applied strain under cyclic loading, showing excellent mechanical and electrical durability of the fibers. Besides, other matrix components were successfully used as a core for developing core-shell P3HT fibers, demonstrating the general applicability of our spinning approach. Our results show that the electrospun fibers obtained here can have applications in wearable and deformable electronic devices where high stretchability is required.
G-3M11 HIGH-POWER LASER IRRADIATION PRODUCES MORPHOLOGICAL CHANGES IN ULTRA-TRANSLUCENT ZIRCONIA
Jauregui-Ulloa J, Griggs J, Salazar S.
Department of Biomedical Materials Science, University of Mississippi, USA
Removing zirconia restorations is a challenge, especially when diamond burs are used. This method is merely destructive of the restoration itself as it breaks it apart. We aimed to use a drill-free method and assess the topography and morphology of an ultra-translucent zirconia ceramic after irradiation with an Er:Cr:YSGG laser. Zirconia slices of 1 mm thickness were laser irradiated for 120 s using power levels of 1, 4, 6, or 7.5 W. Surface roughness and morphology of the irradiated area were assessed before and after laser irradiation for each power level group (n=3/group). Surface roughness data were statistically analyzed using repeated measures two-way ANOVA. The surface roughness of zirconia for the 1, 4, 6, and 7.5 W groups before irradiation were 3.94 ± 0.42, 3.95 ± 1.91, 4.25 ± 1.54, and 4.6 ± 1.16 μm, respectively. The surface roughness for the 1, 4, 6, and 7.5 W groups after irradiation were 3.4 ± 0.37, 4.14 ± 1.97, 4.6 ± 1.55, and 5.1 ± 1.39 μm, respectively. The interaction between the power and treatment condition significantly affected surface roughness (p<0.008). A power level of 7.5 W significantly increased the surface roughness, whereas a power level of 1 W significantly decreased it. Changes in the morphology were observed for the 6 and 7.5 W group. Macroscopically, black spots were seen on the surface at random positions. Microscopically, those black spots were seen as melted areas with microcracks having a crater-like appearance. The highest laser power irradiation increased the surface roughness of the ultra-translucent zirconia ceramic. Microcracks were seen when high power levels (6 and 7.5 W) were used. Clinicians should be aware that using high power levels to remove zirconia restorations might prevent re-use them.
G-3M12 EVALUATING THE POTENTIAL PROBIOTIC FUNCTIONS OF TWO AUTOCHTHONOUS INTESTINAL BACTERIA FROM HYBRID CATFISH
Jing Huang¹, Heather Jordan², Caitlin E. Older³, Matt J. Griffin⁴, Peter J. Allen⁵, David J. Wise⁶, Penelope M. Goodman⁷, J. Grant Reifers⁸, Fernando Y. Yamamoto¹
¹WFA/DREC, ²BIO, ³USDA, ⁴CVM/DREC, ⁵WFA, ⁶WFA/DREC, ⁷DREC, Mississippi State University, Mississippi State, MS
The intestinal microbiome can influence the physiological and immune responses of the host. Probiotics are microorganisms that can be beneficial to the host and have been investigated for their potential to improve growth and disease resistance in aquatic animals. In this study, novel autochthonous probiotics for hybrid catfish were evaluated for potential use in the catfish aquaculture industry. Two autochthonous probiotic candidates, *Lactococcus lactis* MA5 and *Cetobacterium somerae* MSU49, identified from previous investigations, were subjected to advanced assessment of their potential functions by whole genome sequencing. Their potential probiotic traits such as the ability to produce vitamins and amino acids, and tolerance to acidic conditions and osmotic stress were analyzed. Notably, three bacteriocin genes were identified in the *L. lactis* MA5 genome while the *C. somerae* MSU49 genome contained genes for vitamin B12 biosynthesis. These traits benefit the host by inhibiting proliferation of pathogenic bacteria and providing essential nutrients. In addition, a protectant medium for preserving *L. lactis* MA5 under lyophilization treatment was examined. The result indicated the lyophilized bacteria could be stored at 4°C for up to 14 days with a survival rate; of 69.8 ± 1.65% which improved to 83.0 ± 6.22% when alternatively stored at -20°C. Control groups lyophilized in the saline solution presented a survival rate of 0.5 ± 0.40% at 4°C and 1.9 ± 2.44% at -20°C. In conclusion, two bacterial isolates are expected to be probiotics with the potential for use in the hybrid catfish industry based on physiology regulation, bacterial inhibition, essential nutrient biosynthesis, and stability.
G-3M13 C-H FUNCTIONALIZATION OF INDOLE WITH DIAZOACETATE CATALYZED BY A CCC-NHC Ir (III) DIMER COMPLEX
Maitreyee Rawat
Mississippi State University, Mississippi State, MS
Since the discovery of N-heterocyclic carbenes (NHCs) as a stable carbene, several classes of NHC have been synthesized, and their application as a ligand in metal complexes has received much
attention due to strong $\sigma$-donor with deficient $\pi$-acceptor nature. The first catalytic application of a CCC-NHC pincer Ir (III) dimer complex for the C–H functionalization of N-methylindoles with $\alpha$-aryl-$\alpha$-diazooacetates at the C-3 position is reported herein. The Ir pincer dimer complex was used as a catalyst at 3 mol% loadings. The best reaction condition involved a combination of catalysts and substrates in a specific order. It activated the C-H bond by forming a new C-C bond to generate $\alpha$-aryl-$\alpha$-indolyl acetates with more than 99% conversion at room temperature without requiring additives. Isolated 84-97% yields were obtained for a range of substrates. Under these catalytic conditions, the unprotected N-H indoles did not react with $\alpha$-aryl-$\alpha$-diazooacetate. These catalytic conditions provided an efficient synthetic route to synthesizing $\alpha$-aryl-$\alpha$-indolyl acetates. Plausible mechanisms are also proposed for reaction.
**G-3M14 VISUALIZING BLOOM-TIME VARIATIONS IN ASCLEPIAS (MILKWEEDS) ACROSS MISSISSIPPI**
*Nate Venarske*
*Mississippi State University, Mississippi State, MS*
Milkweeds are important nectar and host plants for many species of butterflies, bees, and true bugs. Each of Mississippi’s milkweed species bloom and fruit at different times. Patterns in local and regional milkweed bloom times may partially explain divergent pollinator preferences at different times of year. Furthermore, range overlap of pollinators and milkweeds may determine the relative significance of milkweed floral resources in individual pollinator diets. Citizen science data from iNaturalist was annotated and mapped in an ArcGIS Dashboard. The data indicate that Mississippi milkweeds bloom at different times than conspecific milkweeds in other regions of the United States and that insect floral preferences may be influenced by temporal and geospatial overlap with blooming milkweeds. This research demonstrates the feasibility of studying continental trends in plant phenology and pollinator ecology using iNaturalist data.
**G-3M15 CARBOXYLESTERASE 1 (CES1) REGULATES INFLAMMATORY CYTOKINES IN HUMAN MACROPHAGES**
*Oluwabori Adekanye, Abdolsamad Borazjani, Matthew Ross*
*Department of Comparative Biomedical Sciences, Center for Environmental Health Sciences, College of Veterinary Medicine, Department of Comparative Biomedical Sciences, Mississippi State University, Mississippi State, MS*
Macrophages are important cells of innate immunity. They respond directly to pathogens, tissue damage and alert the immune system. They are polarized toward a microbicidal and proinflammatory phenotype that secrete high levels of toxic cytokines. This is vital for fighting infection and for ensuring homeostatic equilibrium. However, if left unchecked, the long-term establishment of such cellular activities can promote disease. For example, non-resolving proinflammatory macrophages can lead to diabetes and atherosclerosis. Carboxylesterase 1 (human/murine nomenclature: CES1/Ces1d) is a member of the serine hydrolase superfamily that catalyze the hydrolysis of carboxyl ester containing drugs and lipids. They have been shown to regulate triacylglycerol (TAG) levels in macrophages. TAG levels also impact inflammatory profile. CES1 was knocked down by transduction of THP-1 monocytes with lentiviral CES1 shRNA construct. RT-qPCR and RNA SEQ were used to estimate mRNA levels, while ELISA was used to estimate protein content. Knocking down CES1 was hypothesized to impact inflammatory cytokines. RT-qPCR data showed CES1 knockdown (CES1KD) THP-1 macrophages after differentiation produced significantly higher levels of inflammatory cytokines: mRNA *IL1β*, *TNFa* but not *IL6* when compared to macrophages that express normal levels of CES1 (control). From the Gene ontology pathways that were upregulated in an RNA-seq dataset, CES1KD cells exhibited higher levels of inflammasomes genes and those that respond to fighting infection. There was also an increase in IL1β protein 24 hours after differentiation. These results suggest there might be a relationship between CES1 effect on TAGs level and inflammatory cytokines production.
**G-3M16 FIELD PERFORMANCE OF BIOSTIMULANTS IN CORN PRODUCTION**
*Praveen Gajula, Raju Bheemanahalli, Jagmeandeep Dhillon, Vaughn Reed, Corey Jay Bryant, Erick Larson*
*Mississippi State University, Mississippi State, MS, USA*
Biostimulants are substances that modify plant physiological processes and enhance yield, N uptake, and reduce environmental perturbations. Previous research has primarily focused on horticultural crops under control environmental conditions and lesser importance given for cereals especially corn under field conditions. Therefore, a study was conducted at two different locations within Mississippi (MS) testing biostimulants. The objective of this study is to evaluate impact of biostimulants on corn yield at variable nitrogen rates. Field trials were conducted at two experimental stations at Starkville and Stoneville, MS. A total of 36 plots including 12 controls were replicated four times within a split-plot design where N rate was the main plot factor. Six commercially extracted microbial biostimulants (Source®, Envita, iNVigorate®, Blue N, Micro AZ™, and Bio level phosN) at their recommended rates were foliar dispensed at V4-V5 stages as subplot factors. Four different N rates 0, 89, 179, and 269 kg N ha$^{-1}$ at Starkville, whereas an additional rate of 224 kg N ha$^{-1}$ were incorporated at Stoneville in 2022. Within the first year, Stoneville observed significant yield differences with N rates and biostimulants with yield ranging from 7.5 to 13 Mg ha$^{-1}$ whereas Starkville did not. Additionally, no interaction effects were noted at either location. Specifically, yield increased with the application of 89 kg N ha$^{-1}$ over the check plot, and no significant differences were noted between 89 kg N ha$^{-1}$ and higher N rates. Significant differences were noted within biologicals. However, this was not statistically different from the check plot where no biological was applied.
**G-3M17 MWAM: MULTIREOLUTION WAVELET ATTENTION MODULE**
*Simegnew Alaba, John Ball*
*Department of Electrical and Computer Engineering, James Worth Bagley College of Engineering, Mississippi State University, Starkville, MS*
Attention mechanisms have proven effective in improving the performance of convolutional neural networks (CNNs) by enabling the network to focus on the essential parts of an image. However, CNNs are inherently constrained by fixed filter sizes, limiting their ability to capture information at different resolutions. To address this limitation, we introduce the Multiresolution Wavelet Attention Module (MWAM), which leverages Discrete Wavelet Transform (DWT) and Inverse Wavelet Transform (IWT) to overcome the challenges imposed by fixed filter sizes. The network can capture features at multiple resolutions by incorporating the MWAM into any CNN architecture. The proposed module tackles fixed filter size issues by adaptively attending to important features across various scales. This unique approach allows the network to capture fine-grained details and coarse-grained contextual information simultaneously, leading to a comprehensive representation learning process. The proposed attention achieves significant performance enhancements in baseline ResNet-50 networks while introducing fewer parameter increases. The MWAM introduces a novel approach to improving feature selection and enhancing performance across diverse datasets and tasks by combining wavelet transforms and attention mechanisms. The module's lightweight nature also enables seamless integration into existing CNN architectures. In the MWAM architecture, the input image $X$ is decomposed into low and high-frequency subband images, $XLL$, $XLH$, $XHL$, and $XHH$, using 2D DWT. While the high-frequency component $XHH$ is known to retain noise and potentially degrade performance, we discard it to focus on the essential components. The $XLH$ and $XHL$ subband
images are then processed, concatenating along the channel to enrich features. Then the Softmax operation is applied to the resulting features before multiplying it with the $XLL$ subband image features, generating an attention map. The resulting attention map captures detailed information while preserving low-frequency information. To ensure that fine-grained information lost during the down sampling process is captured, we apply IWT to the attention map. This allows the module to capture local and global contextual information by fusing multiresolution information. Additionally, the IWT helps mitigate information loss by reconstructing high-resolution details. This integration of IWT ensures seamless compatibility with existing CNNs, eliminating any size mismatch issues. Finally, 1x1 convolutions and adaptive average pooling operations are performed to focus on the important channels. To evaluate the effectiveness of the proposed module, experimental evaluations were conducted on both classification tasks using ResNet-50 on CIFAR 10/100 datasets and object detection employing Faster R-CNN with the MS COCO dataset. The results demonstrate a significant performance improvement in both classification and object detection tasks, showcasing the effectiveness of the MWAM in capturing and leveraging multiresolution information to enhance accuracy and robustness. In summary, the proposed work presents a novel approach to overcome the limitations of CNNs imposed by fixed filter sizes. By incorporating DWT and IWT, the module enables the network to capture features at multiple resolutions, leading to improved performance in classification and object detection tasks. The proposed architecture and ability to capture and leverage multiresolution information contribute to advancing attention mechanisms in deep learning.
**G-3M18 EFFECT OF REDUCED UTERO-PLACENTAL PERFUSION AND ACUTE SEIZURE EXPOSURE ON COGNITIVE FUNCTION AND TAU PROTEIN IN MICE AT 2 MONTHS POSTPARTUM**
*Simranjit Kaur, Mia McFadden, Maria Jones-Muhammad, Tyranny Pryor, Qingmei Shao, Junie P. Warrington*
*University of Mississippi Medical Center, Jackson, MS*
Preeclampsia (PE), a hypertensive pregnancy disorder, is characterized by new-onset hypertension after 20 weeks of gestation with symptoms impacting many organ groups. With the addition of new-onset seizures, PE can progress to eclampsia. Though PE is thought to resolve after the fetus is delivered, studies have shown increased risk of vascular dementia and mortality from Alzheimer’s disease in women with a history of PE. The goal of this study was to determine whether a mouse model of preeclampsia (the reduced uteroplacental perfusion (RUPP)) and eclampsia (pentylentetrazol (PTZ, 40mg/kg) to induce seizures), display learning and memory deficits and Alzheimer’s disease markers at 2 months postpartum. Pregnant C57BL/6 mice underwent sham or RUPP surgery on gestational day 13.5 and injected with PTZ or left untreated on GD 18.5. Two months after delivery, cognitive function was assessed using the Barnes Maze. Mice exposed to RUPP during pregnancy took a longer distance to the escape box on Day 1 of learning compared to Sham-exposed dams. All mice eventually learned the task, resulting in no significant effect of RUPP or Seizure on short-term memory. Using ELISA, we found that seizure exposure led to increased total Tau in the cortex ($p=0.018$) with a significant increase in sham group. Together, these results indicate that a history of RUPP leads to modest learning impairments and seizure exposure during pregnancy increases cortical Tau postpartum. Ongoing and future studies will assess changes in other Alzheimer’s disease markers and determine whether increased postpartum time will lead to exacerbate learning impairment.
**I-3M19 CALIBRATION OF AN OPEN-SOURCE APPLICATION FOR MEASURING FRACTAL SURFACES**
*Jason A. Griggs*
*University of Mississippi Medical Center, Jackson, MS*
Fractal geometry of ceramic fracture surfaces was previously used to determine the fracture toughness of prostheses and implants that failed *in vivo*, but the software application used in the past to analyze those surfaces is no longer compatible with current platforms. We sought to calibrate a newer application (Gwyddion) that is free-of-charge, open-source, and available for current versions of MS Windows, Mac OS, and Linux. Matlab (MathWorks) was used to create fractal surfaces having known dimensionality. The surfaces spanned the range of fractal dimensions previously observed for ceramic fracture surfaces ($D = 2.1, 2.2, 2.3,$ and $2.4$), and they were generated at three different levels of resolution (256x256, 512x512, and 1024x1024 pixels), resulting in $n=10$ surfaces per dimension per resolution (10x4x3=120). The fractal dimension of each surface was estimated using the cube counting algorithm in Gwyddion (Czech Metrology Institute). The cube counting method did not accurately estimate $D$, but the error values fit well to a linear model, so that a simple equation could be developed to correct the estimates. After correction, the mean $D$ values were accurate and precise for surfaces of all resolutions. The 1024-pixel surfaces yielded slightly lower coefficient of variation (0.8%) compared to the 256-pixel surfaces (1.1%). Fracture surface $D$ values estimated by cube counting in Gwyddion were easily corrected to be accurate and precise using a linear equation. Both accuracy and precision were slightly higher for surfaces with higher resolution.
U-P01 SUBSTRATE ANALYSIS OF RECOMBINANT YfdV and YhjX, A PUTATIVE TRANSMEMBRANE ANTIPORTER IN Escherichia coli
Bailey D. Lupo\textsuperscript{1}, Beyla D. Bleichner\textsuperscript{1}, Mary L. Tebbe\textsuperscript{1}, Nazm N. Rahat\textsuperscript{2}, Samantha R. Sherrman\textsuperscript{3}, Cory G. Toyota\textsuperscript{4}
Millaps College, Jackson, MS, University of Mississippi Medical Center, Jackson, MS
Escherichia coli has developed several systems for efficiently enduring environmental stress. The systems allow E. coli to survive extreme acidic conditions as low as a pH of 2 for several hours. The mechanisms of some of the systems have been well studied, including the import and decarboxylation of amino acids such as glutamate and arginine. These systems must share two common requirements to work, which are a decarboxylase and an antiporter protein. Our lab has previously shown that two enzymes, OXC and FRC, come together to fulfill the decarboxylase requirement and hypothesize that the yfdV or yhjX gene product is the antiporter needed for the system. We will be developing and using a 3D-printed chamber assay that utilizes LC-MS to detect the transport of small organic acids, likely to be oxalate, formate, and/or acetate, across a membrane infused with recombinant YfdV or YhjX. Currently, we have cloned both yfdV and yhjX into an expression vector and overexpressed both proteins.
U-P02 NMR FOR HYDROLYSIS OF METHENAMINE TO FORMALDEHYDE
Benjamin Roberts
Mississippi State University, Mississippi State, MS
As the world’s carbon dioxide footprint has become more apparent, subsurface storage of CO2 has been explored as a solution. An issue that might compromise this solution is the leakage of CO2 back to the surface. In order to prevent CO2 leakage, CO2-sensitive chemicals may be injected into the leak-prone areas of the subsurface reservoirs. These compounds convert from liquid into gel or solid when they encounter CO2, and subsequently block the leakage pathway. One such CO2-sensitive chemical, that is the subject of this study, is composed of methenamine, resorcinol, and polyacrylamide. Methenamine, which has applications in pharmaceuticals and resin production as well, is key in triggering the gelation process. It is believed that the aqueous solution of methenamine hydrolyzes into formaldehyde under the acidic condition induced by CO2. However, information on the kinetics of methenamine hydrolysis and its products is limited. Here we study the kinetics of methenamine hydrolysis into formaldehyde and identify the other products of this reaction through NMR spectroscopy. Our results demonstrate how formaldehyde is produced as a result of methenamine hydrolysis under different acidities and temperatures. These findings will assist with the optimization of CO2-induced gelation and understanding the mechanism of methenamine-based drugs for bacterial infections.
U-P03 AUTOLOGOUS BONE REPLACEMENT, BONE REMODELING AND NEURONAL ASSESSMENT FOLLOWING CRANIOPLASTY
Chloe J Battiste\textsuperscript{1}, Jonathan W Lee\textsuperscript{2}, Katelyn A Booker\textsuperscript{1}, Amol V. Janorkar\textsuperscript{2}, Susana M Salazar Marocho\textsuperscript{3}, David P Gordy\textsuperscript{4}, Sheetal Chowdhury\textsuperscript{5}, Chipo Chapusha\textsuperscript{6}, Bernadette E Grayson\textsuperscript{7}, Lir-Wan Fan\textsuperscript{8}, Michelle A Tucci\textsuperscript{9}
\textsuperscript{1}Mississippi INBRE Research Scholar, University of Mississippi Medical Center, Jackson, MS 39216, USA, \textsuperscript{2}Department of Pediatrics, Division of Newborn Medicine, University of Mississippi Medical Center, Jackson, MS 39216, USA, \textsuperscript{3}Department of Biomedical Materials Science, University of Mississippi Medical Center, Jackson, MS 39216, USA, \textsuperscript{4}Department of Radiology, University of Mississippi Medical Center, Jackson, MS 39216, USA, \textsuperscript{5}Department of Neurology, University of Mississippi Medical Center, Jackson, MS 39216, USA, \textsuperscript{6}Department of Anesthesiology, University of Mississippi Medical Center, Jackson, MS 39216, USA
Head injury in trauma is associated with deleterious consequences, and is often associated with the need for cranioplasty to relieve brain swelling. High impact force to the head is also positively associated with long-term inflammation which is associated with progressive loss of learning and memory. The objective of the current study was to determine the healing and resorption rates of cranial defects in animals, along with evaluating the potential for inflammation-mediated changes in neuronal behavior and healing. Three experimental groups were included in a 5-mm central critical-sized cranial defect model with Sprague-Dawley rats: (1) sham operated, (2) empty defect, (3) placement of autologous bone. Neurobehavioral assessment was determined biweekly and characterization of bone remodeling performance were determined at the 8-week-endpoint. Our data showed that the empty defect group decreased short-term memory two, four, and six weeks after surgery, but the bone placement group only decreased short-term memory two and four weeks with recovery six weeks after surgery. The bone remodeling, as determined by dual-energy X-ray absorptiometry (DEXA) scan and micro-CT analysis showed that the bone placement group achieved the most enhanced bone growth compared to the empty defect group eight weeks after surgery. Our results suggest that autograft enhanced bone repair in our cranial defect rat model with a reduction in cranial defect-induced neurobehavioral dysfunction.
U-P04 CREATING A PHENOLOGY WHEEL FOR THE SOUTHEAST REGION
Claire Green\textsuperscript{1}, Pierre Lau\textsuperscript{2}, Priyadarshini Chakrabarti Basu\textsuperscript{1}
\textsuperscript{1}Mississippi State University, Mississippi State, MS, \textsuperscript{2}USDA.
Beeskeepers often choose the habitat for bees without an understanding of the nutritional quality of nearby plant pollens. Better understanding of floral resources would aid researchers as they aim to strengthen bee populations, which are critical for agricultural production worldwide. The objective of this project is to create a database of pollen samples collected throughout the state of Mississippi that beekeepers and researchers can use to improve their knowledge of bee habitats. The database will show the phenology of numerous plant species. The project involves working with citizen scientists to obtain pollen samples. In processing the samples, we rely on color sorting and acetolysis. The long term goal of the project is for the Mississippi data to be part of a larger database of pollen nutritional composition. The availability of that data will increase understanding of the phytosterol requirements of bees and allow farmers and conservationists to make better informed decisions when designing habitats aimed to optimize bee health.
U-P05 GEOSPATIAL INVENTORY OF ON-FARM WATER STORAGE SYSTEMS FOR IRRIGATION IN NORTHEAST MISSISSIPPI
Elliott Butler, Mary Love Tagert, Zeb Green
Mississippi State University, Mississippi State, MS, USA
The Blackland Prairie region of Mississippi receives an average of 131 cm of annual precipitation with only 37% of that precipitation occurring during the growing season. The number of irrigation systems and surface water storage in northeast Mississippi has increased over recent years to supplement rainfall and reduce risk. An on-farm water storage (OFWS) system captures and stores precipitation and irrigation runoff while simultaneously capturing
nutrients to mitigate stream impairment. Runoff during the off-season will be stored in the OFWS for maximized use in the growing season. OFWS systems, over recent years, have been privately funded due to minimal federal cost assistance for the region, so the amount of storage systems and irrigated acres are likely underestimated. An inventory of OFWS systems was conducted for 22 counties in northeast Mississippi to determine a baseline of surface water storage for irrigation. National Agriculture Imagery Program (NAIP) imagery, in conjunction with Google Earth, was used to conduct the inventory. The NAIP imagery was input into Esri’s ArcMap software where a grid was overlaid onto the image so that each section could be analyzed for OFWS and center pivot irrigation systems. When identified on the NAIP imagery, OFWS systems were digitized into a polygon shapefile, and a single point was used to mark the center pivots with another polygon shapefile outlining the irrigated area. To date, 883 hectares of surface water storage have been identified, along with 6537 hectares of irrigated acres. Ground-truthing of 50% or more of the systems is ongoing.
**U-P06 DEVELOPMENT OF A PORTABLE DEVICE TO MEASURE ADHESION STRENGTH OF GECKO TOEPADS**
*Micah Foster, Jon Jones, Chase Dedeaux, Travis J. Hagey, Lauren B. Priddy, Matthew W. Priddy*
*Mississippi State University, Mississippi State, MS*
Geckos are reptilian species known for their unique ability to adhere to virtually any surface. This ability to “stick” comes from weak intermolecular forces, otherwise known as Van der Waals forces, produced by hair-like setae on their toe pads. These Van der Waals forces can be decomposed into two forces: normal forces (Y-direction) and frictional forces (X-direction). Many studies have evaluated either the normal or frictional force, but limited evidence exists from measuring both simultaneously. Measuring the two forces at the same time gives the ability to find the ratio of the normal force to the frictional force. This ratio regulates to what extent geckos can use their toe pads. Our objective was to develop a lightweight and portable device to measure both normal and frictional forces of geckos on the surface. To this end, we have developed a device that consists of a 3-axis load cell, an aluminum and polycarbonate plate, t-slotted framing, and a digital force gauge. Force data is acquired and recorded through LabVIEW. Preliminary experiments involved attaching the digital force gauge to two crested via a ribbon harness and pulling the geckos at a 0-degree angle with respect to the polycarbonate plate. Results from these trials showed an expected ratio of normal to frictional force. The ratios found were compared to those found in previous studies on friction and normal forces measured separately. For future work, this device will be used to test the adhesion strength of day geckos at the Mauritius Islands in August.
**U-P07 MICROGLIAL SUPPRESSOR AZITHROMYCIN ATTENUATES LIPO-POLYSACCHARIDE-INDUCED NEUROBEHAVIORAL DYSFUNCTION, BRAIN INFLAMMATION AND OXIDATIVE STRESS IN NEONATAL RATS**
*Jenna Hart¹, Jonathan W Lee¹, Madison Klim¹, Rachel T Palmer¹, Michelle A Tucci², Norma B Ojeda¹, Lir-Wan Fan²*
¹Department of Pediatrics, Division of Newborn Medicine, University of Mississippi Medical Center, Jackson, MS, ²Department of Anesthesiology, University of Mississippi Medical Center, Jackson, MS, ³Department of Advanced Biomedical Education, University of Mississippi Medical Center, Jackson, MS
Increasing data provide support for the hypothesis that microglia activation-related pro-inflammatory cytokines mediate inflammation-induced injury to neonatal brain. Our previous studies have shown that systemic administration of endotoxin lipopolysaccharide (LPS) induces sensorimotor neurobehavioral dysfunction and brain inflammation in neonatal rats, which is associated with the production of pro-inflammatory cytokines by activated microglia. The objective of the current study was to determine whether azithromycin, a putative suppressor of microglial activation, attenuates LPS-induced brain inflammation and neurobehavioral disturbances. Intraperitoneal (i.p.) injection of LPS (2 mg/kg) was performed in P5 rat pups and azithromycin (40 mg/kg) or vehicle (PBS) was administered (i.p.) 5 min after LPS injection. Control rats were injected (i.p.) with sterile saline. Neurobehavioral tests were performed and brain inflammation and oxidative stress was examined on P6, 24 hours after LPS exposure. Our results showed that azithromycin treatment significantly reduced LPS-induced neurobehavioral deficits including allodynia, hyperalgesia, reduction in pre-social interaction (ultrasonic vocalization), and sensorimotor neurobehavioral deficits in righting reflex, negative geotaxis, wire hanging maneuver, and hind limb suspension tests in P6 rats. Azithromycin also attenuated LPS-induced increase in IL-1β levels and thiobarbituric acid reactive substances (TBARS) contents in the P6 rat brain and spinal cord. These results suggest that microglial suppressor azithromycin may provide protection against systemic LPS exposure-induced brain inflammation, lipid peroxidation, and neurobehavioral dysfunction, and that the protective effects are associated with its ability to attenuate LPS-induced microglia activation-related pro-inflammatory cytokines.
**U-P08 PHOTOCHEMISTRY OF AROMATIC IMIDES: SYNTHETIC POTENTIAL AND RADICAL ANIONS IN AQUEOUS SOLUTION**
*Josh A. Khanna¹, Donya Razinoubakhht¹, Gurjit Kaur¹, Sabrina Molitor¹, Anne Zimmer², Axel G. Griesbeck², Wolfgang H. Kramer¹*
¹Millbaps College, Department of Chemistry and Biochemistry, Jackson, MS 39210, USA, ²Universität zu Köln, Department für Organische Chemie, 50930 Köln, Germany
Aromatic imides show a wide range of photochemical activity. Phthalimides can cyclize and form medium to large rings upon irradiation in aqueous solution, tolerates several functional groups and gives excellent yields. This decarboxylative photocyclization of phthaloyl -carboxylic acids is a triplet biradical reaction that can even force cyclohexane into unfavorable boat conformation. Pyromellitimide (1,2,4,5-Benzenetetracarboxylic acid imide) is widely used in polymeric films (Kapton) due to its high thermal stability, good mechanical properties, low dielectric constant, low coefficient of thermal expansion and high radiation resistance. Additionally, the characteristic absorption of the radical anion at 720 nm makes pyromellitimide an attractive component of electron-transfer cascade systems. Pyromellitic imide also undergoes the decarboxylative photocyclization, even though the preparative value is limited due to the large number of regio- and stereoisomers formed. Conveniently, the reaction can be monitored via UV/Vis spectroscopy by the radical anion absorption at 720 nm. The photochemistry of mellitic imides has so far not been investigated. Even the synthesis of the mellitic imides is not as straightforward as for other imides. Here we report our progress on the synthesis and photochemistry of mellitic imides with -carboxylic acids.
**U-P09 THE EFFECTS OF NPY Y1 ANTAGONIST ON PAIN AND GAIT FOLLOWING CHRONIC CONSTRICTION NERVE INJURY IN A RAT MODEL**
*Katelyn Broker¹, Chloe Battiste, Lir-Wan Fan², Jonathan Lee², Xiaoli Dai², Ham Benghuizz¹, Robert McGuire², and Michelle Tucci²*
¹Mississippi INBRE Research Scholar, Tougaloo College, Tougaloo, MS, USA, ²University of Mississippi Medical Center, Jackson, MS, USA
Chronic pain is a condition in which pain progresses from an acute to chronic state and persists beyond the healing process interfering with the patient’s quality of life. Chronic constriction injury (CCI) of the sciatic nerve is a peripheral nerve injury widely used to induce mononeuropathy and create chronic pain. Injuries to the sciatic nerve can result in changes in gait, coordination, and balance and is a sensitive way to determine if treatments are effective. We have
shown in our lab, increased neuropeptide Y levels and increased Y1 receptor following CCI in the forming neuroma. The objective of our current study was to administer a Y-1 antagonist to reduce pain and improve sciatic functional index (an assessment of gait), and assess the histology of the developing soft tissue neuroma. Fifteen Sprague Dawley rats were divided into three groups. Baseline measurements for pain and gait were assessed prior to surgery. The sciatic nerve in all animals was exposed. In the sham control group (n=5) no constriction was applied, and in the experimental groups four sutures were placed around the sciatic nerve. Animals in group 2 (n=5) were given saline as therapeutic treatment. Animals in group 3 (n=5) were provided daily injections of NPY 1 Receptor antagonist (5 ng). Four days following surgery body weights, pain and gait were assessed, then the experimental groups were given either saline (VEH) or Y1R-ANT for 14 days, and re-assessed for pain on Monday, Wednesday, and Friday of each week. Gait was assessed along with body weight weekly. Histology of the sciatic nerve and dorsal horn of the spinal cord was assessed at the end of 14 days and compared with naïve control (sham surgery), and saline treatment. Our data showed significant reduction in pain, a significant (25%) improvement in the sciatic functional index score (SFI), and changes in the number of Schwann cells in the group receiving the Y1R-ANT when compared to animals receiving VEH only. The use of a selective Y1-R ANT may offer significant improvement for neuropathic pain following nerve injury.
**U-P10 QUANTUM YIELD OF VISIBLE WAVELENGTH PHOTOCLEAVAGE OF DNA**
*Zoe O. Elder¹, Mackenzie C. Vordick¹, Matthew P. Lungre², Ian R. Gould², Wolfgang H. Kramer¹*
¹Department of Chemistry and Biochemistry, Millsaps College, Jackson, MS. ²School of Molecular Sciences, Arizona State University, Tempe, AZ
Photocleavage of DNA has many potential therapeutic and technological applications. In medicine, controlled cleavage of DNA is used in photodynamic cancer therapy. Optimal quantum yields are required for any photochemical reaction, but the quantum yield of DNA photocleavage reactions have not extensively been investigated. Quantum yields are required though to optimize the photon efficiency, but also for mechanistic understanding and reaction optimization. Here we report a novel chemical process for photocleavage of DNA that uses light of visible wavelength. From a cationic precursor the reaction generates an alkoxy radical that initiates cleavage by abstracting a hydrogen atom from the DNA deoxyribose backbone. Quantum yield measurements support the proposed mechanism, identify the energy wasting process and allow optimization of the reaction efficiency.
**U-P11 BOTH INTRAUTERINE GROWTH RESTRICTION AND MATERNAL INFLAMMATION ENHANCE SUSCEPTIBILITY TO ISCHEMIC STROKE-INDUCED NEUROBEHAVIORAL DEFICITS AND BRAIN DAMAGE IN ADULT RATS**
*Madeline C Harris¹, Jonathan W Lee², McKenzie S Henson¹, Aswin I Arunachalam³, Valerie F Quach⁴, Irene Arguello⁵, Nilesh Dankhara⁶, Michelle A Tucci⁷, Lir-Wan Fan⁸, Norma B Ojeda⁹*
¹Mississippi INBRE Research Scholar, University of Mississippi Medical Center, Jackson, MS. ²Department of Pediatrics, Division of Newborn Medicine, University of Mississippi Medical Center, Jackson, MS. ³John Sealy School of Medicine, University of Texas Medical Branch, Galveston, TX. ⁴Department of Pediatrics, University of Mississippi Medical Center, Jackson, MS. ⁵Department of Anesthesiology, University of Mississippi Medical Center, Jackson, MS. ⁶Department of Advanced Biomedical Education, University of Mississippi Medical Center, Jackson, MS 39216, USA
Epidemiological and experimental studies suggest a link between both maternal inflammation and intrauterine growth restriction (IUGR), and increased an risk to develop diseases later in life. However, susceptibility to ischemic brain injury in maternal inflammation or IUGR individuals is poorly understood. This study tested whether maternal inflammation or IUGR rats have greater ischemic brain injury compared to control rats. Maternal inflammation or IUGR was induced in rat offspring using lipopolysaccharide (LPS, 100 µg/kg) intraperitoneal injection or reduced uterine perfusion pressure (RUPP) procedure during late gestation, respectively. At 5 months, maternal inflammation, IUGR and control animals were exposed to middle cerebral artery occlusion (MCAO) to induce stroke. Motor skills and sensory tests were assessed 24 hours post-stroke followed by euthanasia to collect brain tissue for assessment of ischemic damage. Our results show that offspring from dams exposed to LPS or RUPP exhibited significant hypomotor activity, hyperalgesia, and reduced brain volume compared to control offspring. Maternal inflammation and IUGR rats showed greater motor and sensory deficits compared to control rats as assessed with the modified neurological severity score after the MCAO procedure. Both LPS-induced maternal inflammation and RUPP-induced IUGR enhanced adult susceptibility to MCAO-induced ischemic brain injury in adult rats, including increases in damage volume, and reduction in neuron numbers (NeuN+). These results suggest that both maternal LPS-induced and RUPP-induced brain dysfunction in rats may enhance adult susceptibility to ischemic brain injury. Our model may be useful for studying mechanisms involved in ischemic brain injury and the development of potential therapeutic strategies.
**U-P12 DESCRIBING THE CONSUMPTION OF CHLORTETRACYCLINE-CONTAINING SUPPLEMENT OFFERED FREE-CHOICE TO COMMERCIAL BEEF COWS ON PASTURE**
*Madeline G. McKnight¹, W Isaac Junper², Juan F. Cordero³, Kelsey M. Harvey⁴, Jason R. Russell⁵, David R. Smith²*
¹Department of Animal and Dairy Sciences, Mississippi State University, ²College of Veterinary Medicine, Mississippi State University, ³Prairie Research Unit, Mississippi State, ⁴Zinpro Corporation
Study objectives were to describe the consumption patterns of a granular chlortetracycline (CTC)-containing mineral supplement and evaluate the effect of age on consumption by cattle on pasture. A total of 103 crossbred cows were allocated to 1 of 3 pastures equipped with a SmartFeed (C-Lock Inc.) unit to record individual supplement intake on d -28. Cows were offered dried distiller’s grains for a 27-d acclimation period (mean intake of 0.29 kg of supplement/cow daily) before transition to a commercially available granular mineral supplement containing CTC for 46 d. Supplement was formulated according to label instructions such that a 630 kg cow must consume 113 g/d to receive the label CTC dose (1.1 mg/kg) or 5.2 kg of supplement over 46 d to receive the recommended 32.2 g CTC dose. Feeding and non-feeding events during the 46-d observation period were not randomly distributed ($P < 0.01$), and the mean number of consecutive days a cow did or did not consume mineral supplement were 1.8 and 5.6 days, respectively. As cow age increased, visits to the feeding unit and total supplement consumption decreased ($P < 0.01$). Mean supplement consumption was 40.5 g/cow/d, providing 0.25 g CTC/cow/d, and only 2 of 103 (1.9%) cows consumed enough supplement to receive the recommended dose. Results indicate that providing a granular free-choice supplement containing CTC was not an effective method of ensuring cows consumed an adequate amount of supplement to receive CTC at the label-directed dose and frequency.
U-P13 INTRANASAL INSULIN IMPROVES NEUROBEHAVIORAL PERFORMANCE AND REDUCES BRAIN INJURY FOLLOWING SYSTEMIC LIPOPOLYSACCHARIDE EXPOSURE IN NEONATAL RATS
Malachi Z Morris, Jonathan W Lee, Selby A Ireland, Norma B Ojeda, Michelle A Tucci, Bryan Fan, Gene L Bidwell, Yi Pang, Lir-Wan Fan
University of Mississippi Medical Center, Jackson, MS
Inflammation and oxidative stress play important roles in neonatal brain damage. Previous studies from our lab showed that systemic administration of lipopolysaccharide (LPS) induces brain damage and neurobehavioral dysfunction in neonatal rats, which is associated with the production of pro-inflammatory cytokines and oxidative stress. Recent studies suggest that intranasal insulin treatment could be a neuroprotective agent in adult animals. Therefore, the objective of this study was to determine whether intranasal insulin treatment reduces LPS-induced brain inflammation and brain injury, as well as neurobehavioral dysfunction in neonatal rats. LPS (2 mg/kg) or sterile saline was administered via intraperitoneal (i.p.) injection in postnatal day 5 (P5) Sprague Dawley rat pups, and fluorescence-tagged insulin (Alex-546-insulin)/vehicle, human insulin (25 µg), or vehicle was administered to each nostril 5 min after LPS injection. Sensorimotor behavioral tests were carried out 24 hours (P6) after LPS exposure and brain tissues were collected to determine brain injury and pro-inflammatory cytokine interleukin-1β (IL-1β) levels. Shortly after administration, widespread Alex-546-insulin-binding cells were detected in the brain. ELISA results demonstrated measurable insulin levels in the brain 15 min after insulin administration. Our results showed that intranasal insulin reduced LPS-induced hypothermia, and improved sensorimotor neurobehavioral deficits in P6 rats. Intranasal insulin also reduced LPS-induced brain injury, elevated IL-1β levels and numbers of microglia (Iba1+), suggesting neuroprotection and anti-inflammatory effects. Our study suggests that intranasal insulin affords a broad neuroprotection by targeting multiple signaling pathways including inflammation.
U-P14 THE EFFECT OF A HIGH-INTENSITY FUNCTIONAL TRAINING WARM-UP ON DEADLIFT ONE-REPETITION MAXIMUM PERFORMANCE
Manuel Munoz II, Curtis Fennell, Thomas Eremus
University of Montevallo
General warm-ups (GWU) are typically done before an individual participates in resistance exercise. Over the years, different warm-ups have been implemented to help individuals prepare for physical activity; however, there is lack of empirical evidence as to which warm-ups fully optimize muscle potential. The purpose of this study was to measure the effects of a traditional (TRAD) GWU and a high-intensity functional training (HIFT) GWU preceding a conventional barbell deadlift one-repetition maximum (1-RM) test, which included measurements of muscular force, power, and velocity, and muscular activity of the biceps femoris, vastus lateralis, and gluteus maximus muscles. In addition, rating of perceived exertion (RPE) and heart rate (HR) were assessed immediately after each GWU. Seven healthy, resistance trained males (Mean ± SD) (21.5±2.1 years) participated in the study. The participants were randomly counterbalanced into the traditional and the HIFT GWU conditions. The TRAD GWU consisted of cycling on a Monark cycle ergometer for 1.5 minutes at a heart rate between 55-60% of the maximal heart rate. The HIFT GWU consisted of completing the following protocol for as many rounds and repetitions as possible in 1.5 minutes: 250-meter row on a rowing ergometer, 5 burpees, 10 kettlebell swings (53-pound kettlebell), 1.5 air squats. There were no significant differences (p ≥ 0.35 for all) for 1-RM (Mean ± SD) (TRAD: 377.5 ± 67.6 lbs; HIFT: 370.0 ± 67.6 lbs), force (TRAD: 1729.0 ± 356.3 N; HIFT: 2080.3 ± 844.4 N), power (TRAD: 57.1 ± 219.4 W; HIFT: 548.0 ± 247.0 W), velocity (TRAD: 0.39 ± 0.10 m/s; HIFT: 0.38 ± 0.09 m/s), or muscular activity (percentage of MVC) between TRAD and HIFT. There was significantly higher (p < 0.01 for both) heart rate (TRAD: 118 ± 6.4 bpm; HIFT: 174.6 ± 18.3 bpm) and RPE (TRAD: 9.4 ± 1.6; HIFT: 15.4 ± 1.7) immediately after both GWU conditions. A TRAD and HIFT GWU produced similar 1-RM, force output, power, velocity, and muscular activity, while the HIFT condition elicited higher exertion and intensity. These results can be utilized in those who perform concurrent aerobic and resistance training in the same session, because our data indicated engaging in high-intensity aerobic activity before a heavy resistance exercise did not negatively affect participant’s strength performance. In addition, performing a bout of higher intensity exercise before heavy resistance exercise may be a useful modality order for those who do not engage in regular aerobic exercise, since there may be greater health benefits to engaging in higher intensities of activity.
U-P15 NEUROPEPTIDE Y ANTAGONIST AMELIORATES MATERNAL INFLAMMATION AND REDUCED UTERINE PERFUSION PRESSURE-INDUCED POOR FETAL DEVELOPMENT AND NEUROBEHAVIORAL DEFICITS IN PREGNANT RATS
McKenzie S Henson¹, Jonathan W Lee², Madeline C Harris¹, Norma B Ojeda³, Nilesh Dankhara⁴, Lir-Wan Fan¹, Michelle A Tucci⁴
¹Mississippi INBRE Research Scholar, University of Mississippi Medical Center, Jackson, MS 39216, USA. ²Department of Pediatrics, Division of Newborn Medicine, University of Mississippi Medical Center, Jackson, MS 39216, USA. ³Department of Advanced Biomedical Education, University of Mississippi Medical Center, Jackson, MS 39216, USA. ⁴Department of Anesthesiology, University of Mississippi Medical Center, Jackson, MS 39216, USA
Pregnancy is associated with an increase in uterine blood flow contributing to normal fetal development. The increase in vasoconstrictive substance, neuropeptide Y (NPY) might be associated with preeclampsia. Experimental studies suggest a link between both maternal inflammation and reduced uterine perfusion pressure (RUPP), and increased NPY levels in pregnant rats may affect fetal development. This study tested whether NPY antagonist treatment reduced maternal inflammation and RUPP-induced poor fetal development and neurobehavioral deficits in pregnant rats. Lipopolysaccharide (LPS) (100 µg/kg) was administered intraperitoneally into pregnant rats on day 13 of gestation (G13) and RUPP surgery was performed on G14. G14 rats were treated with NPY antagonist through subcutaneous micro-osmotic pump infusion at a dose of 5 µg/kg/day for 6 days. Y maze and Plus maze tests were assessed on G13, G16 and G19 followed by euthanasia at G20 to collect placenta and fetal tissue for assessment of fetal development. Our results showed that NPY antagonist treatment reduced maternal inflammation and RUPP-induced short-term memory deficits and anxiety as indicated by Y maze and Plus maze test results, respectively. NPY antagonist treatment also attenuated maternal inflammation and RUPP-induced reduction in fetal weight and placenta weight on G20. These results suggest that antagonization the Y1 receptor may rectify vasoconstriction associated maternal LPS exposure and RUPP-induced neurobehavioral dysfunction in pregnant rats, and normalize placenta and fetal weight. Our model may be useful for studying mechanisms involved in the maternal inflammation and RUPP-induced pregnancy neurobehavioral deficits and poor fetal development, and development of potential therapeutic strategies.
U-P16 CELLULAR EFFECTS OF CATABOLIC INFLAMMATORY CYTOKINES ON CHONDROCYTES
Muhammad Nafis¹, Lir-Wan Fan¹, Jonathan Lee¹, Hamed Benghazzi², Tracey Lawyer¹, Robert McGuire¹, and Michelle Tucci¹
¹University of Mississippi Medical Center, Jackson, MS and ²Global Training Institute, Flowood, MS
The inhibitory effects of pro-inflammatory cytokines interleukin 1β, tumor necrosis factor-α, and interleukin-6 on articular chondrocyte growth dynamics are well documented. Previous studies have
shown that IL-1β and TNFα inhibit chondrocyte differentiation and induce cell death. In contrast to bone remodeling, the cartilage remodeling process mediated entirely by chondrocytes. Most importantly, the chondrocyte is responsible not only for the synthesis of the complex extracellular matrix of the articular cartilage, but it is also the source of proteinases and other precursors that degrade the damaged matrix to permit repair. IL-1β and TNFα appear to play important roles in affecting chondrocyte function. Numerous studies have shown that IL-1β stimulates chondrocytes to increase production of matrix metalloproteinases (MMP’s) and other degradative products. It hypothesized that IL-1β is extremely important to cartilage destruction, while TNFα appears to drive the inflammatory process. Recent studies demonstrated that other cytokines may be directly or indirectly involved in the inflammatory process of hard tissues. For example, IL-6 has been proposed as a contributor to the pathogenesis of osteoarthritis. The objective of this study was to evaluate matrix degradation markers, apoptosis, cellular damage markers, and cellular morphology of chondrocytes following a challenge with inflammatory cytokines and how this impacts clinical healing and tissue regeneration.
**U-P17 MAPPING INVASIVE AQUATIC PLANTS USING UAS IMAGERY AND DEEP LEARNING**
*Nicholas Gray, Ruchitha Yadav Prakash, Sathish Samiappan, Gray Turnage*
*Mississippi State University, Mississippi State, MS*
Invasive aquatic plants (IAP) are problematic in every part of the world because they endanger native plants and ruin biodiversity. Mapping where they grow is important, so that preventive measures can be put in place. Mapping of IAPs has evolved drastically throughout the last two decades. From on-foot surveys to satellite imagery, there are numerous ways to map IAPs. In this study, we will be using images collected from a UAS (Uncrewed Aerial System) with a hyperspectral sensor because of its high spatial and spectral resolution. The images are of eight distinct plants, which include alligator weed, Cuban bulrush, giant salvinia, primrose, torpedo grass, water hyacinth, water lettuce, and water lily. Remotely sensed images will be combined with deep learning models for segmentation and classification to understand the most efficient method. The deep learning models that will be studied are Mask R-CNN (Region Based Convolutional Neural Network) and SpineNet because of their strong feature extraction abilities. Mask R-CNN is a popular type of Convolutional Neural Network (CNN) that excels in high-quality image segmentation. On the other hand, SpineNet is CNN backbone that aims to retain spatial information in an image. The two models will then be trained on the images to learn features of each plant.
**U-P18 GEOSPATIAL ANALYSIS: DISPERSAL OF ASPERGILLUS FLAVUS AF36 STRAIN IN TREE NUT CROPPING SYSTEMS**
*Penelope Prochnow¹, Dakota Salyer², Hillary Mehl³, Xueyan Shan¹*
¹Department of Biochemistry, Molecular Biology, Entomology and Plant Pathology, Mississippi State University, Mississippi State, MS, ²School of Plant Sciences, University of Arizona, Tucson, AZ, ³USDA Agricultural Research Service, Tucson, AZ
This research project conducted an exploratory geospatial analysis to examine the dispersal patterns of the biocontrol *Aspergillus Flavus* (*A. flavus*) strain AF36 in tree nut cropping systems in southeastern Arizona. AF36 is a non-aflatoxigenic *A. flavus* strain that is used to treat crops to control the aflatoxin producing *A. flavus* strains and reduce aflatoxin contamination. The objective of this project was to develop geospatial analysis script programs using Python geospatial data science packages to discover and visualize the changes in the frequencies of the AF36 strain from treated tree nut crops to non-treated crops and across the landscape over a two-year period. Data for percent AF36 in georeferenced soil samples from a survey of AF36 treated and non-treated fields in southeastern Arizona were provided by USDA-ARS. From the original data, geospatial analysis was conducted with tools such as Jupyter Notebook to formulate astute graphics in terms of statistical comparison and geographical study through different conditions enabled through the data collection. These conditions include examining various kinds of crops and surrounding areas, two years of data collection, and measurements provided before and after the application of AF36. Insights gained through this research analysis will contribute to the development of strategies to mitigate aflatoxin contamination risks, leading to improved tree nut production and economic viability in the industry.
**U-P19 INVESTIGATING THE INFLUENCE OF RAINFALL AND OTHER WEATHER-FORCING FACTORS ON SOIL MOISTURE AND SOYBEAN YIELD USING THE APEX MODEL**
*Prabesh Khanal¹, Gary Feng², Huang Yanbo³*
¹Mississippi State University, Mississippi State, MS, ²USDA-ARS, ³USDA-ARS
This research aims to investigate the influence of rainfall and other weather factors on soil moisture and soybean yield using the APEX (Agricultural Policy/Environmental xTender) model. To conduct the study, the APEX model was implemented by utilizing various databases, including soil, weather, crop, field management, and spatial location data. The Gridded Soil Survey Geographic Soil Map (gSSURGO-30) from the USDA Natural Resources Conservation Service (NRCS) and the Gridded Cropland data layer (CDL-30m) from the USDA National Agricultural Statistics Service (NASS) was specifically used. These data layers were overlaid and clipped in ArcGIS (ESRI, Redlands, CA) to define the area of interest. The APEX model was then implemented to simulate crop yield and soil moisture content for each 30m * 30m resolution Soybeans’ grid of the Cropland data layer over a period of approximately 43 years. The APEX model provided outputs of soybean yield and soil moisture content at different scales and depths, providing insights into immediate water availability for plant growth. Additionally, this study analyzed soil moisture fluctuations by aggregating soil moisture data to soybean’s vegetative and reproductive stages, thus assessing their impact on soybean yield during those stages. Furthermore, the research aims to estimate soybean yield based on the planted acreage of soybeans. By combining the findings related to weather factors, soil moisture, and crop yield, the study seeks to enhance our understanding of the relationships between these variables and their impact on soybean production.
**U-P20 ENHANCING HERBICIDE SELECTIVITY IN TOMATO THROUGH SAFENING EFFECTS OF MELATONIN AND 2,4,6-TRICHLOROPHENOXYACETIC ACID**
*Tabata Oliveira, Sabrina Sastre, Shaun Broderick, Te-Ming Tseng*
*Mississippi State University, Mississippi State, MS*
Safeners are compounds used to protect crops by enhancing their tolerance to herbicides through metabolic pathways. This study aimed to investigate the biochemical effects of melatonin and 2,4,6-trichlorophenoxyacetic acid (2,4,6-T) safeners in tomato cultivation. The experiment followed a randomized factorial design, evaluating four herbicides (dicamba, 2,4-D, metribuzin, sulfentrazone) and an untreated control, along with three safener treatments (melatonin, 2,4,6-T, control). Visual injury assessments were conducted at multiple time points, and biomass measurements were taken at 21 days after application (DAA). Glutathione S-transferase (GST) activity, a key detoxifying enzyme, was evaluated at different time intervals. Results indicated that pre-treating seeds with safeners significantly reduced injury, increased biomass, and enhanced GST enzymatic activity in tomato plants exposed to herbicides. These findings contribute to our understanding of plant defense mechanisms and demonstrate the potential of safeners to improve herbicide selectivity in tomato crops. Such knowledge can aid in the development of more effective weed management strategies for sustainable agriculture.
U-P21 AGOMELATINE ATTENUATES SYSTEMIC LIPOPOLYSACCHARIDE-INDUCED BRAIN INJURY, BRAIN INFLAMMATION, AND NEUROBEHAVIORAL DISTURBANCES IN NEONATAL RATS
Selby A Ireland\textsuperscript{1}, Rachel T Palmer\textsuperscript{2}, Jonathan W Lee\textsuperscript{3}, Malachi Z Morris\textsuperscript{4}, Nilesh Dankhara\textsuperscript{5}, Michelle A Tucci\textsuperscript{6}, Norma B Ojeda\textsuperscript{7}, Shuying Lin\textsuperscript{8}, Lir-Wan Fan\textsuperscript{2}
\textsuperscript{1}Summer Undergraduate Research Experience Program (SURE), University of Mississippi Medical Center, Jackson, MS 39216, USA. \textsuperscript{2}Department of Pediatrics, Division of Newborn Medicine, University of Mississippi Medical Center, Jackson, MS 39216, USA. \textsuperscript{3}Mississippi INBRE Research Scholar, University of Mississippi Medical Center, Jackson, MS 39216, USA. \textsuperscript{4}Department of Anesthesiology, University of Mississippi Medical Center, Jackson, MS 39216, USA. \textsuperscript{5}Department of Advanced Biomedical Education, University of Mississippi Medical Center, Jackson, MS 39216, USA. \textsuperscript{6}Department of Physical Therapy, University of Mississippi Medical Center, Jackson, MS 39216, USA
Inflammation and oxidative stress play important roles in brain injury in neonatal human and animal models. Our previous studies showed that systemic administration of endotoxin lipopolysaccharide (LPS) induces brain damage and neurobehavioral dysfunction in neonatal rats, which is associated with the production of pro-inflammatory cytokines and oxidative stress. Recent studies suggest that agomelatine treatment which could affect inflammation and microglia polarization could be a neuroprotective agent in adult animals. The objective of the current study was to determine whether agomelatine, a melatonergic agonist with anti-inflammatory and antioxidative effects, ameliorates LPS-induced brain inflammation and neurobehavioral dysfunction in neonatal rats. Intraperitoneal (i.p.) injections of LPS (2 mg/kg) were performed in P5 Sprague Dawley rat pups and agomelatine (20 mg/kg) or vehicle was administered (i.p.) 5 min after LPS injection. Control rats were injected (i.p.) with sterile saline. Neurobehavioral tests were performed and brain inflammation was examined on P6, 24 hours after LPS exposure. Our results showed that agomelatine reduced LPS-induced sensorimotor disturbances and reduction in pre-social interaction (ultrasonic vocalization) at P6. Agomelatine also reduced LPS-induced brain injury, increase in IL-1β levels and thiobarbituric acid reactive substances (TBARS) contents, which suggests anti-inflammatory and antioxidative effects. These results indicated that agomelatine may provide protection against systemic LPS exposure-induced brain inflammation, lipid peroxidation and neurobehavioral disturbances, which are associated with agomelatine’s ability to attenuate LPS-induced inflammation and oxidative stress.
U-P22 REPLICATION OF IMPACT PARAMETERS FROM CADAVERIC LUMBAR INTERBODY FUSION USING A BENCHTOP DEVICE
Tanner Jones\textsuperscript{1}, Caitlin Luke\textsuperscript{2}, Micah Foster\textsuperscript{1}, Dani Janus\textsuperscript{1}, Halleigh Faulkner\textsuperscript{2}, Matthew W. Priddy\textsuperscript{2}, Lauren B. Priddy\textsuperscript{1}
\textsuperscript{1}Mississippi State University, Department of Agricultural and Biological Engineering. \textsuperscript{2}Mississippi State University, Department of Mechanical Engineering. \textsuperscript{3}Mississippi State University, Department of Aerospace Engineering
Transforaminal lumbar interbody fusion (TLIF), the insertion of an interbody fusion device (IFD) between vertebrae of the lumbar spine, is performed to relieve lower back pain caused by disc pathologies. The IFD is inserted in the disc space via malletting of an insertion tool, a process which can damage the IFD. Cadavers are traditionally used for insertion testing of IFDs, but cadavers involve intensive preparation, are not readily available, and are inherently variable. Thus, benchtop devices are needed to provide reproducible experimental conditions that mimic cadaveric experiments. In this research, a drop weight benchtop device was constructed, outfitted with sensors, and used to measure four key impact parameters during impaction of the insertion tool: (i) slope of the impact wave, (ii) peak force, (iii) area under the curve, and (iv) impact duration. Cadaveric data was collected using the TLIF procedure to validate the results of the benchtop device. Upon comparison of cadaveric and benchtop device data, modifications were made to the benchtop device to better mimic cadaveric testing in these four key parameters. Following these changes, further testing of the TLIF procedure was completed with the benchtop. Currently, the objective is to complete benchtop testing of the anterior lumbar interbody fusion (ALIF) procedure and compare to recent ALIF cadaveric data. Additionally, the impact of friction on drop weight velocity is being investigated. The long-term goal of this research is to ultimately replace cadaveric experiments for lumbar interbody fusion procedures with a robust and versatile benchtop device.
U-P23 SYNTHESIS OF PYRIDINE-BASED HIV INTEGRASE INHIBITORS
Tyler D. Twedt\textsuperscript{1}, A. Margaret Miller\textsuperscript{1}, Hannah J. N. Matlke\textsuperscript{1}, Christopher T. Bruni\textsuperscript{1}, Sharon E. Sufferin\textsuperscript{1}, R. Victor Mishoe\textsuperscript{1}, Gavisha Mugon\textsuperscript{1}, Sarah J. Hayek\textsuperscript{1}, Jacques J. Kessl\textsuperscript{1}, Julie A. Pigza\textsuperscript{2}, Matthew G. Donahue\textsuperscript{2}, Wolfgang H. Kramer\textsuperscript{1}
\textsuperscript{1}Department of Chemistry and Biochemistry, Millsaps College, Jackson, MS. \textsuperscript{2}Department of Chemistry and Biochemistry, The University of Southern Mississippi, Hattiesburg, MS
Retroviruses employ three unique enzymes, reverse transcriptase, integrase and protease, that are essential for their life cycle. Antiviral therapy targets those enzymes preferably, as less side effects are expected. Human immunodeficiency virus (HIV), which causes acquired immunodeficiency syndrome (AIDS), is generally combated with triple therapy, consisting of usually two reverse transcriptase inhibitors and one integrase or protease inhibitor. As the high mutation rate of the virus causes resistance, HIV drugs are constantly optimized. HIV integrase incorporates the viral DNA into the host cell genome. HIV Integrase inhibitors are mostly based on aromatic heterocycles such as pyridine and quinoline. In this project, we are constructing the pyridine core by reaction of substituted malonic esters with an aminocrotonate ester. The development of the side chain in the 3-position which consists of a methine carbon carrying a tert-butoxy group and a carboxylic acid, is essential. This requires the extension by one carbon, which we accomplish by a Bode homologation reaction. Here we present our new results in cleaving the Bode compound with various oxidizing agents. Further incorporation of substituents on the pyridine core will determine the efficiency of the inhibitors.
U-P24 PHOTOCHEMICAL KEY STEPS IN CYCLIZATION REACTIONS: SYNTHESIS OF ISOINDOLONE PIPERIDINES AS KINASE INHIBITORS
Zoe O. Elder, Wolfgang H. Kramer, Tynai J. Bridges
Department of Chemistry and Biochemistry, Millsaps College, Jackson, MS
Cancer cells are the result of disruption of tightly regulated metabolic pathways. This leads to uncontrolled proliferation of cells as seen in invasive tumors. Inhibition of certain metabolic enzymes thus might provide a tool to minimize the harmful effects of excessive cell growth. Two key phosphorylating enzymes, glycogen synthase kinase-3 (GSK3) and cyclin-dependent kinases (CDKs) are the target of researchers to interfere with cancer metabolism. Valmerins are isoindolone piperidines that have been shown to inhibit GSK3/CDK enzymes during cell proliferation. In this project, we are using the photodecarboxylative cyclization as a key step in the synthesis of GSK3/CDK inhibitors. The syntheses are initiated from affordable building blocks and culminate in the stereo-controlled synthesis of the target molecules. Variations in the chromophore lead to the formation of regioisomers, the control of which is important.
G-P25 DESIGN OF UAV SIMULATIONS VIA PHYSICS-BASED SIMULATION FOR SITUATIONAL AWARENESS
Aaron LeGrand, Jacob Lindsey, Seunghan Lee
Mississippi State University, Mississippi State, MS
The use of unmanned aerial vehicles (UAVs) has been widely used in multiple applications including homeland security, transportation, and agriculture. To demonstrate the behavior of UAVs, high-fidelity simulations have been highly prevalent and becoming more popular every year. Situational awareness is reliant on pilot interaction and are critical to aircraft safety when encountering an intruder aircraft. We will develop a Physics-based simulation (PBS) that can validate UAVs’ detection capability and coverage of abnormal situations while being simulated in real-time with a visualization component. Bayesian Belief Networks (BBN) will be used to incorporate environmental uncertainties and different agents’ behaviors in multiple scenarios. The authors will start implementing a Bayesian network and extending it to BBN to generate UAV trajectories within the confidence interval. Moreover, we will build upon these models with visual acquisition and human performance. The proposed PBS simulation will be visualized using the game engine called Unreal Engine. This stability of the proposed approach will be validated via these simulations.
G-P26 TOPOGRAPHY OF A FRACTURED MONOLITHIC ZIRCONIA CROWN - A CASE REPORT
Aditya Kunapareddy, Jaccare Jauregui-Ulloa, Firas Mourad, Susana Salazar Maracho
Department of Biomedical Materials Science, University of Mississippi, USA
We aimed to evaluate the topography and surface roughness of a fractured implant-retained monolithic zirconia crown using a versatile non-contact 3D surface profiler that combines features of an optical microscope, laser profilometer, and scanning electron microscope. A cleaned, epoxy-replicated crown obtained from the faculty dentist was divided into three thirds: occlusal, middle, and cervical for detailed profiling using a 3D surface profiler (VK-X3000, Keyence, USA). Surface roughness values were then statistically analyzed using one-way ANOVA repeated measurements. The facial surface roughness showed insignificant differences among its regions ($p=0.39$). The lingual surface was similar to the facial surface, except for the distal cervical aspect, which had the highest roughness (16.98 ± 3.9 μm, $p=0.02$). The mesial and distal surfaces showed varying roughness values. The lowest roughness was found in the mesial surface’s middle third (7.18 ± 2.22 μm, $p=0.01$), while the highest roughness was in the distal surface’s occlusal third (23.07 ± 5.3 μm, $p=0.04$). The occlusal surface’s central groove significantly differed in roughness from the occlusal planes ($p=0.04$). The roughest areas correlated to regions left unpolished after adjustments with diamond burs. A 3D surface profiler provided a comprehensive evaluation of a zirconia crown’s surface roughness, revealing significant variation across the crown. Notably, high roughness values were observed in the lingual surface’s distal cervical aspect, the distal surface’s occlusal third, and occlusal planes. These rough regions were often unpolished areas, emphasizing the importance of comprehensive polishing in maintaining the integrity of zirconia restorations.
G-P27 EFFECTIVENESS OF OMEKA VIRTUAL COLLECTIONS FOR ENGAGING DUNN-SEILER MUSEUM AUDIENCES
Amanda Mayo, Renee Clary, Athena Nagel, Christa Haney
Mississippi State University, Mississippi State, MS
Museums have been an important part of human history for centuries because of their preservation of important artifacts and cultural relics. Traditionally, visitors had to travel to the museum to view artifacts and specimens in a gallery. Lack of museum access has been a continuing issue for low-income visitors, and it became a problem for all during the Covid-19 pandemic. The creation of virtual museum collections, including website collections like the Omeka Virtual Platform, allow scientists to share museum collections with a larger audience because visitors are constrained by financial or geographic barriers. This study investigated the effectiveness of the Dunn-Seiler Museum’s Omeka Virtual Platform for learning outcomes. The Dunn-Seiler hosts a small public gallery in the Department of Geosciences at Mississippi State University. We researched how virtual museum platforms compared with in-person informal outreach with respect to learners’ content gains and affective responses to activities that investigated fossil specimens (virtually and hands-on) that demonstrated both higher and lower sea levels in Mississippi’s geologic history. The research was conducted in middle-level classrooms within two school districts in Mississippi (N = 99 students). Analysis of pre- and post-assessments of control (hands-on) and experimental (virtual specimens) groups revealed that there was no significant difference in content gain or affective response when student data were reviewed in aggregate for control vs. experimental groups. These results suggest that virtual fossil specimens offer a comparable experience to hands-on specimens within museum outreach.
G-P28 CAN BIOSTIMULANTS IMPROVE SOYBEAN GERMINATION UNDER LOW AND HIGH TEMPERATURES?
Bala Subramanyam, Sivarathri, Lekshmy V Sankarapillai, Corey Bryant, K. Raja Reddy, Jagnan Dhillion, Raju Bheemanahalli
Department of Plant and Soil Sciences, Mississippi State University, Mississippi State, MS 39762
Seed germination and seedling establishment are often adversely affected by extreme temperatures. The application of biostimulants has been proposed as an effective method to improve uniform germination and overcome the challenge of uneven seed growth. The study aimed to determine the impact of biostimulant-treated seeds on stress tolerance during germination and emergence under various temperatures. A total of nine treatments were tested to evaluate the influence of biostimulants under different temperatures. Soybean seeds treated with biostimulants were subjected to temperatures of 15 °C, 25 °C, and 35 °C for seven days during germination. The main effect of biostimulants and temperatures were significant for time to 50% germination, radical length, and dry weight. Moreover, preliminary results indicated that the time taken for 90% germination was significantly influenced by both biostimulants and temperatures. Time to 90% germination decreased by 1 h at 35 °C (BioWake), 2 h at 25 °C (Fertiactyl®+Biofriendly), and 3.30 h at 15 °C (BioSa +Biofriendly+polymer). Seeds treated with BioSa+Biofriendly and BioSa+Biofriendly+polymer increased seedling dry weight by 19% at 35 °C, and 15% at 15 °C, respectively. These findings suggest that biostimulants positively influence the germination process under extreme temperatures. In addition, the potential influence of biostimulants on growth and development at the early vegetative stage under different temperature conditions will be discussed.
G-P29 DATA-DRIVEN EVACUATION MODELING FOR SPATIAL DIFFERENCES WITH AGENT-BASED SIMULATIONS
Bates Bennett, Seunghan Lee
Mississippi State University, Mississippi State, MS
Predicting evacuation numbers during the approach of a natural disaster is difficult, as different regions throughout the world have varying preparation and departure attitudes. A model must be
constructed that accounts for the consequences of decisions such as transportation mode, evacuation timing, and destination decision. However, due to the unpredictable nature of disasters, information gathered from preemptive questionnaires will have increasing uncertainty over time. Furthermore, these studies often focus on metropolitan areas, so geographical and demographic differences should be compared with those living in smaller urban, suburban, and rural areas. While the sharing of evacuation protocol internationally would be unreliable, cooperation between states or counties could provide life-saving benefits. This work proposes a data comparison of hurricane evacuation behaviors for metro areas bordering the Gulf of Mexico with each other using agent-based simulations suited to their respective populations. The proposed simulation incorporates the previous hurricane experiences, household factors, authoritative actions, storm characteristics, and strength of community bond to simulate individuals' evacuation preferences. Specific studies of Hurricane Harvey (2017) in Houston, Texas; Hurricane Irma (2017) in Miami, Florida; and Hurricane Ida (2021) in Gulfport, Mississippi are considered using the ODD framework (overview, design, and details) to provide the comprehensive and exclusive understanding of the evacuation behaviors. The simulation is validated through a GIS map projection accounting for route choice, roadway traffic, and departure timing.
**G-P30 AN EVALUATION OF CURRENT STATUS OF GLACIERS IN THE WESTERN UNITED STATES USING MACHINE LEARNING ALGORITHMS AND SENTINEL-2A IMAGES**
*Bernard Abubakari, Shrinidhi Ambinakudige*
*Mississippi State University, Mississippi State, MS*
We utilized random forest machine learning classification to assess the current status of glaciers in the western United States using Sentinel-2A satellite images. The GLIMS and RGI glacier databases provided baseline data for studying regional climate change impacts. The RGI database compiled information on 5021 glaciers in the western US based on topographic maps created from aerial photos taken between 1943 and 1987, published by the US Geological Survey (USGS) and US Forest Service (USFS). By analyzing Sentinel-2A imagery from September 2020 and comparing it to the RGI inventory, the study determined the current conditions of the glaciers. The random forest classification achieved over 98 percent accuracy. The findings revealed a significant decrease in glacier area and volume in the western United States. Presently, there are 4104 glaciers across seven states, covering a total area of 432.05 km² with a corresponding volume of 22.23 km³. The study period witnessed a loss of 237.04 km² in glacier area, accounting for a 35.43% reduction compared to the RGI boundaries. The volume lost during this period amounts to 14.45 km³, ~13 km³ water equivalent. Washington experienced the most substantial glacier area loss (130.06 km²). For example, the glaciers in the Mt. Baker and Mt. Shuksan in the North Cascade Range, Washington, on an average only 83% of the original glacier boundary is covered with the ice/snow at the end of the 2020 hydrological year. Glaciers such as West Nooksack and Hanging glaciers have lost more than 50 percent of their area. The study will provide a complete list of glaciers in the Western US with their current ice/snow area and the measure of volume.
**G-P31 DECODING GENOTYPIC VARIABILITY IN ROMAINE LETTUCE FOR IMPROVED SALT STRESS RESILIENCE**
*Bikash Adhikari, Jeff Wilson, Raju Bheemanaiahalli*
*Department of Plant and Soil Sciences, Mississippi State University, Mississippi State, MS*
Lettuce is a cool-season green and widely consumed leafy salad, and it is a highly adopted crop in the hydroponic system regarding crop proportion and producers in the States. However, the three-fold increase in water allocation and limited availability of salt-free fresh water makes growers challenging to harness the productive potential of lettuce in hydroponic systems. The electrical conductivity level above 2.0 dS/m makes the solution salty, affecting the continuous supply of essential nutrients required for adequate lettuce growth and development. Despite the mounting evidence supporting salt stress-induced changes in yield and quality losses, the comprehensive studies on romaine lettuce salt stress tolerance are limited. Multiple experiments were carried out in both a growth chamber and greenhouse environments using 2-38 lettuce genotypes to investigate the impact of salt stress during the late rosette and early head formation stages. Exposure of lettuce to four different levels of NaCl (0, 50, 100, and 150 mM) affected the plant's growth and nutrition. A positive association between salt treatment and the sodium-to-potassium ion ratio was observed at both stages. Higher NaCl (150 mM) led to a 76% reduction in fresh mass during both stages, but carbon assimilation remained unchanged despite reduced stomatal conductance. Further, 38 lettuce genotypes were exposed to 100 mM NaCl to identify salt stress-tolerant genotypes. The results displayed that the response of lettuce to salt stress varied depending on the genotype. PI 212099, Buttercrunch-1, and PI 171676 were found to be highly salt-tolerant. Results demonstrated that the Green forest was more sensitive to salt stress, exhibiting a higher decline in biomass than Burgundy delight (Tolerant). Both genotypes had higher levels of sodium accumulation under salt stress, while potassium levels decreased in the Green forest but remained stable in Burgundy Delight. Salt stress reduced gas exchange rates in both genotypes, the highest reduction was observed in the sensitive genotype. Chlorophyll A levels increased under salt stress in both genotypes, while carotenoid pigments and chlorophyll B remained unaffected. Fructose levels showed variable responses, increasing initially and then declining in some cases, while glucose levels decreased in Green Forest but increased in Burgundy Delight. Phenolic increased with increases in stress duration in both genotypes, with higher levels observed in Burgundy Delight. Flavonoid concentration was consistently higher in Burgundy Delight regardless of salt treatment. The results indicated that the superior performance of Burgundy Delight under salt stress might be attributed to its ability to regulate ion transport, maintain osmotic balance through sugar accumulation, and enhance antioxidant defense systems.
**G-P32 MI-AFR: MULTIPLE INSTANCE ACTIVE LEARNING-BASED APPROACH FOR FISH SPECIES RECOGNITION IN UNDERWATER ENVIRONMENTS**
*Chiranjibi Shah¹, M M Nahb², Simegnew Yihune Alaba², John Ball², Robert Moorhead¹*
¹Northern Gulf Institute, Mississippi State University, ²Department of Electrical and Computer Engineering, Mississippi State University, Mississippi State, MS
Video surveys are commonly used to monitor the abundance and distribution of managed species to support management. However, considerable effort, time, and cost are required for human review and automated fish species recognition provides an effective solution to remove the bottleneck of post-processing. Implementing fish species detection techniques for underwater imagery is a challenging task. In this work, we present the Multiple Instance Active-learning for Fish-species Recognition (MI-AFR), which is formulated as an object detection-based approach to perform localization and classification of fish species. It can select the most informative fish images from unlabeled sets by estimating the uncertainty of unlabeled images by using adversarial classifiers trained on labeled sets. Enhanced performance of MI-AFR is obtained by combining the uncertainties with random sampling-based technique. Moreover, we have analyzed the improved performance of MI-AFR by considering different backbone networks as a trade-off between speed and accuracy. For experiments, we have used the fine-grained and large-scale reef fish dataset obtained from the Gulf of Mexico "the Southeast Area Monitoring and Assessment Program Dataset 2021 (SEAMAPD21). The experimental results illustrate that the superiority of the proposed method can establish a solid foundation for active learning
in fish species recognition, especially with a small number of labeled sets.
**G-P33 MORE THAN DETOXIFICATION: A GLUCOSE-CONJUGATING ENZYME IS HIGHLY EXPRESSED IN THE SILK GLANDS OF MOTHS**
*Courtney Wynn, Seung-Joon Ahn*
*Department of Biochemistry, Molecular Biology, Entomology and Plant Pathology, Mississippi State University, Mississippi State, MS*
The corn earworm (*Helicoverpa zea*) is a serious agricultural pest species that feasts on several economically important plants. Recently, a genomic analysis of the corn earworm identified 45 different UGT genes. Uridine diphosphate glycosyltransferase (UGT) is a multigene family of enzymes responsible for catalyzing glycosylation of small hydrophobic molecules. These enzymes participate in the detoxification of xenobiotics and biotransformation of endobiotics, where glucose conjugation increases the water solubility of lipophilic aglycone compounds. Quantitative and real-time PCR were used to analyze the expression levels of UGT34 in different larval instar stages and silk gland subsegments, revealing that UGT34 is generally expressed at all larval instar levels and largely expressed in the middle and posterior subsegments of the silk glands. The soybean looper (*Chrysodeixis includens*), another noctuid moth species, was analyzed and found to have similar gene expression patterns, implying that UGT34 may play an important role in the silk glands of moths. To determine UGT34 function RNA interference (RNAi) was used, but it revealed to be unsuccessful. Altogether, the present study implies that UGT34 plays an important role in silk glands, but its molecular and physiological function remains unknown. Further investigation is required on the novel role of the sugar conjugating enzyme in relation to silk production and other functions in caterpillars.
**G-P34 TRENDS IN PREVALENCE OF DEPRESSIVE SYMPTOMS AND SUICIDAL TENDENCIES AMONG US ADOLESCENTS AND PROJECTIONS TO 2031: YOUTH RISK BEHAVIOR SERVEILLEANCE SYSTEM: 2001-2021**
*Dinan Noor, Ishmaa Yasar Bhuiyan, Marinelle Payton*
*Jackson State University, Jackson, MS, University of Mississippi, University, MS*
Transient turbulent phases of physiological and psychosocial changes left adolescents vulnerable to psychological disorders like depression, fourth leading cause of global disability. Suicide is the second leading cause of death among US adolescents. Overlooking depressive symptoms in adolescents’ increases suicide rates. The aim of the study is to estimate the prevalence of depressive symptoms and suicidal tendencies among US adolescents over time and projections through 2031, since no such data is available. Data from Youth Risk Behavior Surveillance System by CDC were extracted and analyzed from 2001 to 2021 using SPSS complex sample module and Microsoft excel. Depressive symptoms and suicidal tendency were assessed from survey questions “sad or hopeless”, “considered suicide”, “made a suicide plan” and “attempted suicide”. Logistic regression analysis was performed to establish the associations of depressive symptoms, suicidal tendency and sex. Robust method expert modeler of time series modeler is used for future projections. A total of 161,445 adolescents are included from 2001 to 2021 for trend analysis. Overall prevalence of depressive symptoms was 30.8% and suicidal tendencies (considered suicide, made suicide plan and attempted suicide) were 17.2%, 14%, and 8.6% respectively. If the uptrend continues like the past two decades, the corresponding prevalence is expected to reach 70%, 36%, 24%, and 10.7% in 2031. By findings, females are in most vulnerable state (OR=3.3; 95%CI:3-3.6). Health policies, future research, and mitigation supports should be gender-specific and focused to curb depressive symptoms and suicidal tendency among adolescents to prevent a future epidemic.
**G-P35 Evaluating Cover Crops and N Fertilization Effects on Soil Microbiota, Soil Enzymatic Activities and Nutrient Cycling in Corn Production Systems**
*Durga Purushotham Mahesh\textsuperscript{1,2}, Shankar Ganapathi Shammugam\textsuperscript{1,2}*
\textsuperscript{1}Institute for Genomics, Biocomputing and Biotechnology, Mississippi State University, Starkville, MS 39762, USA.
\textsuperscript{2}Department of Plant and Soil Sciences, Mississippi State University, Starkville, MS 39762, USA
The composition and functioning of soil microbiota, including nutrient cycling exhibit variations in response to different soil management approaches within agroecosystems. Incorporating cover crops (CC) into cropping systems, as a means of intensification and diversification, has been shown to enhance microbial abundance and promote soil enzymatic activities. A three-year study with strip plot design in two locations (Starkville and Newton) proposed to assess various CC’s (ryegrass, balansa, red clover, radish, and CC mixes) and N levels (0 lb. and 100 lb.) effect on soil microbiota and carbon/nitrogen cycling in corn systems. Results revealed significant changes in total carbon, total nitrogen, and soil pH across all cover crop treatments. However, variations among the CC’s were not significant after the first year, except for extracellular enzyme activities (β-Glucosidase and β-Glucosaminidase) and soil active carbon (POXC), which exhibited significant differences. Moreover, we observed a linear relationship between β-Glucosidase and POXC ($r^2 = 0.5331$), providing insights into the role of POXC in the carbon cycle. In Starkville, ryegrass plots have higher soil POXC, β-Glucosidase and β-Glucosaminidase, whereas in Newton, both balansa and ryegrass plots had higher values for these parameters. Our findings also unveiled a significant impact of CC and fertilizer level on the alpha and beta diversity of soil microbial communities. Overall, Ryegrass and Balansa exerted a significant influence on soil health and microbial communities by enhancing diversity and richness.
**G-P36 IDENTIFICATION OF MICROBIALLY SPOILED BROILER BREAST MEAT THROUGH OPTICAL SENSING AND DEEP LEARNING**
*Ebenezer Olaniyi*
*Department of Agricultural and Biological Engineering, Mississippi State University, Mississippi State, MS*
Globally, broiler breast meats are highly demanded by consumers. However, broiler breast meats are susceptible to deterioration and spoilage. Manual approaches, such as visual inspection and organoleptic, are common practices in commercial processing plants to evaluate meat samples. These approaches are subjective to human assessment error, laborious, and time-consuming. Therefore, this study aims to use a novel optical technology under structured illumination reflectance imaging (SIRI) with deep learning to differentiate the fresh and spoiled meats. The imagery data of broiler breast meat was acquired using SIRI with spatial frequencies ranging from 0.05 to 0.40 cycles mm$^{-1}$ to obtain three-phase pattern images. The pattern images were then demodulated to generate direct component (DC; 0 cycles mm$^{-1}$) and amplitude component (AC) images. Three pre-trained deep learning models (i.e., VGG16, EfficientNetB6, and ResNeXt101) were utilized to extract high-level features from the AC and DC images. Principal component analysis (PCA) was implemented to reduce feature redundancy. Thereafter, the selected features were used to develop the binary classifiers of linear discriminant analysis (LDA) and support vector machine (SVM) to classify the meat samples into fresh or spoiled. Finally, SVM outperformed LDA with the accuracies of 64.8%, 66.4%, and 69.6% achieved with DC images, and 68.4% (0.20 cycles mm$^{-1}$), 72% (0.25 cycles mm$^{-1}$), and 76% (0.25 cycles mm$^{-1}$) with AC images using VGG16, EfficientNetB6, and ResNeXt101, respectively. The results demonstrated that the proposed optical sensing technology of SIRI is promising in identifying the microbially spoiled broiler breast meat.
G-P37 EFFECTS OF DIETARY SUPPLEMENTATION OF MHA-CA VS. DL-MET ON GROWTH PERFORMANCE AND INTESTINAL HISTOMORPHOLOGY IN GROWING PIGS
Emmanuel Oladejo, Susan Sotak, Shengfa Liao
Department of Animal and Dairy Science, Mississippi State University
This study focuses on exploring two forms of Methionine (Met) on growth performance and intestinal integrity in oxidatively stressed pigs. Forty barrows were randomly allotted to 4 treatment groups. While Groups 1 and 2 received a basal diet (D1), Group 3 received a DL-Met supplemented diet (D2) containing 125% SID Met+Cys of D1. Group 4 received an MHA-Ca supplemented diet (D3) in which the MHA-Ca quantity was 1.54 x DL-Met in D2. After 3 weeks of feeding (phase 1), pigs were injected with either 10 mL saline (for Group 1) or 10 mg/kg-BW diquat in 10 mL saline (for Groups 2, 3 and 4). By the end of Phases 1 and 2, ADG, ADFI, and G:F were determined, respectively. By the end of Phase 2, pigs were euthanized, and histomorphometric analysis was conducted on ileum samples for villus height (VH), villus width (VW), crypt depth (CD), VH:CD ratio (VCR), and numbers of goblet cells (GC). At phase 1, G:F was lowered (P<0.05) in Group 4 relative to Group 3. At phase 2, in terms of performance, ADFI and ADG were reduced (P<0.05) in Group 2 relative to Group 1. In terms of intestinal morphology, CD was reduced in Group 2 relative to Group 1, VH and CD were elongated (P<0.05) with more DL-Met, VW and CD reduced in Group 4 relative to Group 3. In conclusion, DL-Met is more potent than MHA-Ca in mitigating the intestinal oxidative damage, but the two forms of Met have similar effect on performance.
G-P38 IMPACT OF PRUNING INTENSITY AND VINE SPACING ON YIELD AND GRAPE QUALITY OF ‘MIDSOUTH’ IN SOUTH MISSISSIPPI
Haley N. Williams and Eric T. Staffne
MAFES South MS Branch Experiment Station, Coastal Research and Extension Center, Mississippi State University, Poplarville, MS
‘MidSouth’ bunch grapes face limitations as varietal red wine grapes due to low soluble solids and high acidity. Additionally, there is potential that improper pruning reduced fruit quantity in past studies. However, improved vine management could improve both fruit quantity and quality. A study conducted in McNeill, MS explored pruning treatments and spacing for ‘MidSouth’ vines in 2022 and 2023. Vines received minimal pruning, cane pruning to 60 buds, spur pruning to 120 buds, or spur pruning to 60 buds (control) and were spaced 1.5m or 2.7m. Minimally pruned vines had higher yields, clusters per vine, and berries per cluster but lower pruning weight, berry weight, soluble solids, and juice pH than the control. Cane pruning reduced berry weight and juice pH, while 120 bud spur pruning increased berries per cluster, cluster weight, and yields but decreased berry weight and juice pH. Cane pruning and 120 bud spur pruning did not significantly differ. Vines spaced at 2.7m had higher pruning weight, clusters per vine, and yield per vine but lower berry weight than 1.5m spacing. In 2023, post-pruning measurements of phenological stage, stomatal conductance, transpiration, and chlorophyll fluorescence were taken. Cane-pruned vines exhibited lower chlorophyll fluorescence than 120 bud spur-pruned vines, while minimal pruning and control vines showed no significant difference. Vines spaced at 2.7m had higher stomatal conductance and transpiration but slower phenological stage than 1.5m spacing. Growers should consider 120 bud spur pruning on vines spaced 2.7m to enhance fruit quantity while maintaining quality in ‘MidSouth’.
G-P39 MODELING THE EFFECT OF NEIGHBORHOOD COMPETITION ON TREE DIAMETER GROWTH IN THE PACIFIC NORTHWEST COAST RANGE
Htet Lin Naing, Austin Himes, Heidi Reminger, Krishna Poudel
Mississippi State University, Mississippi State, MS, USA
Trees compete for various resources such as sunlight, water, and nutrients, which can be expressed as numerical terms, called competition indices (CI). Competition between individual trees is correlated with their growth and mortality. Therefore, CIs are used as independent variables to develop, improve and modify growth and yield models. This study was conducted to test the effect of neighborhood competition on tree diameter growth among Douglas-fir (*Pseudotsuga menziesii* (Mirb.) Franco), western hemlock (*Tsuga heterophylla* (Raf.) Sarg) and red alder (*Alnus rubra* Bong.), in the Pacific Northwest Coast Range, USA. After testing seven distance-independent CIs and three distance-dependent CIs, only the distance-independent CIs were found to significantly affect the diameter growth model. Among them, CIs with basal area and diameter information were the most impactful. As a result, a simple CI was very effective in a model that accounts for the basal area information of different tree species.
G-P40 EFFECT OF X-RAY IRRADIATION ON *Loropetalum GALL BACTERIA*
Jenny B. Ryals\textsuperscript{1}, Patricia R. Knight\textsuperscript{1}, Christine E. H. Coker\textsuperscript{1}, Jeremy M. Pickens\textsuperscript{2}, Ronald C. Stephenson\textsuperscript{1}, Guihong Bi\textsuperscript{1}, Shien Lu\textsuperscript{1}, Ben Posadas\textsuperscript{1}
\textsuperscript{1}Mississippi State University, Mississippi State, MS Mississippi, \textsuperscript{2}Auburn University, Auburn AL, \textsuperscript{3}University of Nebraska-Lincoln, Lincoln, NE
*Loropetalum, Loropetalum chinense* (R. Br.) Oliv., is a popular landscape plant, but it can be infected by the gram-negative bacteria *Pseudomonas amygdali* pv *loropetalii* pv. nov. Bacterial diseases are difficult to control, and these particular bacteria usually leads to disposal of the plant, resulting in economic losses for the nursery. These bacteria are causing galls on loropetalum which can cause stem girdling leading to reduced growth and possibly death of the plant. The bacteria will infect the plant if it can permeate through a cut or wound in the bark. This creates a major avenue for disease transmission when propagating from cuttings if cuttings are taken from infected plants. With growing public concerns on chemical pesticides and their residues, irradiation is becoming a viable alternative and an effective nonchemical treatment for the control of several pathogens. Studies have shown successful results when gamma irradiation was applied to *Pseudomonas* spp., therefore we hypothesize that radiation could eliminate *P. amygdali* pv *loropetalii* pv. nov. on loropetalum stock plants. Bacteria were subjected to six levels of x-ray irradiation 0, 0.5, 1, 1.5, 2, 2.5 kGy (0, 500, 1000, 1500, 2000, 2500 Gy). Initial results showed that x-ray treatment to pure bacteria strains resulted in significant bacterial reduction at all levels, with complete inactivity being observed in the 1.5, 2, and 2.5 kGy (1500, 2000, and 2500 Gy) treatments. With these findings, further studies are being conducted to determine the application of radiation’s ability to clean up infected loropetalum plant material.
G-P41 THE IMPACT FACTORS ON THE CHANGES OF GREENHOUSE GAS (GHG) FLUX IN CONSERVATION RESERVE PROGRAM (CRP) HARDWOOD FOREST
Jianan Liang
Department of Forestry, Mississippi State University
Soil carbon dioxide (CO$_2$), methane (CH$_4$), and nitrous oxide (N$_2$O) are the primary greenhouse gases in forest ecosystems. The GHG fluxes are strongly influenced by abiotic and biotic factors. We used the static chamber method to investigate these three gases from Conservation Reserve Program (CRP) hardwood forests within variable ages in the southeastern US. This study will determine the magnitude of CO$_2$, N$_2$O, and CH$_4$ gas fluxes in the forest soil, present the variation in GHG flux at season pattern, examine the impact of multiple factors on greenhouse gas fluxes across a gradient of sites varying in soil properties (temperature, moisture, PH, bulk density), plantation age, leaf area index (LAI), dominant tree species, and climate characteristics (air temperature and moisture). ANOVA, Pearson correlation coefficients, and Principal Component Analysis (PCA) will be conducted to determine the
main parameters influencing the GHG fluxes. This research will contribute to understanding the role of the forest ecosystem on climate change in the southeastern US.
**G-P42 INCORPORATION OF CELLULOSE NANOCRYSTALS INTO A COTTONSEED OIL-BASED NETWORK POLYMER: INVESTIGATION OF THE EFFECT ON MECHANICAL PROPERTIES**
*Katie Elmore*
*Mississippi State University, Mississippi State, MS*
The detrimental issues surrounding global accumulation of traditional plastic waste are well known. Previous decades of research have established the potential for plant oil-based polymers to be a viable replacement for petroleum-derived plastics since these polymers have the potential to biodegrade, therefore, would aid in inhibiting further plastic waste accumulation. Cottonseed oil is one such renewable plant oil that is produced in abundance worldwide, making it a good option for use as a starting monomer in polymerizations. In this work, a network polymer was synthesized from epoxidized cottonseed oil crosslinked with maleic anhydride. This polymer was further modified through the incorporation of cellulose nanocrystals (CNC) in varying mass fractions. The incorporation of CNCs in the network was confirmed by using FTIR. CNC significantly alters the mechanical properties of the crosslinked polymer, with an improvement in mechanical properties, including an increase of elastic moduli (Young’s Modulus) and ultimate tensile strength. The polymer’s thermal properties have not undergone significant changes for the CNC concentrations considered here, as investigated by thermodynamic analysis and differential scanning calorimetry.
**G-P43 NANO- AND MACRO-SCALE IMPACT FAILURE OF POLY(METHYL METHACRYLATE)**
*Kyle Callahan, Katherine Evans, Edwin Chan, William Heard, Santanu Kundu*
*Mississippi State University, Mississippi State, MS*
Polymer glasses, such as poly(methyl methacrylate) (PMMA), are often used in impact mitigation applications where impact-resistance, optical transparency and light-weighting are required. However, our understanding regarding the failure behavior of these materials subjected to high-velocity projectile impact from the nanoscale up to macroscale is limited. In this contribution, we study the projectile impact performance of PMMA using two different projectile impact tests. For nanoscale studies, laser-induced projectile impact testing (LIPIT) was employed to investigate the impact performance of thin PMMA films, on the order of a few hundred nanometers in thickness, at strain rates of $\sim 10^5$ to $10^7$ 1/s. For macroscale studies, PMMA sheets with thicknesses on the order to 10 mm were subjected to ballistic and hypervelocity impacts in the strain-rate regime of $\sim 10^6$ 1/s. By relating the minimum perforation velocity, defined as the minimum impact velocity a material can withstand without catastrophic failure, to specimen geometry and projectile size at these two distinct sizes, we demonstrate how the size scale of the materials system defines the mechanisms of failure and its impact resistance.
**G-P44 UNDERWATER FISH SPECIES RECOGNITION WITH AN ENHANCED YOLO MODEL**
*M M Nabi¹, Chiranjibi Shah², Simegnw Yihunie Alaba¹, Robert Moorhead², John E. Ball¹*
¹*Mississippi State University, Mississippi State, MS.* ²*Northern Gulf Institute, Mississippi State, MS*
Fish species recognition plays a crucial role in various applications such as stock assessments, ecosystem inspection, production management, and species protection, particularly in underwater environments. However, developing effective fish species detection algorithms in such environments is challenging. In this study, we propose the utilization of the YOLOv5 model for fish species recognition, employing it as an object detection model to analyze multiple fish in a single image. We further enhance the model's performance by adjusting the depth scale of different layers in the YOLOv5 backbone, incorporating a transformer block, and introducing a class balance loss function. This approach enables the model to not only localize fish and estimate their positions and sizes but also classify each fish species individually. We evaluate our method on a fine-grained and large-scale reef fish dataset, specifically, the Southeast Area Monitoring and Assessment Program Dataset 2021 (SEAMAPD21) obtained from the Gulf of Mexico. YOLOv5 is a single-stage network architecture designed to address both classification and localization tasks simultaneously. In the case of YOLOv5-1 (large), the backbone network comprises convolutional layers with cross-stage partial (CSP) connections. The backbone network extracts essential image features, which are then passed on to the Neck component. The Neck module combines and blends the extracted image features from different layers, creating a rich representation that can be utilized for prediction purposes. The results demonstrate that our enhanced YOLOv5 achieves an mAP$_{0.5}$ (mean Average Precision) of 85.2% and mAP$_{0.5-0.95}$ of 56.6% with 61.30M parameters.
**G-P45 AZITHROMYCIN ALLEVIATES BRAIN INFLAMMATION AND IMPROVES SENSORIMOTOR PERFORMANCE FOLLOWING HYPOXIC-ISCHEMIC EXPOSURE IN NEONATAL RATS**
*Madison Klim¹, Jonathan W Lee¹, Jenna Hart¹, Nilesh Dankhara¹, Shuying Lin², Norma B Ojeda³, Michelle A Tucci¹, Lir-Wan Fan¹*
¹*Department of Pediatrics, Division of Newborn Medicine, University of Mississippi Medical Center, Jackson, MS.*
²*Department of Physical Therapy, University of Mississippi Medical Center, Jackson, MS.*
³*Department of Advanced Biomedical Education, University of Mississippi Medical Center, Jackson, MS.*
⁴*Department of Anesthesiology, University of Mississippi Medical Center, Jackson, MS*
Hypoxia–ischemia (HI) is considered to be a common cause of perinatal brain injury followed by development of neurobehavioral impairments, which may be associated with the production of pro-inflammatory cytokines by activated microglia. The objective of the current study was to determine whether azithromycin, a putative suppressor of microglial activation, ameliorates HI-induced brain inflammation and neurobehavioral dysfunction. HI was achieved by bilateral common carotid artery ligation followed by hypoxic exposure (8% oxygen) for 15 min in postnatal day 5 (P5) Sprague-Dawley rats, and azithromycin (40 mg/kg) or vehicle (PBS) was administered intraperitoneally after HI exposure. Neurobehavioral tests were performed and brain inflammation was examined on P6. Our results showed that hypoxic-ischemic insult increased levels of microglia activation-related pro-inflammatory cytokines including interleukin-1β (IL-1β) in the P6 rat brain, and affected physical development and sensorimotor neurobehavioral deficits in P6 rats. Treatment with azithromycin significantly improved neurobehavioral performance in righting reflex, negative geotaxis, wire hanging maneuver, and hind limb suspension tests in P6 rats. Azithromycin also reduced hypoxia-ischemia-induced brain inflammation as evidenced by the decreases in the content of IL-1β in the P6 rat brains. The overall results suggest that reduction in microglia activation-related pro-inflammatory cytokines may protect neonatal brain and neurobehavioral disturbances from HI injury.
**G-P46 ADAPTIVE THERMAL HISTORY DEIDENTIFICATION FOR PRIVACY-PRESERVING PROCESS-DEFECT MODELING OF METAL BASED ADDITIVE MANUFACTURING**
*Mahathir Mohammad Bappy, Durant Fullington, Linkan Bian, Wenmeng Tian*
*Department of Industrial and Systems Engineering, Mississippi State University, Mississippi State, MS; Center for Advanced Vehicular Systems (CAVS), Mississippi State University, MS*
In networked additive manufacturing (AM) systems, sharing process data across multiple users can provide small to medium-sized manufacturers (SMMs) with enlarged training data for part certification, facilitating accelerated adoption of metal-based AM technologies. The aggregated data can be used to develop a process-defect model that is more precise, reliable, and adaptable. However, the AM process data often contains sensitive design information regarding printing path trajectories which is unfortunately subject to confidential product design information leakage when shared among different users during data aggregation. In this study, a new adaptive process data deidentification method is proposed that masks the confidential printing trajectory information embedded in process data in the form of melt pool images in metal-based AM processes. This method generates surrogate melt pool images by masking the instantaneous printing path trajectory as the privacy attribute while retaining the utility attributes for process-defect modeling after data aggregation. More specifically, this approach integrates stochastic image augmentation (SIA) in the adaptive surrogate image generation (ASIG) via tracking melt pool geometric changes. A convolutional neural network (CNN) classifier is used to evaluate the proposed method regarding privacy gain (i.e., identifying printing orientations) and utility loss (i.e., detecting process anomalies). The proposed method is validated using data collected from two cylindrical specimens using the directed energy deposition (DED) process. The results show that the deidentified dataset significantly improved privacy while sacrificing little or no data utility.
**G-P47 HYDROBORATION OF CARBONYL COMPOUNDS USING A [Ni(κ1-P)(κ2-SiHMe)](PPh3)2 AND[Ni(H)(PsiPr)(PPh3)] CATALYST AT MILD CONDITIONS**
*Miguel A. Cabrera-Briseno*
*Mississippi State University, Mississippi State, MS*
Silylphosphines such as PSiHx (x = methyl or isopropyl) are a kind of bidentate ligands with strong sigma donor character, ideal to synthesize nickel(II) complexes via oxidative addition of the Si-H moiety by the metal center. Moreover, nickel is a low-cost transition metal, abundant and easy to handle. Therefore, a nickel(II) silylphosphine family of complexes has been synthesized, characterized by 1H NMR and 31P {1H}-MR, and used as a catalyst in the hydroboration reactions. Hydroboration of aldehydes and ketones has been demonstrated as an excellent synthetic path to functionalize organic molecules to be used as starting materials in further reactions, such as C-C coupling or to access to primary or secondary alcohols after the hydrolysis of the boronated ester. This nickel(II) catalyst system (Scheme 1, Ni1 and Ni2), hydroborates aldehydes and ketones chemoselectivity with HBpin at room temperature using a low catalytic load in benzene.
**G-P48 ACHIEVING HIGH-SPEED RETRACTION IN STRETCHABLE HYDROGELS**
*Mohammad Moinul Hossain, Santanu Kundu*
*Dave C Swalm School of Chemical Engineering, Mississippi State University, Mississippi State, MS*
Hydrogels have many potential applications, such as in prosthetic devices and other stretchable materials requiring high stretchability and good mechanical properties. In nature, elastomeric biopolymers, like resilin, display high stretchability and resilience, leading to power-amplified movement necessary for feeding, and defensive mechanisms. In our research, we obtained highly stretchable polyacrylamide (PAm) hydrogels prepared by UV curing. These gels are prepared at varying volume fractions. The gels with a volume fraction of 14% display a high elastic modulus of ~7 kPa and a stretchability of ~900%. These gels retract very quickly when released from a stretched stage. We achieved a maximum retraction velocity of 6 m/s and an acceleration of 600 m/s² when released from a stretch of 6. These gels can have applications in soft robotics, prosthetics, and designed devices and can be synthesized by tuning the facile synthetic technique described here.
**G-P49 ROOT PHENOTYPING AND TRAITS CHARACTERIZATION THROUGH COMPUTER VISION AND DEEP LEARNING**
*Muhammad Usman¹, Xin Zhang², Bala S. Sivarathri³, Yanbo Huang⁴, Raju Bheemanahalli⁵.*
¹Department of Agricultural and Biological Engineering, Mississippi State University, Mississippi State, MS 39762, USA. ²Department of Plant and Soil Sciences, Mississippi State University, Mississippi State, MS 39762, USA. ³United States Department of Agriculture – Agricultural Research Service, Genetics and Sustainable Agriculture Research Unit, Mississippi State, MS 39762, USA.
Root phenotyping allows gain insights into the root structure, function, and response to various environmental stimuli. The information obtained through root phenotyping can be used to improve crop yields, develop new plant varieties that are better suited to specific environmental conditions, and enhance overall plant health. Root trait measurements such as root length, area, and volume are traditionally done manually, which is time-consuming and resource intensive. This study introduces a deep learning-based computer vision image processing method for soybean root segmentation, using regular RGB images captured under an illumination-controlled environment. The aim is to develop an automated analyzing pipeline to extract root architectural traits. In this context, a diverse set of soybean root imagery (200 images) data was collected using an in-house-assembled root imaging platform, with an image resolution of 3840 x 2,160 and 5184 x 3456 with pure black imaging background. Before taking images, ground truth data such as total lengths of roots and other seedling traits were recorded manually. During data acquisition, various camera configurations were tested. Image segmentation involves classifying every pixel in an image into a certain category, such as roots or background. Root segmentation is challenging because of their thin and complex structures, especially when a considerable number of sub-roots are developed. In our preliminary tests, we trained a convolutional neural network (CNN)-based deep learning model called ITERoot from scratch with the acquired images. With our developed analyzing pipeline, root architectural traits can be extracted accurately.
**G-P50 EFFECT OF PLANT POPULATION, HYBRID VARIETY AND NITROGEN RATES ON CORN PHENO TYPE**
*Namita Sinha¹, Raju Bheemanahalli², Vaughn Reed¹, Krishna Reddy², Jagman Dhillion¹*
¹Plant and Soil Sciences, Mississippi State University, Mississippi State, USA. ²USDA-ARS, Crop Production Systems Research Unit, USA
Corn (*Zea mays* L.) is a staple food and feed worldwide. With increasing food demand, it is important to fill the existing corn yield gap while improving corn quality. Historically, increasing plant population and optimum nitrogen (N) management have been important approaches. However, the relationship between higher plant population with distinct N rate on plant morphology such as plant height, stalk diameter and soil-plant analysis development (SPAD) are still being explored. Therefore, a two-year multi-site study was conducted to evaluate the effects of management practices (hybrid selection, plant population, and nitrogen rate) on plant characteristics and corn yield. The tested factors include N rates (0, 112, 224, and 336 kg N ha⁻¹) as main plot, and a factorial between plant populations (75,000, 87,500, 100,000 and 112,500 plants ha⁻¹) and corn hybrids with and without Bt traits (DKC 70-27 and DKC 70-25) as subplot factor, with four replications of main plot. The overarching aim is to determine the agronomic optimum plant population (AOPP) and agronomic optimum nitrogen rate (AONR)
to improve corn yield and quality. Preliminary results will be presented.
**G-P51 VISUALIZING BLOOM-TIME VARIATIONS IN Asclepias (Milkweeds) ACROSS MISSISSIPPI**
*Nate Venarske*
*Mississippi State University, Mississippi State, MS*
Milkweeds are important nectar and host plants for many species of butterflies, bees, and true bugs. Each of Mississippi’s milkweed species bloom and fruit at different times. Patterns in local and regional milkweed bloom times may partially explain divergent pollinator preferences at different times of year. Furthermore, range overlap of pollinators and milkweeds may determine the relative significance of milkweed floral resources in individual pollinator diets. Citizen science data from iNaturalist was annotated and mapped in an ArcGIS Dashboard. The data indicate that Mississippi milkweeds bloom at different times than conspecific milkweeds in other regions of the United States and that insect floral preferences may be influenced by temporal and geospatial overlap with blooming milkweeds. This research demonstrates the feasibility of studying continental trends in plant phenology and pollinator ecology using iNaturalist data.
**G-P52 CARBOXYLESTERASE 1 (CES1) REGULATES PROSTAGLANDINS AND CD206 IN VITRO AND IN VIVO M1 AND M2 MACROPHAGES**
*Oluwabori Adekanye, Abdolsamad Borazjani, Matthew Ross*
*Department of Comparative Biomedical Sciences, Center for Environmental Health Sciences, College of Veterinary Medicine, Mississippi State University, Mississippi State, MS*
Macrophages are important cells of innate immunity that respond directly to pathogens and tissue damage, thereby alerting the immune system. Depending on the stimuli in their microenvironment, they can be polarized toward a microbicidal and proinflammatory phenotype (classical activation) that secrete high levels of toxic cytokines and prostaglandins or toward an anti-inflammatory phenotype (alternative activation) that promotes tissue repair. Carboxylesterase 1 (human/marine nomenclature: CES1/Ces1d) is a member of the serine hydrolase superfamily that catalyze the hydrolysis of some drugs and neutral lipids. They have been shown to regulate triacylglycerol (TAG) levels in macrophages. Because CES1 regulates TAGs, knocking down CES1 was hypothesized to impact prostaglandins production. CES1 expression was knocked down by transduction with a lentiviral CES1 shRNA construct. Liquid Chromatography Mass Spectrometry (LC-MS) was used to measure the prostaglandins. RT-qPCR and RNA SEQ were used to quantify gene expression, while flow cytometry was used to measure CD206 protein expression. CES1 knockdown (CES1KD) THP-1 macrophages that were activated with LPS (1 μg/mL) produced significantly higher levels of prostaglandins and genes responsible for their production over 24 hours when compared to macrophages that express normal levels of CES1 (control). *CD206* mRNA, a marker of alternative activation, increased in CES1KD macrophages than control macrophages. Flow cytometry showed that CD206 protein expression was higher on alveolar macrophages derived from lungs of *Ces1d−/−* mice compared to wildtype mice following 3 consecutive days of intranasal IL-4 administration. Our results show that CES1 might exert a regulatory effect on macrophage polarization.
**G-P53 IMPACT OF SALT STRESS ON EARLY-SEASON GROWTH AND DEVELOPMENT IN SORGHUM**
*Patterson Hilaire, Bikash Adhikari, Ranadheer Reddy Vennam, K. Raja Reddy, Raju Bhemanahalli*
*Department of Plant and Soil Sciences, Mississippi State University, Mississippi State, MS, USA.*
Salinity is a major environmental stressor, particularly in arid and semiarid regions where sorghum (*Sorghum bicolor* (L.) Moench) is widely cultivated. In addition, sorghum exhibits high resilience in those environments where other crops struggle to grow. Despite its importance, little is known about how sorghum genotypes respond to salt stress at a morpho-physiological level during the early season. This study aimed to identify salt-tolerant genotypes and traits in sorghum by subjecting twelve different sorghum genotypes to two different salt stress levels (0 and 8 dS m$^{-1}$) during the early-vegetative stage in a sunlit growth chamber facility. Twenty-eight days after treatment, physiological and biomass-related traits were recorded. The results showed that chlorophyll content increased by 28%, with the highest increase seen in NK6638, while transpiration decreased by 46% and leaf temperature increased by 2 °C under salt stress compared to the control. Sorghum genotypes grown under salt stress experienced significant reductions in plant height (42%), leaf area (43%), and shoot biomass (39%), but root dry weight and root-to-shoot ratio increased by 12% and 67%, respectively. Total biomass was reduced by 28% under salt stress compared to the control, with the highest reduction seen in DK553-53 and the lowest in NK6638. Overall, NK6638 and SC35 showed the least reduction in early-season growth and development traits under salt stress compared to the control. Growers could utilize these salt-tolerant genotypes to ensure higher yields in areas where salt stress is a major challenge. Moreover, identified salt-tolerant donors could be a potential resource for developing resilient sorghum cultivars that can withstand salt stress.
**G-P54 DIVERGENT SELECTION FOR ANTHESIS OF ANNUAL RYEGRASS (*Lolium perenne* ssp. *multiflorum*)**
*Brian Baldwin, Prakriti Adhikari, Jesse I. Morrison*
*Plant and soil science, Mississippi State University, Mississippi State, MS, USA*
Annual ryegrass (*Lolium perenne* ssp. *multiflorum*) is an abundant cool-season species in the Southeast. It has escaped its pasture locations and has spread into winter-fallow row crop fields. While its establishment and density qualify it as an excellent cover crop, its late senescence and multiple herbicide resistance make it difficult to kill at spring planting. If we could develop a ryegrass variety that naturally senescence early in the spring, we could exploit the benefits of ryegrass as a cover crop (weed suppression, soil stabilization, nutrient scavenging). This study is conducted to evaluate the annual ryegrass response to recurrent phenotypic selection for earlier and later anthesis dates. A base population was collected in 2022. This population had anthesis dates ranging from 21 March to 2 April, with a mean date for the anthesis of 28 March. Nine hundred and three seedlings of this population were grown in the 50-cell deep trays under ambient outdoor conditions. To establish two distinct populations (Early and Late), progeny with anthesis prior to 21 March and the final seventy populations that are the last to anthesis are selected. Selected plants will be allowed to intermate with each other within each group. Seed harvested will be used as a base for the second cycle of selection. After two cycles of selection, genetic variation will be calculated to assess gain due to selection using X$^2$, ANOVA, and h$^2$ for the anthesis date. The early population will be used as a cover crop, and individuals in the late population will serve as an enhanced forage variety.
**G-P55 TECHNO-ECONOMIC ASSESSMENT IN DETERMINING BIOMASS QUANTITIES IN POPLAR**
*Pratima Poudel, Austin Himes, Heidi Renninger, Courtney M. Siegert, Shafqat Waqar, Surya Prasad Adhikari*
*Mississippi State University, Mississippi State, MS*
*Populus* spp. (poplar) are the fastest-growing trees in North America, making them ideal for a range of applications as they can achieve high yields on short rotations and regenerate by coppice. Furthermore, poplar undergoes biochemical conversion to fuels without complexity, making it one of the most promising, purpose-grown, woody perennial energy sources. Employing wood-based biomass for bioenergy offers numerous benefits, including reducing greenhouse gas (GHG) emissions compared to non-renewable
traditional fuels, the preservation of robust forest ecosystems, and creating economic prospects for rural communities. In order to gain a better understanding of the potential use of poplar as a biomass feedstock for biofuel in the southeastern US, we conducted a techno-economic assessment (TEA). This assessment is an analytical approach that integrates technical and economic factors of a production system to evaluate its economic viability. TEA specifically focused on a short rotation coppice system employing a single-pass cut-and-chip harvesting method for poplar. It encompassed all the costs associated with establishing dedicated poplar plantations, including land rent, site preparation, planting, fertilizers, and herbicides. Additionally, we performed a sensitivity analysis to evaluate how different costs can affect the economic performance of the poplar cropping system. This analysis aimed to determine the minimum average delivered selling price for one metric ton of biomass necessary to achieve a desired rate of return over the cropping period. Data on the establishment, crop care, and crop yields were obtained from field studies conducted at the Bearden Dairy Research Center and Pontotoc Ridge-Flatwood Branch Experiment Station of Mississippi State.
**G-P56 FIELD PERFORMANCE OF BIOSTIMULANTS IN CORN PRODUCTION**
*Praveen Gajula, Raju Bheemanahalli*, Jagmandeep Dhillon, Vaughn Reed, Corey Jay Bryant, Erick Larson
*Mississippi State University, Mississippi State, MS, USA*
Biostimulants are substances that modify plant physiological processes and enhance yield, N uptake, and reduce environmental perturbations. Previous research has primarily focused on horticultural crops under control environmental conditions and lesser importance given for cereals especially corn under field conditions. Therefore, a study was conducted at two different locations within Mississippi (MS) testing biostimulants. The objective of this study is to evaluate impact of biostimulants on corn yield at variable nitrogen rates. Field trials were conducted at two experimental stations at Starkville and Stoneville, MS. A total of 36 plots including 12 controls were replicated four times within a split-plot design where N rate was the main plot factor. Six commercially extracted microbial biostimulants (Source®, Envita, iNVigorate®, Blue N, Micro AZ™, and Bio level phos®) at their recommended rates were foliar dispensed at V4-V5 stages as subplot factors. Four different N rates: 0, 89, 179, and 269 kg N ha\(^{-1}\) at Starkville, whereas an additional rate of 224 kg N ha\(^{-1}\) were incorporated at Stoneville in 2022. Within the first year, Stoneville observed significant yield differences with N rates and biostimulants with yield ranging from 7.5 to 13 Mg ha\(^{-1}\) whereas Starkville did not. Additionally, no interaction effects were noted at either location. Specifically, yield increased with the application of 89 kg N ha\(^{-1}\) over the check plot, and no significant differences were noted between 89 kg N ha\(^{-1}\) and higher N rates. Significant differences were noted within biologicals. However, this was not statistically different from the check plot where no biological was applied.
**G-P57 APPLICATION OF AMINATED-TEMPO-NANO-CELLULOSE COMPOSITE (ATNC) AEROGEL AS A NEW ADSORBENT FOR THE REMOVAL OF ANTIBIOTICS FROM WASTEWATER**
*Rabia Amen, El Barbary Hassan, Islam El Sayed*
*Department of Sustainable Bioproducts, Mississippi State University, Starkville, MS*
Antibiotics are used for the well-being of human beings and other animals. Detectable levels of antibiotics can be found in pharmaceutical, municipal, and animal effluents. The pharmaceutical industry’s standard wastewater remediation strategy does not remove antibiotics from wastewater. Antibiotic resistance and clean water availability are growing concerns worldwide; hence, efficient methods are needed to remove antibiotics from wastewater. Cellulose, one of the most common renewable and sustainable polymeric materials, can be transformed into nanocellulose, making it both an incomparable and intriguing resource element. In this experiment, we fabricated a sustainable aminated-TEMPO-nano cellulose composite (ATNC) aerogel to remove some antibiotics, such as cephalexin, ciprofloxacin, and amoxicillin, from synthetic wastewater. The ATNC was characterized using different characterization techniques, including Fourier transform infrared spectroscopy (FTIR), Scanning electron microscopy (SEM), elemental analyzer, and thermogravimetric analysis (TGA). After that, ATNC was applied to remove the antibiotics and examined the influence of dosage, pH, and contact time. The adsorption isotherms, adsorption mechanisms, and regeneration potential of the ATNC were investigated.
**G-P58 CLIMATE VARIABILITY AND ITS IMPACT ON MISSISSIPPI CORN YIELD**
*Ramandeep Kumar Sharma¹, Jagmandeep Dhillon¹, Pushp Kumar², Raju Bheemanahalli¹, Xiaofei Li³, Michael S. Cox⁴, Krishna N. Reddy⁵*
¹Department of Plant and Soil Sciences, Mississippi State University, Starkville, MS, USA. ²School of Humanities, Social Sciences, and Management, Indian Institute of Technology, Odisha, India. ³Department of Agricultural Economics, Mississippi State University, Mississippi, USA. ⁴Crop Production Systems Research Unit, USDA-ARS, Stoneville, Mississippi, US.
Climate change poses a significant threat to agriculture. However, climatic trends and their impact on Mississippi (MS) maize (*Zea mays* L.) are unknown. The objectives were to: i) analyze trends in climatic variables (1970 to 2020) using Mann-Kendall and Sen slope method, ii) quantify the impact of climate change (based on growing season averages) on maize yield in the short and long run using the auto-regressive distributive lag (ARDL) model, and iii) categorize the critical months for the maize-climate link using Pearson’s correlation matrix. The climatic variables considered were maximum temperature (Tmax), minimum temperature (Tmin), diurnal temperature range (DTR), precipitation (PT), relative humidity (RH), and carbon emissions (CO\(_2\)). The pre-analysis (multicollinearity, unit test, optimum lag selection, and cointegration), post-analysis (serial correlation, heteroskedasticity, and parameter constancy), and model robustness statistical tests were tested, and all conditions were met. A significant upward trend in Tmax (0.13 °C/decade), Tmin (0.27 °C/decade), and CO\(_2\) (5.1 units/decade), and a downward trend in DTR (-0.15°C/decade) were noted. The PT and RH increased by 4.32 mm and 0.11% per decade, respectively, despite the noted trend being insignificant. The ARDL model explained 76.6% of the total variations in maize yield. Most notably, the maize yield had a negative correlation with Tmax for June, and July, with PT in August, and with DTR for June, July, and August, whereas a positive correlation was noted with Tmin in June, July, and August. Overall, a unit change in Tmax reduced the maize yield by 7.39% and 26.33%, and a unit change in PT reduced it by 0.65% and 2.69% in the short and long run, respectively. However, a unit change in Tmin and CO\(_2\) emissions increased maize yield by 20.68% and 0.63% in the long run with no effect in the short run. Overall, it is imperative to reassess the agronomic optimum management strategies in the face of local crop-climate interactions. Also, developing and testing cultivars adaptable to the revealed climatic trend, with the ability to withstand severe weather conditions, could be helpful in ensuring sustainable maize production.
**G-P59 HISTORICAL RECORDS ON SOYBEAN CROP CLIMATE LINK SINCE 1970: AN EXPERIENCE FROM MISSISSIPPI**
*Ramandeep Kumar Sharma¹, Jagmandeep Dhillon¹, Pushp Kumar², Mike Mulvaney¹, Raju Bheemanahalli¹, Michael S. Cox¹, Vaughn Reed¹, Krishna N. Reddy³*
¹Department of Plant and Soil Sciences, Mississippi State University, Starkville, MS, USA. ²Indian Institute of Technology, Odisha, India. ³Crop Production Systems Research Unit, USDA-ARS, Stoneville, MS, USA.*
Analyzing how crops reacted historically to climate at finer scale is essential for adapting US agriculture to twenty-first century climate, however, crop-climate estimations in Mississippi (MS) are elusive. Therefore, the present study attempted to i) estimate climate trends in MS during soybean growing season (SGS) from 1970-2020 using Mann-Kendall and Sen slope method, specific variables considered were maximum temperature (Tmax), minimum temperature (Tmin), diurnal temperature range (DTR), precipitation (PT), carbon dioxide emissions (CO$_2$), and relative humidity (RH), ii) calculate the impact of climate change (growing season average) on soybean yield using the auto-regressive distributive lag (ARDL) econometric model, and iii) identify the most critical months from crop-climate perspective by generating a correlation between the detrended yield and the monthly averages for each climatic variable. All the required diagnostic tests for the pre-analysis (multicollinearity, unit root problem, ideal lag length selection, and cointegration check), post-analysis (heteroskedasticity, coefficients stability, and serial correlation), and model sensitivity were tested, and conditions were met. A significant positive trend in Tmin (+0.25°C/decade) and CO$_2$ (+5.14 units/decade), and negative trend in DTR (-0.18°C/decade) was found. Although the Tmax, PT, and RH showed non-significant trends, changes were noted as +0.11°C/decade, +3.03 mm/decade, and -0.06%/decade, respectively. The ARDL model explained 79.9% of the total soybean yield variability caused by climate change. Furthermore, soybean yield was positively correlated with Tmin (in June and September), PT (in July and August), and RH (in July), but negatively correlated with Tmax (in July and August) and DTR (in June, July, and August). Soybean yield was observed to be significantly reduced by 18.11% over the long term and 5.51% over the short term for every 1°C increase in Tmax. Nevertheless, there was a significant increase in soybean yield, measured by unit changes in Tmin and CO$_2$, of 7.76% and 3.04%, respectively. Altogether, soybeans in MS exhibited variable sensitivity to the short and long terms climatic changes. The results highlight that testing the best agronomic practices and climate resilient cultivars must encompass these asymmetric sensitivities due to the regional climatic conditions of MS.
**G-P60 ANALYSIS OF SYSTEMIC ACQUIRED RESISTANCE BY MONITORING REDOX-MEDIATED TRANSCRIPTIONAL DYNAMICS IN ARABIDOPSIS**
Rezwana R. Setu¹, Sargis Karapetyan², Philip Berg¹,³, Sorina C. Popescu¹, and George V. Popescu¹,³
¹Department of Biochemistry, Molecular Biology, Entomology, and Plant Pathology, Mississippi State University, Mississippi State, MS,
² Department of Biology, Duke University, PO Box 90338, Durham, NC,
³Institute for Genomics, Biocomputing, and Biotechnology, Mississippi State University, Mississippi State, MS.
In plants, systemic acquired resistance (SAR) provides long-lasting broad-spectrum protection against pathogens through a priming mechanism involving redox and phytohormonal signaling. However, there is limited knowledge regarding transcriptional dynamics during SAR onset and the redox involvement in SAR maintenance. Our previous work has identified several key genes to understand the regulatory dynamics of SAR onset. Here we investigate these dynamics by analyzing the transcriptional activity of *GRX5/3* (Glutaredoxins, At1g03850), a disease resistance-related CC-type GRX strongly inducible by SA. To track these dynamics, we fused a luciferase reporter gene to the promoter region of *GRX5/3*, by gateway cloning. We transformed *A. thaliana* wild-type Columbia ecotype (Col-0) and the SAR-defective *top2* mutant plants with this *GRX5/3* reporter construct using *Agrobacterium*-mediated floral dip transformation. We infiltrated T1 generation plants with *Pseudomonas syringae* pv. *tomato* DC3000 expressing avrRPT2 to prompt SAR. Promoter transcriptional activity was then tracked by monitoring bioluminescence at two-hour intervals after infection for four days in 12 h light and 12 h dark diurnal cycles. We observed oscillatory dynamics of the GRXS/3 expression *in planta* during SAR onset and compared it with the transcriptional response of SAR driver genes previously identified. Comparative analysis of *GRX5/3* dynamics in Col-0 and the *top2* mutant provides insights into how dysregulated redox signaling affects SAR onset. In the future, we plan to analyze the transcriptional dynamics of a larger set of SAR marker genes to further understand the role of redox signaling in plant immunity.
**G-P61 EFFECT OF INDENTATION LOAD ON VICKERS HARDNESS FOR THERMOPLASTIC MATERIALS**
Riya Titus, Jason A. Griggs, Kartikeya Singh Jodha
Department of Biomedical Materials Science, University of Mississippi Medical Center, Jackson, MS
Microhardness indentation techniques are used for elastic modulus calculation in brittle materials. Their validity to determine the elastic modulus of thermoplastic polymers like Teflon and Nylon 11 has to be tested. The Vickers’ hardness of the material is first calculated for this. The purpose of the study was to determine the effect of indentation load on Vickers’ hardness for unfilled thermoplastic polymers utilizing a microhardness tester. Square plate specimens were fabricated from Teflon (n=4) and Nylon 11 (n=4). Nylon 11 and Teflon specimens were polished to 6 microns and 30 microns surface finish respectively, using the Multiprep™ polishing equipment (Allied High-Tech Products). The specimens were sputter coated with 10 nm gold. The Vickers’ hardness was calculated using the Clark Microhardness Tester (Vickers/Knoop) CM-400AT. The Teflon and Nylon samples were indented (n=6 each) using 0.0982 N, 4.91 N, and 9.82 N indentation loads at a consistent dwell time of 15 seconds, and the lengths of both indentation diagonals were measured. Vickers’ hardness was calculated as the load divided by the surface area of the indentation. The Vickers’ hardness values for different loads were observed to be of non-linear relationship as seen in the plotted graph. They seemed to have reached a plateau for both samples as the load applied increased. In conclusion, laboratories may utilize the microhardness tester for calculating the hardness of an unfilled polymeric material at larger loads. These values may be suitable to be used in elastic modulus calculations, instead of using the limited standard (ASTM D2845).
**G-P62 FERROCENE LINKED XANTHENE DYES FOR ELECTROCHROMIC APPLICATIONS**
Roberto Venta, Colleen Scott
Mississippi State University, Mississippi State, MS
Electrochromic materials are stimuli-responsive smart materials that present an electrochromism phenomenon, where there is reversible optical change under an applied electric potential (redox). This optical switching behavior gives these materials remarkable attention for potential applications, such as smart windows, rear-view mirrors of automobiles, electronic tags, shelf labels, and electronic displays. One example of an electronic display is bistable displays that do not consume energy in either state (open-color form or close-colorless form of xanthene dyes) and can switch between states with low energy inputs. A variety of xanthene dyes functionalized with a ferrocene unit were synthesized and studied for their potential electrochromic properties. In principle, our focus is on two main compounds: Rd-B-Hydrazine-Ferrocene and Rd-B-Ferrocene. Here, we combine the fluorescent properties of stable xanthene-based dyes and the electroactive ferrocene unit that is linked to the xanthene core and study the optical and redox property of dyes. We were able to show reversibility in the UV and CV studies. A switchable change occurs between states when applying different potentials, as well as by pH and chemical oxidation. Future work will include an extension to changing the donor groups in the xanthene core to access a variety of colors.
**G-P63 MICROPLASTIC DETECTION IN CHICKEN MEAT: A NOVEL APPROACH USING HYPERSPECTRAL IMAGING AND DEEP LEARNING**
Rohini Maram¹, Seung-Chal Yoon², Sathish Samiappan¹
¹Mississippi State University, Mississippi State, MS, ²USDA
Microplastic contamination in food products is a growing environmental and health concern. This study presents a novel approach for the identification and classification of microplastics in chicken meat using hyperspectral imaging and 1D convolutional neural networks. Hyperspectral imaging provides detailed spectral information across a wide range of wavelengths, making it a valuable tool for the analysis of microplastics. In this study, we acquired hyperspectral images of chicken meat samples contaminated with known microplastic particles using the MicroHyperspec Ext-VNIR-HSI camera. The camera operates in the spectral range of 600-1700 nm, allowing for comprehensive spectral analysis of the samples. The dataset comprises 52 images collected from artificially implanted plastic samples found in chicken meat. It has 12 types of plastics, including PS, PP, PVC, PET, LDPE, HDPE, PUR, RUB, FAB, TEF, ABS, and NYL. These images provide valuable insights into the presence and characteristics of these artificially implanted plastic types within the chicken meat samples. Using a 1D CNN architecture, we employed deep learning to identify and classify microplastics. Through extensive training on a labeled dataset, the model learned to extract discriminative features from hyperspectral data, enhancing accuracy. Our results demonstrated the effectiveness and accuracy of our approach. The 1D CNN model achieved an accuracy of 95% in distinguishing microplastics from the surrounding meat tissue and accurately classifying the plastic types. The utilization of hyperspectral imaging combined with 1D CNNs proved to be a powerful and efficient technique for microplastic detection.
**G-P64 PRELIMINARY INVESTIGATION IN MODELLING AND SIMULATION OF POWER GRID BY USING PANDAPOWER**
*Saikrishna Sravanam, Ping Zhang, Lixin Yu*
*Alcorn State University, Lorman, MS*
Power system analysis tools are software applications used by engineers, researchers, and other professionals to simulate, analyse, and optimize power systems. These tools help in designing, testing, and maintaining electrical grids, ensuring their efficiency, reliability, and safety. One of the open-source tools that has gained prominence is pandapower. There are different steps to model a power grid by using pandapower: firstly, the network is created to supply the power, and then the buses are created according to the input given; then the external grid is created with maximum and minimum resistance values; and then the transformer is to be selected from the standard libraries or to be given by experimental values. The type of line and the distance between the lines need to be created. The above is the basic type of grid, but for a typical type of grid, we can also give the switches, generators, loads, different types of cables etc. From this investigation (survey) results, we can conclude that our preliminary investigations into the use of pandapower for grid calculations have demonstrated its potential as a valuable tool for analysing and modelling the power grid. The flexibility and ease of use offered by pandapower will enable us to simulate various scenarios, optimize grid performance, and identify areas for improvement. While the tool has some limitations, particularly in modelling dynamic phenomena such as the Ferranti effect, we are optimistic that future developments and enhancements will address these challenges. As a result, the use of pandapower in future research will contribute significantly to the advancement of the power grid, paving the way for a more efficient, reliable, and sustainable energy infrastructure in a region.
**G-P65 REVEALING INTERACTIONS BETWEEN SOYBEAN LOOPERS (*Chrysodeixis includens*) and chlorantraniliprole BY TRANSCRIPTOMITE ANALYSIS**
*Sena Ishibori, Lauren Catchot, Fred Musser, Seung-Joon Ahn*
*Department of Biochemistry, Molecular Biology, Entomology and Plant Pathology, Mississippi State University, Mississippi State, MS.*
Soybean loopers (*Chrysodeixis includens*) are a migratory pest of soybean and damages the crop causing defoliation. The pest annually migrates between the Central America and United States. Management of the pest has been successfully performed with diamides containing chlorantraniliprole and targeting ryanodine receptors over 15 years. However, the management with diamides has dealt with a decreased success rate in the crop fields in Puerto Rico (PR), which made us question resistance risk to diamides in the soybean loopers. Previously, we reported a mild resistance in a Puerto Rico soybean looper population to chlorantraniliprole. In this study, we focus on differences in gene expressions between the PR strain and the susceptible lab strain upon chlorantraniliprole exposure analyzing the transcriptome. Our current results show that several genes encoding detoxification enzymes such as cytochrome P450s, glutathione S-transferase, antimicrobial peptides, *takeout-like* proteins and cuticle proteins were upregulated in the PR strain. On the other hand, some genes encoding odorant receptors, regulatory proteins, and metabolic enzymes were downregulated. The analysis of the differentially-expressed genes (DEGs) is in progress; thus, further results will be discussed in detail later. Our future direction is to perform functional analyses to understand the roles of DEGs in diamide resistance of the soybean looper.
**G-P66 EXTENDING THE THREE-DIMENSIONAL CULTURE OF ADIPOCYTES THROUGH SURFACE COATINGS**
*Sheetal Chowdhury¹, Zaccaheus Wallace¹, Maggie Moore¹, Courtney A. Cates¹, Gene L. Bidwell², and Amol V. Janorkar¹*
¹Department of Biomedical Materials Science, School of Dentistry, ²Department of Neurology, School of Medicine University of Mississippi Medical Center, 2500 North State Street, Jackson, MS 39216.
Current *in vitro* culture techniques do not allow a gradual intracellular fat accumulation in the 3D arrangement of ADCSs over a long-term culture period and thus, fail to mimic the important features of progressing adiposity. Using coatings containing elastin-like polypeptide (ELP) and polyethylenimine (PEI), we have cultured adipocytes as three-dimensional (3-D) spheroids over a relatively long culture period >5 weeks. The next goal is to extend this culture period to 8 weeks by incorporating arginine-Glycine-Aspartic Acid (RGD), which stimulates cell adhesion on artificial surfaces, into the ELP-PEI coatings. ELP conjugated with RGD was obtained from genetically modified *E.coli* bacteria modified to express ELP-(RGD); and (RGD)-ELP via suspension culture. The ELP-RGD conjugates were modified with polyethylenimine (PEI, MW= 800 Da) and 5 mol% of 5 mg/mL conjugate was used to coat the well plates. Long-term culture was stimulated through a Frequent Media Change Assay developed in-house to determine which coating performs best for future long-term cultures. Using optical microscopy, we observed that ELP-(RGD)-PEI coating supported better spheroid retention with minimal spheroid loss during Frequent Media Change Assay. DNA Assay results revealed that ELP-PEI coating suffered a significant decrease in the DNA content after the 20 media changes (p < 0.05), indicating spheroid loss. There was no significant difference in DNA content before and after 20 media changes observed for ELP-(RGD)-PEI and (RGD)-ELP-PEI coatings (p > 0.05). The optical microscopy and DNA assay data for Frequent Media Change Assay revealed that ELP-(RGD)-PEI coating supported better spheroid retention with minimal spheroid movement.
**G-P67 PIGMENT TRANSPORTER MUTAGENESIS USING CRISPR/Cas9 IN THE SOYBEAN LOOPER (*Chrysodeixis includens*)**
*Sujin Lee, Seung-Joon Ahn*
*Department of Biochemistry, Molecular Biology, Entomology and Plant Pathology, Mississippi State University, Mississippi State, MS.*
Pigment transporter genes have been used as visible markers or classic genetic studies to create genetic control for destructive crops pests. CRISPR/Cas9 technology has significantly advanced research on non-model organisms, but it has not been successful in gene
editing for the soybean looper, *Chrysodeixis includens*, due to the limited genomic information and embryonic microinjection techniques. Here we report a heritable knockout mutagenesis in a pigment transporter gene, *scarlet*, in *C. includens* using CRISPR/Cas9-mediated genome editing. The *scarlet* locus identified in a genome assembly of *C. includens* consists of 14 exons and extends for 1,986 bp. Two small guide RNAs (sgRNAs) were designed to target the first exon of *scarlet*. Micronjection of Cas9 protein and two sgRNAs into embryos successfully produced variable phenotypes with mutant eyes, accounting for about 16% of mutation ratio. Genotype analysis revealed different indel mutations at the target site, resulting in a premature stop codon by frameshift. Single-pair mating of the mutant moths produced G1 offspring, and the homozygous mutant strain was established in G2. The mutant moths exhibited lightly pigmented compound eyes in both sexes, suggesting that *scarlet* may serve as a visible phenotypic marker for the tool. Our results provide the first successful case that the CRISPR/Cas9-mediated genome editing effectively induces mutations in *C. includens*, an economically important pest species in the Southern United States.
**G-P68 ROLE OF SMALL PEPTIDES IN REGULATING RICE RESPONSES TO DROUGHT**
*Taiwo Abifarin, K. Raja Reddy, Jiaxu Li*
*Mississippi State University, Mississippi State, MS*
Abiotic stresses such as heat, drought and salinity are main factors limiting crop production. Improving plant resilience to stress are key to sustainable and future agricultural productivity. A significant part of the cell-to-cell communication in plants is mediated by small signaling peptides. Recently, small signaling peptides have emerged as an important class of regulatory molecules in plants involved in the control of plant growth and development. However, the involvement in small peptides as regulatory molecules in abiotic stress responses remains to be determined. In this study, we examined the effects of drought stress on the expression of small proteins/peptides. Small proteins/peptides were extracted from the leaves and roots of rice plants subjected to drought stress as well as from the control plants. The extracted proteins/peptides were separated by tricine-sodium dodecyl sulphate polyacrylamide gel electrophoresis. Two peptides were found to be up-regulated by drought stress. The amino acid sequences of the up-regulated drought-responsive peptides were analyzed by mass spectrometry-based de novo sequencing. These results suggest that drought-responsive peptides may play an important role in drought stress perception and response. Further functional analysis of the drought-responsive peptides will elucidate their roles in drought adaptation and tolerance in rice.
**G-P69 CATFISH CUTTING AUTOMATION THROUGH COMPUTER VISION AND DEEP LEARNING**
*Thevathavarajh Thayanathan*, Xin Zhang*, Wenbo Liu*a, Yanbo Huang*, Nuwan K. Wijewardane*a
*aDepartment of Agricultural and Biological Engineering, Mississippi State University, Mississippi State, MS 39762, USA.*
*bCoastal Research and Extension Center, Mississippi State University, Pascagoula, MS 39567, USA.*
*cUnited States Department of Agriculture – Agricultural Research Service, Genetics and Sustainable Agriculture Research Unit, Mississippi State, MS 39762, USA.*
Mississippi is one of the top four states producing catfish in the United States, along with Alabama, Arkansas, and Texas. Catfish is enriched in protein with good taste, and its production contributes greatly to the development of the local economy. Catfish processing steps include stunning, washing, de-heading, gutting, filleting, skinning, portioning, trimming, and grading, which are crucial before letting them go to the market. Most of these steps are manual and involve blade-based devices to handle, which may lead to catfish meat contamination and/or wastage ending in a low yield of final products. Automated catfish cutting is potentially a promising solution with less or zero human involvement to tackle the issues. This study presents a novel computer vision-based approach for the automated catfish cutting process that the catfish body parts are segmented using deep learning and semantic segmentation. In total, 396 raw and augmented images were utilized as the train, validation, and test data sets with five state-of-the-art deep learning models, including PSPNet, BEiTv1, SegFormer-B0, SegFormer-B5, and ViT-Adapter. The background, body, head, fins, and tail of catfish were the five pre-defined and labeled classes to guide the automated cutting system to the regions of interest. Overall, SegFormer-B5 outperformed the other four models with 89.2% of mean intersection-over-union (mIoU) and 96.4% of mean pixel accuracy, whereas ViT-Adapter dominated with 98.9% of pixel-wise accuracy in the test set. The inference speed of SegFormer-B5 was 0.278 sec per image, which could be implemented in near real-time for the cutting system.
**INVESTIGATOR POSTER (I-P)**
**I-P70 EXPLAINABLE ARTIFICIAL INTELLIGENCE FOR CORN YIELD PREDICTION USING UAV MULTISPECTRAL DATA**
*Chandan Kumar, Jagman Dhillion, Yanbo Huang, Krishna Reddy*
*Department of Plant and Soil Sciences, Mississippi State University, Starkville, MS*
Crop yield prediction is crucial for agricultural management and food security. Conventional approaches of yield estimation are time-consuming and cost-ineffective. Explainable Artificial Intelligence (XAI) coupled with remotely sensed data from different platforms have been successfully used to predict crop yields. Conventional Machine Learning (ML) Models are often criticized due to their ‘black box’ nature, which makes it difficult to understand how they make predictions. This study develops XAI models to predict corn yield using multispectral data acquired using Unmanned Aerial Vehicle (UAV). Twenty-four different vegetation indices (VIs) were derived from two corn fields located in Starkville and Brooksville, Mississippi, at the vegetative stage (V6) to identify the most suitable VIs. Different algorithms such as K-Nearest Neighbor (KNN), Principal Component Regression (PCR), Random Forest (RF), Support Vector Machine (SVM), and Neural Networks (NN) and their ensembles were evaluated to develop robust XAI models to accurately predict corn yield with explainability. Simplified Chlorophyll Content Index (SCCI), Transformed Chlorophyll Absorption Reflectance Index (TCARI), and Normalized Difference Red Edge Index (NDRE) were among the most suitable VIs in predicting corn yield. The ensemble of SVM, RF, and NN significantly achieved higher accuracy ($R^2 = 0.84–0.86$ and RMSE = 1.03–1.2 Mg/ha) than the individual ML models ($R^2 = 0.65–0.67$ and RMSE = 1.54–1.59 Mg/ha). Local and global methods of model explanation such as permutational variable importance, partial dependence profiles, ceteris paribus profiles, and residual plots were employed to understand the performance of developed XAI models.
**I-P71 EFFECT OF FLOODING ON THE METABOLISM OF QUINOA AND AMARANTH**
*Fernanda Reolon de Souza*, Bruna Paschoal da Silva*, Stefânia Nunes Pires*, Darrin Dodds*, Sidney Deumer*, Raju Bheemanahalli*
*¹Department of Plant and Soil Science, Mississippi State University, Mississippi State, MS, USA.*
*²Department of Botany, Federal University of Pelota*
Climate change-induced alterations in the distribution and volume of precipitation are resulting in potential pressures on food security, as the traditional cropping patterns are becoming less reliable. In this
context, it is essential to understand how plants respond to these changes. Thus, the present work aimed to investigate the effect of flooding on the metabolism of amaranth cv. BRS Alegría and quinoa cv. BRS Piabiru. An experiment was carried out in a greenhouse using a completely randomized design with ten replicates per treatment. The plants were subjected to flooding in the transition from the vegetative and reproductive phase for periods of 48-hour and 96-hour flooding treatment-induced changes or 72 hours following soil drainage (recovery) in (i) photosynthetic pigments, (ii) net CO$_2$ assimilation and other gas exchange-related parameters, and (iv) activities of antioxidant enzymes (superoxide dismutase (SOD), ascorbate peroxidase (APX), and catalase (CAT)) were quantified in addition to peroxide content and lipid peroxidation in shoots and roots. The results show that for both C3 and C4 species, the content of chlorophyll $a$ and chlorophyll $b$ remained similar to the control, while the content of carotenoids was reduced even after recovery. There was a reduction in net photosynthesis, stomatal conductance, and internal CO$_2$ concentration in both species during the flooding and recovery periods, however, quinoa plants had a more pronounced reduction compared to Amaranth. Reactive oxygen species (ROS) production increased significantly across both species and treatment periods, while the antioxidant system differed across species and organs. At 96 hours after flooding, both amaranth and quinoa showed increased antioxidant activity, primarily in APX and CAT, whereas on recovery, roots showed CAT and SOD values similar to controls for quinoa plants. A significant metabolic change was observed in both species during 48 and 96 hours of flooding since ROS production was high in all conditions. During the recovery process, both species were able to maintain gas exchange and combat ROS by sustaining pigments similar to the control. This was possible by the maintenance of the activity of antioxidant enzymes, which proved to be superior to the control even after the recovery period. Therefore, we can infer that both amaranth and quinoa’s antioxidant systems are capable of preventing oxidative damage that might compromise productivity.
**I-P72 ROBUST UNSUPERVISED DOMAIN ADAPTATION FOR EXTRACAPSULAR EXTENSION IDENTIFICATION IN HEAD AND NECK CANCER**
*Yibin Wang¹, William N. Duggar², Toms V. Thomas², Paul Roberts², Haifeng Wang¹*
¹Mississippi State University, Mississippi State, MS. ²University of Mississippi Medical Center, Jackson, MS
Obtaining ground-truth label information from real-world medical image data along with uncertainty quantification can be challenging or even infeasible. In the absence of labeled data for a certain medical image analysis task, unsupervised domain adaptation (UDA) techniques have shown great accomplishment by learning transferable knowledge from labeled source domain data and adapting it to unlabeled target domain data. In this research, we proposed a distributionally robust unsupervised domain adaptation (DRUDA) method to enhance an explainable machine learning model. We investigated its application to extracapsular extension (ECE) identification in head and neck cancer using computed tomography (CT) imaging. Distributionally robust learning (DRL) is emerging as a high-potential technique for building reliable and generalized machine learning systems that are robust to distribution shifts. In this study, the proposed DRL-based UDA learning scheme is formulated as a min-max optimization problem by optimizing worst-case perturbations of the training source data. In addition, a gradient mapping-guided explainable network (GMGENet) is proposed to identify the occurrence of ECE. In a joint training process, informative volumes of interest (VOIs) are automatically extracted without labeled lymph node region information. The adaptation from private data to public data is performed. The proposed DRUDA-enhanced GMGENet achieved 78.1% AUC and yielded an improvement compared to adaptation-free performance. The robust adaptation technique shows potential in transferring knowledge across different data sources and detecting the extension by providing intermediate heatmaps for clinical validation. The distributions of the extracted features with and without domain adaptation are compared. We demonstrate that the proposed DRUDA improves transfer performance on target domains for the 3D image analysis task. This research enhances the understanding of distributionally robust optimization in domain adaptation and is expected to advance the current unsupervised machine learning techniques. The outcome of this study will contribute to future practical implementations in head and neck cancer computer-aided diagnosis.
**I-P73 SURVEY ON CHAT GPT AND ITS APPLICATIONS**
*John Afolabi, Ping Zhang, Lixin Yu*
*Alcorn State University, Lorman, MS*
ChatGPT is a new artificial intelligence technology-driven natural language processing tool launched by OpenAI, an American artificial intelligence research laboratory. It uses the transformer neural network architecture, which is a model for processing sequence data with language understanding and text generation capabilities. In particular, it will train language or text models by connecting a large number of corpora, and it can also interact according to the context of the chats which is almost the same as a real human being. In this comprehensive survey, the Chat GPT development tree is introduced. The first version of GPT-1 was released in 2018; then Chat GPT 4 has been implemented in 2023, which is cutting-edge technology in the artificial intelligence and search engine. According to our survey, Chat GPT 4 has the following good features: 1-Visual Input Options: it can understand and analyze image input. 2- Higher Word limit: GPT-4 is capable of processing texts longer than 25,000 words, making it suitable for a variety of use cases. 3- Advanced Reasoning Skills: GPT-4 has outstanding performance in natural language understanding (NLU) ability and problem-solving ability. 4- Adjustment to Inappropriate Requests. GPT-4 has 82% lower response rate to requests for disallowed and sensitive content. 5-Guidability: Guiding ability is a concept in artificial intelligence that refers to its ability to modify its behavior as needed. 6- Fact-based Responses: GPT-4 is more likely to generate fact-based responses than the previous version. In this presentation, the disadvantages of Chat GPT 4 are also discussed. According to our literature survey, the Chat GPT-wide applications include, but not limited to customer service, healthcare, education, finance, E-commerce, human resources, legal, social media, and entertainment will be presented. The future development of Chat GPT is discussed in the presentation.
**I-P74 GENOME-WIDE ASSOCIATION STUDIES OF MORPHO-PHYSIOLOGICAL AND YIELD TRAITS IN SOYBEAN**
*Lekshmy V Sankarapillai¹, Purushothaman Ramamoorthy¹, Ranadheer Reddy Vennam¹, Sadikshya Poudel¹, K. Raja Reddy¹, Salliana R. Stetina², Raju Bheemanahalli¹*
¹Department of Plant and Soil Sciences, Mississippi State University, Mississippi State, MS, 39762, USA ²USDA-ARS Crop Genetics Research Unit, Stoneville, MS 38776, USA
Soybean plant architecture is an important agronomic characteristic for determining yield, and genotypes vary for morpho-physiological traits. Studies have shown that reproductive-stage biomass-related traits during reproductive development correlate with yield potential. Because the plants which produce higher vegetative biomass (source), tend to allocate more resources to developing reproductive structures (sink) such as pods and seeds. Therefore, this study focused on mapping genetic loci associated with morpho-physiological and yield traits in soybean under rainfed conditions. We explored natural variation in pigments and morphological traits using 457 soybean accessions from different maturity groups under field conditions. Our findings showed a substantial diversity index (H') across all traits, including flavonoid (6.12) and anthocyanin (6.12) indices, as well as the number of nodes, nitrogen balance index, and chlorophyll content (6.11), indicating significant natural variability. Reproductive-stage biomass was positively correlated
\textit{p} < 0.001) with plant height (\textit{r} = 0.43), node number (\textit{r} = 0.59), and pod number (\textit{r} = 47), while chlorophyll content was negatively correlated (\textit{r} = -0.53) with specific leaf area. To identify significant genetic loci associated with these traits, we conducted a genome-wide association study (GWAS). Twenty-six loci were significantly associated with anthocyanin (4) and flavonoid indices (9), plant height (2), and pod numbers (11). Further, the haplotypes associated with these traits are mined to identify potential candidate genes. These haplotypes could be helpful for trait-based breeding programs to improve soybean yield and morpho-physiological characteristics.
**I-P75 In situ Diffuse Reflectance IR Spectroscopy Investigation of CO Adsorption over Mesoporous Pt-Ceria**
\textit{Lingyiqian Luo, Fei Yu}
Mississippi State University, Mississippi State MS
Carbon monoxide (CO) is a widely used probe molecule for the characterization of catalysts. CO adsorption and activation over platinum group metals (i.e., Pt, Pd, Ir, Ru, Rh) and/or transition-metals are key steps in catalysis and serve as a reference for surface science and computational catalysis. Since Ceria has high surface area and excellent oxygen storage capacity it is commonly used as a catalyst or catalyst promoter. Moreover, the ordered mesoporous ceria doped with metal is found to exhibit superior physicochemical property and catalytic activity. Here, we compare CO adsorption spectra, including CO carbonyl, formate and carbonate peaks evolution on mesoporous Pt-ceria synthesized from silica templates including SBA-15, KIT-6, and COK-19 and investigate the pore structure effect, by \textit{in situ} diffuse reflectance IR spectroscopy (DRIFTS) as a function of temperature. Ceria without template was also synthesized and studied as a control. It was shown that catalyst synthesized from the SBA-15 template has a larger integrated area of the Pt - CO\textsubscript{ads} region than the KIT-6 and COK-19 counterparts, suggesting that ceria made from SBA-15 template is more efficient in maintaining the larger amount of metal sites and more stable carbonate species than the material made from KIT-6 and COK-19 template and without template. It is concluded that CO adsorption will serve as a reference for future CO-involved reactions such as water-gas shift reaction, CO oxidation and hydrogenation.
**I-P76 Comparative Assessment of Morphological and Molecular Genetic Diversity among Pole Bean (\textit{Phaseolus vulgaris L.}) Genotypes**
\textit{Vijayashree\textsuperscript{1}, Meenakshi Sood\textsuperscript{1}, Lakshmidevamma TN\textsuperscript{1}, B. Fakrudin\textsuperscript{1}, K Raja Reddy\textsuperscript{2}}
\textsuperscript{1}College of Horticulture, University of Horticulture Sciences Campus, GKVK Post Bengaluru-560065, Karnataka, India. \textsuperscript{2}Department of Plant and Soil Sciences Mississippi State University, Mississippi State, MS, USA
Pole bean (\textit{Phaseolus vulgaris L.}) is an important leguminous crop used as a fresh vegetable as well as a seed. We investigated 125 pole bean genotypes for 24 quantitative traits. We used genetic divergence analysis using the K-means clustering and identified seven distinct clusters of the genotypes studied. Cluster VI was the largest with 31 genotypes followed by Cluster VII (28 genotypes), cluster I (22 genotypes), cluster III (19 genotypes), and Cluster V (18 genotypes), whereas Clusters II, and IV were the smallest (5 genotypes). The maximum and minimum intra-cluster distance was observed in cluster II (6.93) and cluster IV (5.05), respectively. Inter-cluster distance revealed clusters II and III (10.23) as the most divergent clusters followed by clusters I and VII (6.20). Molecular characterization of pole bean genotypes using simple sequence repeat (SSR) primers revealed a mean allelic frequency of 0.50 with a range of 0.35 to 0.90. The number of alleles amplified varied from 2 (PV-at001) to 7 (BM154) with an average of 4.35 alleles per marker. Correspondingly, molecular genetic diversity ranged from 0.19 to 0.75 with a mean value of 0.61 and the polymorphism information content (PIC) value ranged from 0.17 to 0.72 with an average of 0.55. Dendrogram using SSR data clustered the genotypes into two major clusters viz., cluster I and cluster II which were further subdivided into four and two sub-clusters, respectively. Assessment of the clustering patterns using morphological and molecular data revealed similarity in genotype grouping to a certain extent.
**I-P77 Temperature and Elevated CO\textsubscript{2} Alter Soybean Seed Yield and Quality and Exhibit Transgenerational Effects on Seed Emergence and Seedling Vigor**
\textit{Nafthaz Theneveetti\textsuperscript{1}, Krishna N. Reddy\textsuperscript{2}, Raju Bheemnalahalli\textsuperscript{1}, Wei Gao\textsuperscript{3}, K. Raja Reddy\textsuperscript{1}}
\textsuperscript{1}Department of Plant and Soil Sciences, Mississippi State University, Mississippi State, MS. \textsuperscript{2}USDA-ARS, Crop Production Systems Research Unit, 141 Experiment Station Road, P.O Box 350, Stoneville, MS. \textsuperscript{3}USDA UVB Monitoring and Research Program, Natural Resource Ecology Laboratory, and Department of Ecosystem Science and Sustainability, Colorado State University, Fort Collins, CO
Environmental conditions play a prime role in the reproductive performance of plants, and they can extend into their progenies. A study was conducted to examine the effect of temperature and CO\textsubscript{2} on seed yield and quality of two soybean cultivars (DS25-1 and DS31-243) in sunlit plant growth chambers and to check their transgenerational effects on seed emergence and seedling vigor. Three temperatures, 22/14°C (low), 30/22°C (optimum), and 38/30°C (high), and two CO\textsubscript{2}: 410 (ambient) and 720 ppm (elevated (eCO\textsubscript{2})) were selected for the study. Significant temperature, CO\textsubscript{2}, and genotype differences were recorded among all the measured yield attributes. At high temperatures, the total seed dry weight and 100 seed weight were less than the low and optimum temperatures in both cultivars. In all three temperature treatments, the cultivars performed better under eCO\textsubscript{2}. Across the treatments, DS25-1 had higher seed yield-related traits than DS31-243. The F\textsubscript{1} generations also followed a similar pattern as the seed yield of the parental generation, giving the highest maximum seed emergence, lesser time to 50% emergence, and higher seedling vigor from parents grown at low and optimum temperatures under eCO\textsubscript{2}. Despite the temperature treatments, DS25-1 exhibited higher emergence and vigor parameters under eCO\textsubscript{2}. However, DS31-243 showed lower characteristics under high temperatures at eCO\textsubscript{2} than at ambient. Our findings suggest that parental stress can have a significant impact on the development of offspring plants. This indicates that epigenetic regulation or memory repose may be at play. Therefore, growing plants under optimal temperatures may be beneficial for soybean producers to guarantee seed quality and seedling vigor.
**I-P78 Cover Crop and Poultry Litter Treatments Enhance Soil Microbial Community Structure and Function in a Dryland Soybean Production System**
\textit{Nisarga Kodadinne Narayana\textsuperscript{1}, William L. Kingery\textsuperscript{2}, Mark W. Shankle\textsuperscript{1}, Shankar Ganapathi Shanmugam\textsuperscript{1,2}}
\textsuperscript{1}Institute for Genomics, Biocomputing and Biotechnology, Mississippi State University, Starkville, MS 39762, USA. \textsuperscript{2}Department of Plant and Soil Sciences, Mississippi State University, Starkville, MS 39762, USA. \textsuperscript{3}Pontotoc Ridge-Flatwoods Branch Experiment Station, North Mississippi Research and Extension Center, 8320, Hwy 15 South, Pontotoc, MS 38863, USA
Soil microbial communities are critical for maintenance of soil fertility. Soil management practices enhance the microbiota, which promotes soil health. However, the soil microbial communities differ under different soil management practices. Using different cover crop and fertilizer source treatments in dryland soybean production systems, we investigated how these management practices influence soil microbial diversity and community composition in soil samples collected in 2019 and 2022. Amplicon sequencing of bacterial and fungal genes were carried out using the
16S rRNA and ITS2 fragments, respectively. We analyzed and compared the microbial alpha and beta diversity indices across the years. Significant differences were observed in richness and diversity between 2019 and 2022. Specifically, 2022 had higher richness and diversity than 2019. Bacterial and fungal community structures were significantly different and showed a distinct cluster for both years. In 2019, cereal rye showed higher bacterial richness, and wheat showed lower bacterial and higher fungal richness than other cover crops in both years. For the fertilizer treatments, bacterial species richness and diversity were significantly higher in poultry litter compared to inorganic fertilizer in 2019 and 2022. While no differences were observed in fungal diversity. Cover crops and poultry litter promoted a greater abundance of beneficial microbial phyla in both years. Vetch and wheat exhibited the highest abundance of N-fixing bacterial genera, while native vegetation showed the lowest abundance. These differences in the soil microbial communities suggest that the use of management practices promoted a beneficial soil microbiome essential for maintaining soil health in dryland soybean production.
**High School Poster (HS-P)**
**HS-P79 A BRIEF REVIEW OF THE PATHOPHYSIOLOGY, SIGNS AND SYMPTOMS, DIAGNOSIS, AND TREATMENT OF HASHIMOTO’S THYROIDITIS**
*Lillian Hamil¹, Lamar Hamil², Kenneth Butler³*
¹Mendenhall High School, ²Bellhaven University, ³University of Mississippi Medical Center
The purpose of this project was twofold: (1) to review the current body of knowledge on the pathophysiology, diagnosis, treatment, outcomes, and future considerations for research on Hashimoto’s thyroiditis, and (2) to evaluate the encounters of Hashimoto’s disease over the past ten years at the University of Mississippi Medical Center (UMMC) from 2013-2023. Hashimoto’s thyroiditis is an autoimmune disorder where the immune system makes antibodies that attack the thyroid gland. Hashimoto’s thyroiditis (aka Hashimoto’s disease) occurs in 5 out of 100 Americans and is the most common cause of hypothyroidism in the US. Many people with Hashimoto’s disease have no symptoms until the disease progresses into later stages. Early in the disease, the thyroid may enlarge and release higher levels of thyroid hormone resulting in hyperthyroidism. As the disease progresses, hypothyroidism ensues as more damage to the thyroid occurs. The most common signs and symptoms include fatigue, weight gain, cold intolerance, joint and muscle pain, constipation, dry skin, dry thinning hair, heavy or irregular menstrual periods, infertility, and slow heart rate. Risk factors include female sex, family history, other autoimmune diseases, history of certain viral infections, pregnancy, excessive iodine intake, poor psychological well-being, and radiation exposure. The diagnostic workup for Hashimoto’s thyroiditis includes thyroid function tests (TSH, free thyroxine (fT4)) to confirm a hypothyroid state. Coupled with thyroid peroxidase antibodies (TPO), the diagnosis of Hashimoto’s thyroiditis can be confirmed. Thyroid ultrasound is often used to detect a goiter or nodules. Treatment includes pharmacologic therapy with levothyroxine (standard dose = 1.6-1.8 mcg/kg/day) to restore the euthyroid state. Patients >50 years of age are treated with 25 mcg/day with reevaluation in 6-8 weeks. Patients undergo thyroidectomy in the later stages of the disease because of higher cancer risk. Current clinical trials are exploring dietary supplementation, laser light therapy, Identity Oriented Psychotrauma Therapy (IOPT), and Eye Movement Desensitization and Reprocessing (EMDR). Future research should include therapies targeted at the pathophysiological autoimmune mechanisms causing the disease. Encounters at UMMC were investigated for age, race, and gender. The results show significant number of encounters from age 8-19 with the peak encounters occurring around ages 14-16. The literature shows that average onset when Hashimoto’s is detected is approximately 40 years of age. The predominance of the disease is found in whites (75%) and in women (77%), which is similar to the literature. Additional studies are needed to determine if earlier detection is seen in other regions of the country.
EXHIBITORS
Benchmark Scientific
Thomas Scientific
MCE®
MedChem Express
HALYARD
eppendorf
IAE International Academic Express
|
Joint LUMEN International Scientific Conferences
International Online Scientific Conference
LUMEN 5th edition
November 26th, 2021
Education, Quality & Sustainable Development
Bucharest & Târgoviște & online worldwide
November 26th
Bucharest & Târgoviște &
online worldwide
Communicative Action & Transdisciplinarity in the Ethical Society
November 26th 2021
8th Central & Eastern European LUMEN NASHS
International Scientific Conference
New Approaches Social in Humanistic Sciences
Bucharest & Târgoviște, Romania & online worldwide
November 26, 2021
Program
www.edituralumen.ro
www.lumenpublishing.com
Research Center in Social and Humanistic Sciences
www.lumenresearchcenter.ro
LUMEN CONFERENCE CENTER
in elita editorilor românești
UNEFIS
Departamentul pentru Pregătirea Personalului Didactic
LUMEN
LUMEN
in elita editorilor românești
LUMEN
LUMEN
in elita editorilor românești
Draft Program of the joint LUMEN Online International Scientific Conferences
- 5th LUMEN EDU International Online Scientific Conference | Education, Quality & Sustainable Development | LUMEN EDU 2021 | November 26th, 2021 | Bucharest & Targoviste, Romania & online worldwide [http://education.lumenconference.com/](http://education.lumenconference.com/)
- 16th LUMEN International Online Scientific Conference | Communicative Action & Transdisciplinarity in the Ethical Society | LUMEN CATES 2021 | November 26th, 2021 | Bucharest & Targoviste, Romania & online worldwide [http://conferinta.info/](http://conferinta.info/)
- 8th CEE LUMEN International Scientific Conference | New Approaches in Social and Humanistic Sciences | LUMEN CEE NASHS 2021 | November 26th, 2021 | Bucharest & Targoviste, Romania & online worldwide [https://lumen.international/](https://lumen.international/)
Pre-Conference Day | Thursday, November 25th, 2021
Conference Day | Friday, November 26th
Main Organizers & Co-organizers | 5th LUMEN EDU International Online Scientific Conference | Education, Quality & Sustainable Development
LUMEN EDU 2021
- LUMEN Media SRL, Iasi | ROMANIA
- LUMEN Media Ltd., London | UNITED KINGDOM
- LUMEN Conference Center, Iasi | ROMANIA
- LUMEN Research Center in Social and Humanistic Sciences, Iasi | ROMANIA
- LUMEN Publishing House, Iasi | ROMANIA
- LUMEN Consultancy & Training Center, Iasi | ROMANIA
- Teacher Training Department, “Valahia” University of Targoviste, Romania
- National University of Physical Education and Sports, Bucharest | Romania
- YouTube Channel Editura LUMEN
Partners |
- “Valahia” University of Targoviste, Faculty of Political Sciences, Letter and Communication, Targoviste | ROMANIA
- Free International University of Moldova (ULIM) | REPUBLIC of MOLDOVA
- Faculty of Law & Administrative Sciences, “Stefan cel Mare” University from Suceava | ROMANIA
- Romanian Association of Medical Law, Iasi | ROMANIA
- State University of Physical Education and Sports, Chișinău | REPUBLIC of MOLDOVA
- Research Center for Applied Ethics| Faculty of Philosophy, University of Bucharest | ROMANIA
- National Association of Social Workers| Iasi Branch | ROMANIA
- Higher Education Research and Consulting Company | SUA
- Grow More College of Education, Himatnagar, Gujarat | INDIA
- Faculty of Physical Education and Sports within the “Alexandru Ioan Cuza” University of Iasi | ROMANIA
- Faculty of Business and Industrial Management of the “Union – Nikola
• “Ferenc József” University of Technology and Economics, Budapest (FBTE) | HUNGARY
• “Gheorghe Asachi” Technical University in Iasi | ROMANIA
• “Gheorghe Mihoc-Caius Iacob” Institute of Mathematics of Romanian Academy, Bucharest | ROMANIA
• “Gheorghe Titeica” University of Bucharest (FBIM) | ROMANIA
• “Gheorghe Vrinceanu” University of Oradea (FBIM) | ROMANIA
• “Ivan Vazir” University of Belgrade (FBIM) | SERBIA
• Romanian Unit of UNESCO Chair in Bioethics, “Babes-Bolyai”, Cluj-Napoca | ROMANIA
• University “Babes-Bolyai” from Cluj-Napoca | ROMANIA
• Academy of Sciences of Moldova | REPUBLIC of MOLDOVA
• State University of Physical Education and Sport, Chisinau | REPUBLIC of MOLDOVA
• “Petre Andrei” University from Iasi | ROMANIA
• “Al. I. Cuza” University from Iasi, Faculty of Philosophy and Social and Political Sciences, Iasi | ROMANIA
• University of Hradec Kralove | CZECH REPUBLIC
• Institute of Pedagogy of the National Academy of Educational Sciences | UKRAINE
• Mukachevo State University | UKRAINE
Committees |
Organizing Committee |
Co-Directors |
• Gabriel GORGHIU
Prof. Ph.D., Training Teachers Department, “Valahia” University of Targoviste (ROMANIA)
• Antonio SANDU
Prof. Ph.D. Hab., “Stefan cel Mare” University of Suceava (ROMANIA)
Executive Board |
• Laura Monica GORGHIU
Assoc. Prof. Ph.D., “Valahia” University of Targoviste (ROMANIA)
• Ana FRUNZĂ
Conferences Coordinator – LUMEN Conference Center; Lect. Ph.D. Researcher III, LUMEN Research Center, Iasi (ROMANIA);
• Bianca SANDU
Managing Editor at LUMEN Publishing House (ROMANIA);
• Roxana STRATULAT
LUMEN PR Department & LUMEN Conference Center, Iasi (ROMANIA);
• Alexandra HUIDU
Managing Editor at LUMEN Publishing House (ROMANIA);
• Elena UNGURU (GAFTON),
LUMEN Research Center in Social and Humanistic Sciences, Iasi (ROMANIA);
• Izabela BUCĂTARU,
LUMEN PR Department & LUMEN Conference Center, Iasi (ROMANIA);
Conference Committee |
• Prof. Ph.D. Antonio SANDU – “Stefan cel Mare” University of Suceava, ROMANIA;
• Assoc. Prof. Ph.D. Ana Maria Aurelia PETRESCU – Teacher Training Department, “Valahia” University of Targoviste, ROMANIA;
• Lect. Ph.D. Iulian APOSTU – The University of Bucharest, Bucharest, ROMANIA;
• Prof. Ph.D. Gabriel GHITESCU, National University of Physical Education and Sport, Bucharest, ROMANIA;
• Prof. Ph.D. Carmen NASTASE – “Stefan cel Mare” University of Suceava / Suceava, ROMANIA;
• Assoc. Prof. Ph.D. Camelia Maria Cezara IGNATESCU- “Stefan cel Mare” University of Suceava / Suceava, ROMANIA;
• Assoc. Prof. Ph.D. Otilia CLIPA – “Stefan cel Mare” University of Suceava, ROMANIA;
• Prof. Ph.D. Arup BARMAN – Deptt. of Business Administration, Assam University, INDIA; Ph.D., Post Doc, AMT (AIMA), F-IRATDE, Germany), FCE (Consortium Euro American)
• Assoc. Prof. Ph.D. Simona DAMIAN – Assoc. Prof. Ph.D., Chief of scientific works, “Gr. T. Popa” University of Medicine and Pharmacy, Iasi; Forensics MD, Institute of Forensic Medicine, Iasi, ROMANIA;
• Prof. Ph.D. Svetlana RUSNAC – Free International University of Moldova | REPUBLIC OF MOLDOVA;
• Lect. Ph.D. Nadejda GAGEA – Free International University of Moldova | REPUBLIC of MOLDOVA
• Ph.D. Roxana NECULA – President of the territorial department of CNASR Iasi, ROMANIA; Ph.D. Assoc.d Prof. at University „Alexandru Ioan Cuza” Iasi, Department of Philosophy and Social Sciences and Department of Psychology and Educational Sciences, Romania; Assoc.d researcher – LUMEN Research Center in Social and Humanistic Sciences, Iasi, ROMANIA;
• Ph.D. Loredana TEREC-VLAD – “Stefan cel Mare” University of Suceava, ROMANIA;
• Ph.D. Lukas VALEK – Ing. Ph.D., Assistant Prof. University of Economics and Business Prague, Faculty of Business Administration, Department of
Entrepreneurship, Czechia, CZECH REPUBLIC;
- Ph.D. Candidate Alin SAFTEL, National University of Physical Education and Sport, Bucharest, ROMANIA;
- Assoc. Prof. Ph.D. Luminița Mihaela DRĂGHICESCU – Teacher Training Department, “Valahia” University of Targoviste, ROMANIA;
**Organizing Team**
- Loredana TEREC- VLAD, Ph.D., “Stefan cel Mare” University of Suceava, ROMANIA;
- Roxana NECULA, Ph.D. – President of the territorial department of CNASR Iasi, ROMANIA; Ph.D. Assoc.d Prof. at University „Alexandru Ioan Cuza” Iasi, Department of Philosophy and Social Sciences and Department of Psychology and Educational Sciences, Romania; Assoc.d researcher – LUMEN Research Center in Social and Humanistic Sciences, Iasi, ROMANIA;
- Lect. Ph.D. Ioana STĂNCESCU – Teacher Training Department, “Valahia” University of Targoviste, ROMANIA;
- Lect. Ph.D. Elena Ancuța SANTI – Teacher Training Department, “Valahia” University of Targoviste, ROMANIA;
- Lect. Ph.D. Cosmin SANTI – “Valahia” University Targoviste, ROMANIA;
Main Organizers & Co-organizers | 16th LUMEN International Online Scientific Conference | Communicative Action & Transdisciplinarity in the Ethical Society | LUMEN CATES 2021 | November 26th, 2021
- LUMEN Media SRL, Iasi | ROMANIA
- LUMEN Media Ltd., London | UNITED KINGDOM
- LUMEN Conference Center, Iasi | ROMANIA
- LUMEN Research Center in Social and Humanistic Sciences, Iasi | ROMANIA
- LUMEN Publishing House, Iasi | ROMANIA
- LUMEN Consultancy & Training Center, Iasi | ROMANIA
- “Valahia” University of Targoviste, Faculty of Political Sciences, Letter and Communication, Targoviste | ROMANIA
- National University of Physical Education and Sports, Bucharest | Romania
- YouTube Channel Editura LUMEN
Partners |
- Free International University of Moldova (ULIM) | REPUBLIC of MOLDOVA
- Faculty of Law & Administrative Sciences, “Stefan cel Mare” University from Suceava | ROMANIA
- Romanian Association of Medical Law, Iasi | ROMANIA
- State University of Physical Education and Sports, Chișinău | Moldova
- Research Center for Applied Ethics| Faculty of Philosophy, University of Bucharest | ROMANIA
- National Association of Social Workers| Iasi Branch | ROMANIA
- Higher Education Research and Consulting Company | SUA
- Grow More College of Education, Himatnagar, Gujarat | INDIA
- Faculty of Physical Education and Sports within the “Alexandru Ioan Cuza” University of Iasi | ROMANIA
- Faculty of Business and Industrial Management of the “Union – Nikola Tesla” University in Belgrade (FBIM) | SERBIA
• Romanian Unit of UNESCO Chair in Bioethics, “Babes-Bolyai”, Cluj-Napoca | ROMANIA
• University “Babes-Bolyai” from Cluj-Napoca | ROMANIA
• Academy of Sciences of Moldova | REPUBLIC of MOLDOVA
• State University of Physical Education and Sport, Chisinau | REPUBLIC of MOLDOVA
• “Petre Andrei” University from Iasi | ROMANIA
• “Al. I. Cuza” University from Iasi, Faculty of Philosophy and Social and Political Sciences, Iasi | ROMANIA
• University of Hradec Kralove, Czech Republic
• Institute of Pedagogy of the National Academy of Educational Sciences | UKRAINE
• Mukachevo State University | UKRAINE
Committees |
Organizing Committee |
Co-Directors |
• Antonio SANDU, Prof. Ph.D. Hab., “Stefan cel Mare” University of Suceava (ROMANIA)
• Tomita CIULEI, Assoc. Prof. Ph.D., Valahia University of Targoviste (ROMANIA)
Executive Board |
• Ioana Raicu, Ph.D., Valahia University of Targoviste (ROMANIA)
• Ana FRUNZA, Conferences Coordinator – LUMEN Conference Center; Lect. Ph.D. Researcher III, LUMEN Research Center, Iasi (ROMANIA);
• Bianca SANDU, Managing Editor at LUMEN Publishing House (ROMANIA);
• Roxana STRATULAT, LUMEN PR Department & LUMEN Conference Center, Iasi (ROMANIA);
• Elena UNGURU (GAFTON), LUMEN Research Center in Social and Humanistic Sciences, Iasi (ROMANIA);
• Alexandra HUIDU, Managing Editor at LUMEN Publishing House (ROMANIA);
• Izabela BUCĂTARU, LUMEN PR Department & LUMEN Conference Center, Iasi (ROMANIA);
Conference Committee |
- Prof. Ph.D. Antonio SANDU – “Stefan cel Mare” University of Suceava (ROMANIA);
- Assoc. Prof. Ph.D. Ana Maria Aurelia PETRESCU – Teacher Training Department, “Valahia” University of Targoviste, ROMANIA;
- Lect. Ph.D. Iulian APOSTU – The University of Bucharest, Bucharest, ROMANIA;
- Prof. Ph.D. Gabriel GHITESCU, National University of Physical Education and Sport, Bucharest (ROMANIA)
- Prof. Ph.D. Carmen NASTASE – “Stefan cel Mare” University of Suceava / Suceava, ROMANIA;
- Assoc. Prof. Ph.D. Camelia Maria Cezara IGNATESCU- “Stefan cel Mare” University of Suceava / Suceava, ROMANIA;
- Assoc. Prof. Ph.D. Otilia CLIPA – „Stefan cel Mare” University of Suceava, ROMANIA;
- Prof. Ph.D. Arup BARMAN – Deptt. of Business Administration, Assam University, INDIA; Ph.D, Post Doc, AMT (AIMA), F-IRATDE, Germany), FCE (Consortium Euro American)
- Prof. Ph.D., Diana Bulgaru-Iliescu – “Gr. T. Popa” University of Medicine and Pharmacy, Iasi, Romania
- Assoc. Prof. Ph.D., Simona-Irina Damian – Department of Forensic Medicine, “Gr. T. Popa” University of Medicine and Pharmacy, Iasi; The Institute of Forensic Medicine, Iasi, Romania
- Prof. Ph.D. Svetlana RUSNAC – Free International University of Moldova | MOLDOVA;
- Lect. Ph.D. Nadejda GAGEA – Free International University of Moldova
- Lect. Ph.D. Pompiliu ALEXANDRU – “Valahia” University of Targoviste (ROMANIA)
- Ph.D. Roxana NECULA – President of the territorial department of CNASR Iasi, ROMANIA; Ph.D. Assoc.d Prof. at University „Alexandru Ioan Cuza” Iasi, Department of Philosophy and Social Sciences and Department of Psychology and Educational Sciences, Romania; Assoc.d researcher – LUMEN Research Center in Social and Humanistic Sciences, Iasi (ROMANIA)
- Ph.D. Loredana TEREC- VLAD – “Stefan cel Mare” University of Suceava (ROMANIA);
• Ph.D. Lukas VALEK – Ing. Ph.D., Assistant Prof. University of Economics and Business Prague, Faculty of Business Administration, Department of Entrepreneurship, Czechia (CZECH REPUBLIC);
• Ph.D. Candidate Alin SAFTEL, National University of Physical Education and Sport, Bucharest (ROMANIA)
• Assoc. Prof. Ph.D. Luminita Mihaela DRAGHICESCU – Teacher Training Department, “Valahia” University of Targoviste, (ROMANIA);
Organizing Team |
• Loredana TEREC- VLAD, Ph.D., “Stefan cel Mare” University of Suceava (ROMANIA);
• Roxana NECULA, Ph.D. – President of the territorial department of CNASR Iasi, ROMANIA; Ph.D. Assoc.d Prof. at University „Alexandru Ioan Cuza” Iasi, Department of Philosophy and Social Sciences and Department of Psychology and Educational Sciences, Romania; Assoc.d researcher – LUMEN Research Center in Social and Humanistic Sciences, Iasi (ROMANIA)
• Lect. Ph.D. Ioana STANCESCU – Teacher Training Department, “Valahia” University of Targoviste, ROMANIA;
• Teaching Assistant Ph.D. Elena Ancuta SANTI – Teacher Training Department, “Valahia” University of Targoviste, ROMANIA;
• Lect. Ph.D. Cosmin SANTI – “Valahia” University Targoviste, ROMANIA;
Main Organizers & Co-organizers | 8th CEE LUMEN International Scientific Conference | New Approaches in Social and Humanistic Sciences | LUMEN CEE NASHS 2021 | November 26th, 2021
- LUMEN Media SRL, Iasi | ROMANIA
- LUMEN Media Ltd., London | UNITED KINGDOM
- LUMEN Conference Center, Iasi | ROMANIA
- LUMEN Research Center in Social and Humanistic Sciences, Iasi | ROMANIA
- LUMEN Publishing House, Iasi | ROMANIA
- LUMEN Consultancy & Training Center, Iasi | ROMANIA
- “Valahia” University of Targoviste, Faculty of Law and Administrative Sciences, Targoviste | ROMANIA
- National University of Physical Education and Sports, Bucharest | Romania
- YouTube Channel Editura LUMEN
Partners |
- Free International University of Moldova (ULIM) | REPUBLIC of MOLDOVA
- Faculty of Law & Administrative Sciences, “Stefan cel Mare” University from Suceava | ROMANIA
- Romanian Association of Medical Law, Iasi | ROMANIA
- State University of Physical Education and Sports, Chișinău | Moldova
- Research Center for Applied Ethics| Faculty of Philosophy, University of Bucharest | ROMANIA
- National Association of Social Workers| Iasi Branch | ROMANIA
- Higher Education Research and Consulting Company | SUA
- Grow More College of Education, Himatnagar, Gujarat | INDIA
- Faculty of Physical Education and Sports within the “Alexandru Ioan Cuza” University of Iasi | ROMANIA
- Faculty of Business and Industrial Management of the “Union – Nikola Tesla” University in Belgrade (FBIM) | SERBIA
- Romanian Unit of UNESCO Chair in Bioethics, “Babes-Bolyai”, Cluj Napoca | ROMANIA
• University “Babes-Bolyai” from Cluj Napoca | ROMANIA
• Academy of Sciences of Moldova | REPUBLIC of MOLDOVA
• State University of Physical Education and Sport, Chisinau | REPUBLIC of MOLDOVA
• “Petre Andrei” University from Iasi | ROMANIA
• “Al. I. Cuza” University from Iasi, Faculty of Philosophy and Social and Political Sciences, Iasi | ROMANIA
• University of Hradec Kralove, Czech Republic
• Institute of Pedagogy of the National Academy of Educational Sciences | UKRAINE
• Mukachevo State University | UKRAINE
Committees |
Organizing Committee |
Co-Directors |
• Constanta MATUSESCU, Prof. Ph.D., Faculty of Law and Administrative Sciences, “Valahia” University of Targoviste (ROMANIA)
• Antonio SANDU, Prof. Ph.D. Hab., “Stefan cel Mare” University of Suceava (ROMANIA)
Executive Board |
• Ana FRUNZA, Conferences Coordinator – LUMEN Conference Center; Lect. Ph.D. Researcher III, LUMEN Research Center, Iasi (ROMANIA);
• Bianca SANDU, Managing Editor at LUMEN Publishing House (ROMANIA);
• Roxana STRATULAT, LUMEN PR Department & LUMEN Conference Center, Iasi (ROMANIA);
• Elena UNGURU (GAFTON), LUMEN Research Center in Social and Humanistic Sciences, Iasi (ROMANIA);
• Alexandra HUIDU, Managing Editor at LUMEN Publishing House (ROMANIA);
• Izabela BUCĂTARU, LUMEN PR Department & LUMEN Conference Center, Iasi (ROMANIA);
Conference Committee |
• Prof. Ph.D. Antonio SANDU – “Stefan cel Mare” University of Suceava (ROMANIA);
• Assoc. Prof. Ph.D. Ana Maria Aurelia PETRESCU – Teacher Training Department, “Valahia” University of Targoviste, ROMANIA;
• Lect. Ph.D. Iulian APOSTU – The University of Bucharest, Bucharest, ROMANIA;
• Prof. Ph.D. Gabriel GHITESCU, National University of Physical Education and Sport, Bucharest, ROMANIA;
• Prof. Ph.D. Carmen NASTASE – “Stefan cel Mare” University of Suceava / Suceava, ROMANIA;
• Assoc. Prof. Ph.D. Camelia Maria Cezara IGNATESCU- “Stefan cel Mare” University of Suceava / Suceava, ROMANIA;
• Assoc. Prof. Ph.D. Otilia CLIPA – „Stefan cel Mare” University of Suceava, ROMANIA;
• Prof. Ph.D. Arup BARMAN – Deptt. of Business Administration, Assam University, INDIA; Ph.D, Post Doc, AMT (AIMA), F-IRATDE, Germany), FCE (Consortium Euro American)
• Prof. Ph.D., Diana Bulgaru-Iliescu – “Gr. T. Popa” University of Medicine and Pharmacy, Iasi, Romania
• Assoc. Prof. Ph.D., Simona-Irina Damian – Department of Forensic Medicine, “Gr. T. Popa” University of Medicine and Pharmacy, Iasi; The Institute of Forensic Medicine, Iasi, Romania
• Prof. Ph.D. Svetlana RUSNAC – Free International University of Moldova | MOLDOVA;
• Lect. Ph.D. Nadejda GAGEA – Free International University of Moldova
• Lect. Ph.D. Pompiliu ALEXANDRU – “Valahia” University of Targoviste (ROMANIA)
• Ph.D. Roxana NECULA – President of the territorial department of CNASR Iasi, ROMANIA; Ph.D. Assoc.d Prof. at University „Alexandru Ioan Cuza” Iasi, Department of Philosophy and Social Sciences and Department of Psychology and Educational Sciences, Romania; Assoc.d researcher – LUMEN Research Center in Social and Humanistic Sciences, Iasi (ROMANIA)
• Ph.D. Loredana TEREC- VLAD – “Stefan cel Mare” University of Suceava (ROMANIA);
• Ph.D. Lukas VALEK – Ing. Ph.D., Assistant Prof. University of Economics and Business Prague, Faculty of Business Administration, Department of Entrepreneurship, Czechia (CZECH REPUBLIC);
• Ph.D. Candidate Alin SAFTEL, National University of Physical Education and Sport, Bucharest (ROMANIA)
• Assoc. Prof. Ph.D. Luminita Mihaela DRAGHICESCU – Teacher Training Department, “Valahia” University of Targoviste, (ROMANIA);
**Organizing Team**
• Loredana TEREC- VLAD, Ph.D., “Stefan cel Mare” University of Suceava (ROMANIA);
• Roxana NECULA, Ph.D. – President of the territorial department of CNASR Iasi, ROMANIA; Ph.D. Assoc.d Prof. at University „Alexandru Ioan Cuza” Iasi, Department of Philosophy and Social Sciences and Department of Psychology and Educational Sciences, Romania; Assoc.d researcher – LUMEN Research Center in Social and Humanistic Sciences, Iasi (ROMANIA)
• Lect. Ph.D. Ioana STANCESCU – Teacher Training Department, “Valahia” University of Targoviste, ROMANIA;
• Teaching Assistant Ph.D. Elena Ancuta SANTI – Teacher Training Department, “Valahia” University of Targoviste, ROMANIA;
• Lect. Ph.D Cosmin SANTI – “Valahia” University Targoviste, ROMANIA;
Before you start, thank you for reading this!
In the program, in each session description you will find a short info highlighted in pink, blue or purple, as it follows:
This session ZOOM account | LUMEN LOGOS
This session ZOOM account | Editura LUMEN
and
This session ZOOM account | LUMEN Conference
and
This session ZOOM account | LUMEN Publishing
The sessions scheduled on the zoom account LUMEN LOGOS are:
EDU Plenary # 1 - 10:00 – 10:40
EDU Plenary # 2 - 11:00 – 11:40
The sessions scheduled on the zoom account Editura LUMEN are:
November 26th, 2021
CATES Plenary # 3 - 12:00 – 12:40
NASHS Plenary # 4 - 13:00 – 14:00
EDU Parallel regular # P1 - 15:00 – 15:40
EDU Parallel regular # P3 - 16:00 – 16:40
CATES Parallel regular # P5 - 17:00 – 17:40
NASHS Parallel regular # P7 - 18:00 – 18:40
NASHS Virtual workshop #7- 19:00 – 20:00
The sessions scheduled on the zoom account LUMEN Conference are:
**November 26th, 2021**
- EDU Parallel regular # P2 - 15:00 – 15:40
- EDU Parallel regular # P4 - 16:00 – 16:40
- CATES Parallel regular # P6 - 17:00 – 17:40
- NASHS Parallel regular # P8 - 18:00 – 18:40
The sessions scheduled on the zoom account LUMEN Publishing are
**November 25th, 2021**
- EDU Virtual workshop #1 - 16:00 – 16:40
- EDU Virtual workshop #2 - 17:00 – 18:40
**November 26th, 2021**
- EDU Virtual workshop #3 - 15:00 – 15:40
- EDU Virtual workshop #4 - 16:00 – 16:40
- EDU Virtual workshop #5 - 17:00 – 17:40
- EDU Virtual workshop #6 - 18:00 – 18:40
| Timing | 13:51 |
| --- | --- |
| **Author** | Ihor BOSHCHYNSKYI (“Bohdan Khmelnytskyi” National Academy of the State Border Guard Service of Ukraine) |
| **Speech title** | Advantages and Disadvantages of Distance Learning Platforms in Law Enforcement Educational Institutions in Covid-19 |
| **YouTube link for speech** | https://youtu.be/e124eYj5Agc |
| **Language of presentation** | English |
| Timing | 15:30 |
| --- | --- |
| **Author** | Livia DURAC – Professor PhD, Universitatea “Petre Andrei” din Iași, Romania |
| **Speech title** | Defining Aspects of Communication Behaviors from the Perspective of the Male-Female Dyad: Limits, Influences, Correspondences |
| **YouTube link for speech** | https://youtu.be/JmdFzyILijM |
| **Language of presentation** | Romanian |
| Timing | 13:29 |
|--------|-------|
| **Author** | Livia DURAC – Professor PhD, Universitatea "Petre Andrei" din Iași, Iași, Romania |
| **Speech title** | *The feminist movement: major contributions, perspectives, communication landmarks* |
| **YouTube link for speech** | [https://youtu.be/Da0y4ZDWP50](https://youtu.be/Da0y4ZDWP50) |
| **Language of presentation** | Romanian |
| Timing | 09:44 |
|--------|-------|
| **Authors** | Vlad Theodor COTROBAS DASCALU - PhD student National University of Physical Education and Sports, Bucharest, Romania & Marius STOICA - Professor, National University of Physical Education and Sport, Bucharest, Romania & Adina Andreea DREVE - PhD, National University of Physical Education and Sport of Bucharest, Romania |
| **Speech title** | *Assessment of Quality of Life in Patients with Lower Limb Amputation after Work Accidents* |
| **YouTube link for speech** | [https://youtu.be/dTal53ZMhDo](https://youtu.be/dTal53ZMhDo) |
| **Language of presentation** | English |
| Timing | 09:26 |
|--------|-------|
| **Author** | Valentin POPESCU - National University of Arts, Bucharest, Romania |
| **Speech title** | *Heinrich Schoenberg: Modernist Architect in Interwar Bucharest* |
| **YouTube link for speech** | [https://youtu.be/cEKezUZvXA0](https://youtu.be/cEKezUZvXA0) |
| **Language of presentation** | English |
| Timing | 16:37 |
|--------|-------|
| **Authors** | Sever AVRAM - EUROLINK House of Europe, Bucharest, Romania & Eric GILDER- Papua New Guinea University of Technology |
| **Speech title** | *How to Combat the Conversion of Individual Pandemic Anxiety into a Collective Long-Term Trauma* |
| Timing | 14:39 |
| --- | --- |
| **Authors** | Camelia Angelica DÂMBEAN - University of Medicine, Pharmacy, Science and Technology from Târgu Mureș, Romania & Daria Anda SANDOR DAMBEAN - Student, Technical University of Cluj Napoca, Tg.Mures, Romania |
| **Speech title** | Implications of Emotional Intelligence in Human Resource Management in Relation to Computers and Information Technology in Industry |
| **YouTube link for speech** | [https://youtu.be/GLd8LJTr5vE](https://youtu.be/GLd8LJTr5vE) |
| **Language of presentation** | English |
| Timing | 16:41 |
| --- | --- |
| **Authors** | Cristina CÎRTITĂ-BUZOIANU - Associate Professor PhD, “Vasile Alecsandri” University of Bacău, Bacău, Romania & Venera-Mihaela COJOCARIU - Professor PhD, “Vasile Alecsandri” University of Bacău, Bacău, Romania & Gabriel MAREŞ - Lecturer PhD, “Vasile Alecsandri” University of Bacău, Bacău, Romania |
| **Speech title** | Motivational Essay - A Useful Tool in Career Decision? |
| **YouTube link for speech** | [https://youtu.be/AmwELRJU4N0](https://youtu.be/AmwELRJU4N0) |
| **Language of presentation** | English |
| Timing | 16:10 |
| --- | --- |
| **Authors** | Gabriel MAREŞ - Lecturer PhD, “Vasile Alecsandri” University of Bacău, Bacău, Romania & Venera-Mihaela COJOCARIU - Professor PhD “Vasile Alecsandri” University of Bacău, Bacău, Romania & Cristina CÎRTITĂ-BUZOIANU - Associate Professor PhD, “Vasile Alecsandri” |
| Timing | 08:26 |
|--------|-------|
| **Author** | Liliana BUDEVICI – PUIU - Associate professor, The State University of Physical Education and Sports, Chisinau, Republic of Moldova & Anatolie BUDEVICI - PhD, The State University of Physical Education and Sports, Chisinau, Republic of Moldova |
| **Speech title** | *The Praxiological Model of the Integrated Sports Concept in the Republic of Moldova* |
| **YouTube link for speech** | [https://youtu.be/xkVzwOqBECI](https://youtu.be/xkVzwOqBECI) |
| **Language of presentation** | Romanian |
| Timing | 08:40 |
|--------|-------|
| **Author** | Liliana BUDEVICI – PUIU - Associate professor, The State University of Physical Education and Sports, Chisinau, Republic of Moldova & Veaceslav MANOLACHI – Professor PhD, The State University of Physical Education and Sports, Chisinau, Republic of Moldova |
| **Speech title** | *The Anatomy and Specificity of Sport in a National and European Context* |
| **YouTube link for speech** | [https://youtu.be/X-0eBMDXKM4](https://youtu.be/X-0eBMDXKM4) |
| **Language of presentation** | Romanian |
| Timing | 13:15 |
|--------|-------|
| **Author** | Ciprian Iulian BERTEA - PhD Student, „Ion Creangă” State Pedagogical University of Chisinau, Chisinau, Republic of Moldova |
| **Speech title** | *Developing a Competency-Based Model in Relation to the Training Needs of Adult Learners* |
| **YouTube link for speech** | [https://youtu.be/AJPxJJpxgFo](https://youtu.be/AJPxJJpxgFo) |
| **Language of presentation** | English |
| Timing | 12:42 |
|--------|-------|
| **Authors** | Valeria BĂLAN - Associate Professor, National University of Physical Education and Sport, Bucharest, Romania & Camelia BRANET - Lecturer, Politehnica University Bucharest Romania & Lavinia POPESCU - Associate Professor, National University of Physical Education and Sport, Bucharest, Romania & Ana Maria MUJEA- Lecturer, National University of Physical Education and Sport, Bucharest, Romania |
| **Speech title** | Recreational Swimming – A Way to Improve Motor Skills |
| **YouTube link for speech** | [https://youtu.be/Bdfe3qveY4o](https://youtu.be/Bdfe3qveY4o) |
| **Language of presentation** | English |
| Timing | 16:44 |
|--------|-------|
| **Author** | Viorel ROTILĂ - Professor, PhD „Dunarea de Jos” University Galati, Romania |
| **Speech title** | The Absence of Critical Thinking Skills and its Effects. Case Study: Vaccine Hesitation |
| **YouTube link for speech** | [https://youtu.be/zDUEYDuXMaw](https://youtu.be/zDUEYDuXMaw) |
| **Language of presentation** | English |
| Timing | 10:37 |
|--------|-------|
| **Author** | Doru Valentin CASTAIAN - Phd, Dunarea de Jos Galati University, Galati, Romania |
| **Speech title** | Ascendent and Descendent Types of Thinking and the Impact on Toleration as an Educational Value |
| **YouTube link for speech** | [https://youtu.be/NPA4_kBo9p8](https://youtu.be/NPA4_kBo9p8) |
| **Language of presentation** | English |
| Timing | 16:31 |
|--------|-------|
| **Authors** | Sergiu-Lucian RAIU - ”Ștefan cel Mare” University in Suceava, Romania & Maria ROTH - ”Babes-Bolyai” University in Cluj, Romania, Cluj-Napoca, Romania & Ágnes DÁVID-KACSÓ – ”Babes-Bolyai” University in Cluj, Cluj- |
| Timing | 13:42 |
|--------|-------|
| **Authors** | Maria DE LOURDES RODRÍGUEZ-PERALTA - PHD. In Socioformation and Knowledge Society, Instituto Politécnico Nacional, Cd. De México, Mexico & Marco VINICIO DUQUE ROMERO - Master in University Teaching and Educational Administration, Centro Universitario CIFE, Quito Ecuador & Paula Flora ANICETO VARGAS - Master in Teaching and Competence of Development, Instituto Politécnico Nacional, Cd. De México, Mexico |
| **Speech title** | Social Responsibility, an Inherent part of an Integral Education |
| **YouTube link for speech** | https://youtu.be/QnE8SUsecvo |
| **Language of presentation** | English |
| Timing | 23:11 |
|--------|-------|
| **Author** | Ana-Alina ICHIM - Ph.D. student, Doctoral School of Economics and Business Administration, “Al. I. Cuza” University of Iasi, Romania |
| **Speech title** | Identifying the Types of Diversity in the Romanian Pre-university Educational Institutions and the Appropriate Managerial Strategy |
| **YouTube link for speech** | https://youtu.be/2jneGJrnQKQ |
| **Language of presentation** | English |
| Timing | 30:35 |
|--------|-------|
| **Plenary Speaker** | Constanta MATUSESCU - Assoc. Prof. Ph.D., “Valahia” University of Targoviste, Romania |
| **Speech title** | The Principle of Conditionality in the context of the new approach to EU |
| Timing | 14:28 |
| --- | --- |
| Authors | Gheorghe NADOLEANU - PhD. Student, University of Bucharest Faculty of Sociology and Social Work, Bucharest, Romania & Ana Rodica STĂICULESCU - University Professor Doctor, University of Bucharest Faculty of Sociology and Social Work, Bucharest, Romania & Emanuela BRAN - PhD. Student, Transilvania University of Brasov Faculty of Electrical Engineering and Computer Science, Brasov, Romania |
| Speech title | The Multifaceted Challenges of the Digital Transformation: Creating a Sustainable Society |
| YouTube link for speech | https://youtu.be/77bdCwQKQbg |
| Language of presentation | English |
| Timing | 17:21 |
| --- | --- |
| Author | Iuliana LUNGU - Lecturer PhD, Ovidius University of Constanta, Romania |
| Speech title | The Challenges Experienced by the English Language Teachers in Primary Schools Worldwide Reflected at the Local Level of Romanian Reality and Practices |
| YouTube link for speech | https://youtu.be/jrrO6CIMGLA |
| Language of presentation | English |
| Timing | 10:50 |
| --- | --- |
| **Authors** | Natalia NASTAS - PhD, university lecturer, State University of Physical Education and Sport, Chisinau, Republic of Moldova |
| **Speech title** | Corruption and Sport: a Game Yet to Win |
| **YouTube link for speech** | [https://youtu.be/kD2eCcb2sRk](https://youtu.be/kD2eCcb2sRk) |
| **Language of presentation** | English |
| Timing | 07:28 |
| --- | --- |
| **Author** | Andra COSTACHE - Lecturer PhD, Valahia University of Targoviste, Romania & Mihaela SENCOVICI - Lecturer PhD, Valahia University of Targoviste, Romania |
| **Speech title** | Nature Relatedness and Endorsement of the New Ecological Paradigm in Romania |
| **YouTube link for speech** | [https://youtu.be/MuWsNmg6aDU](https://youtu.be/MuWsNmg6aDU) |
| **Language of presentation** | Romanian |
Thursday, November 25th, 2021 | Visualization of Online Poster Sessions | Open Space
Posters albums:
5th LUMEN EDU 2021 Online International Scientific Conference
16th LUMEN CATES 2021 Online International Scientific Conference
8th CEE LUMEN NASHS 2021 Online International Scientific Conference
available in official page of LUMEN - Facebook LUMEN Conference Center
Questions & commentaries on the poster presentations should be posted directly to the poster available on the album
Facebook official page LUMEN Conference Center
Watch the album on Facebook LUMEN Conference or on the Editura LUMEN YouTube Chanel
The posters available online can be viewed and questions or commentaries can be posted on each poster, so the authors can answer those questions in the Open Space Poster session from Friday, November, 26th, 2021
Posters album of 5th LUMEN EDU 2021 | 16th LUMEN CATES 2021 | 8th LUMEN NASHS 2021 |
| Authors | Laurentiu BOCIOACA - Associate Professor PhD, National University of Physical Education and Sport Bucharest, Stefan Furtuna, Bucharest, Romania |
| --- | --- |
| Poster title | Specific Adaptations to the Performance Judoka |
| Facebook link | https://cutt.ly/wTS9oc6 |
| Authors | Viorica - Torii CACIUC - Ph.D. Assoc. Prof., Teacher Training Department, Faculty of Physical Education and Sport, “Dunărea de Jos” University of Galati, Romania |
| --- | --- |
| Speech title | Curricular Opportunities for Achieving Ecological Education at Preschool Age |
| Facebook link | https://cutt.ly/aTDrrDS |
| Author | Atena-Ioana GÂRJOABĂ - PhD Candidate, “Ion Mincu” University of Architecture and Urbanism, Bucharest, Romania & Cerasella CRĂCIUN - Full Professor, PhD, “Ion Mincu” University of Architecture and Urbanism, Romania |
| --- | --- |
| Poster title | Supporting the Process of Designing and |
| **Planning Heritage and Landscape, Architecture, Urbanism and Spatial Planning by Spatializing Data on a Single Support Platform. Case Study: Romania**
Facebook link | [https://cutt.ly/hTDwOjC](https://cutt.ly/hTDwOjC)
Authors | Anca GRECULESCU - Ph.D Lecturer, Politehnica University of Bucharest, Romania & Liliana-Luminita TODORESCU – Ph.D Lecturer, Politehnica University of Timisoara, Romania
Poster title | Student-Teacher Relationship in Online Technical Higher Education
Facebook link | [https://cutt.ly/6TS9M53](https://cutt.ly/6TS9M53) |
| **Author** | Alexandra HUIDU - PhD Student, Doctoral School of Sociology, University of Oradea, Romania & University of Medicine and Pharmacy Grigore T. Popa from Iasi, Romania; Lumen Research Center in Social and Humanistic Sciences, Iasi, Romania
Poster title | Reasons for Acceptability and Reasons for Unacceptability of ARTs and Biotechnologies in Romania is Education a Factor?
Facebook link | [https://cutt.ly/kTDatNs](https://cutt.ly/kTDatNs) |
| **Authors** | Gabriela MANTESCU - Professor PhD Valahia University of Targoviste, Romania & Gabriel GORGHIU - Prof., Ph.D., “Valahia” University, Targoviste, Romania & Mihael BÎZOI, “Valahia” University of Târgoviște, Romania, Automatic Control, Informatics and Electrical Engineering Department
Poster title | The Role of Communication in Developing the Educational Profile Needed for the Transition to Green and Sustainable Energy
Facebook link |
| **Author** | Rarita MIHAIL - Associate Professor PhD, „Dunarea de Jos” University, Galati, Romania
Poster title | The Relevance of Critical Thinking from the Perspective of Professional Training and Citizenship |
| **Education**
Facebook link | [https://cutt.ly/3TDekMF](https://cutt.ly/3TDekMF)
Author | Simona MINA – Associate Prof. PhD., Constanta Maritime University, Constanta, Romania
Poster title | Ethics and Integrity in the Current Academic Culture, in the Context of the New Public Management in Universities
Facebook link | [https://cutt.ly/eTDwGyG](https://cutt.ly/eTDwGyG) |
| **Author** | Georgiana OPRESCU – PhD candidate, University of Bucharest, Faculty of Sociology, Romania & Ana Rodica STACULESCU -University of Bucharest, Faculty of Sociology, Romania
Poster title | Comparative Sociological Perspectives Between the Summer Season 2020 and the Summer Season 2021 on the Impact of the COVID-19 Pandemic on Romanian Tourism
Facebook link | [https://cutt.ly/VTS3ym9](https://cutt.ly/VTS3ym9) |
| **Author** | Antonio SANDU- PhD. Prof, “Stefan cel Mare” University of Suceava, Romania
Poster title | Dilemma Ethics Training for Higher Education
Facebook link | [https://cutt.ly/hTDrd51](https://cutt.ly/hTDrd51) |
| **Author** | Loredana TEREC – PhD, Stefan cel Mare University from Suceava, Romania; Titu Maiorescu University
Poster title | Understanding the Concept of Autonomy
Facebook link |
| **Author** | Liliana-Luminita TODORESCU – Ph.D Lecturer, Politehnica University of Timisoara, Romania & Anca GRECULESCU – Ph.D Lecturer, University POLITEHNICA of Bucharest, Romania
Poster title | Online Teaching and Quality Assurance in Technical Higher Education
Facebook link | [https://cutt.ly/kTS97Dk](https://cutt.ly/kTS97Dk) |
| **Author** | Ana-Maria ZAMFIR - PhD, Researcher, National Scientific Research Institute for Labour and Social Protection, Bucharest, Romania, National Scientific Research Institute for Labour and Social Protection & Anamaria NĂSTASĂ - PhD Student, Researcher, National Scientific Research Institute for Labour and Social Protection, Bucharest, Romania & Anamaria-Beatrice ALDEA - Researcher, National Scientific Research Institute for Labour and Social Protection, Bucharest, Romania |
| **Poster title** | Earnings Premium from Education in the Context of Educational Expansion |
| **Facebook link** | [https://cutt.ly/KTDw11z](https://cutt.ly/KTDw11z) |
| **Authors** | Monica-Gabriela AMUZA - PhD student, Urban and Landscape Planner, University of Architecture and Urbanism “Ion Mincu”, Bucharest, Romania & Cerasella CRACIUN - Full Professor PhD, Architect, University of Architecture and Urbanism “Ion Mincu”, Bucharest, Romania |
| **Poster title** | The Role of Ecological Connectivity for the Management of Resilient and Functional Ecosystems in Urban Landscape Planning |
| **Facebook link** | [https://cutt.ly/WTDtTvG](https://cutt.ly/WTDtTvG) |
| **Author** | Madalina Virginia ANTONESCU - Ph.D. Independent expert, Bucharest, Romania |
| **Poster title** | The Urbanocene – the Spatial Urban Century. Great Houses of Trans-Civilizational Projects. Fortified Cities and Open Cities- Developments of Urban Global World |
| **Facebook link** | [https://cutt.ly/WTDya2B](https://cutt.ly/WTDya2B) |
| **Author** | Madalina Virginia ANTONESCU - Ph.D. Independent expert, Bucharest, Romania |
| **Poster title** | Nomad Cities. The “NUW” Concept (“Nomad Urban Worlds”) and the “UNE”s (“Nomad Urban Empires”) at the End of XXIst Century-the Beginning of XII Century |
| **Facebook link** | [https://cutt.ly/XTDylte](https://cutt.ly/XTDylte) |
| **Author** | Ana FRUNZA - PhD in Ethics & Scientific Researcher III, LUMEN Research Center in Social and Humanistic |
| **Author** | Alexandra HUIDU - PhD Student, Doctoral School of Sociology, University of Oradea, Oradea, Romania & University of Medicine and Pharmacy Grigore T. Popa from Iasi, Romania; Lumen Research center in Social and Humanistic Sciences, Iasi, Romania
**Poster title** | *Social Work Practice between Applied Ethics and Social Pragmatics*
**Facebook link** | [https://cutt.ly/UTDyW3E](https://cutt.ly/UTDyW3E) |
| **Authors** | Maria Monica IUCA - PhD Candidate, Urban and Landscape Planner, University of Architecture and Urbanism, Bucharest, Romania & Cerasella CRACIUN - Full Professor, PhD, Architect, “Ion Mincu” University of Architecture and Urbanism, Bucharest, Romania
**Poster title** | *Twin Cities along the Danube, Opportunity for Urban Development in European Union*
**Facebook link** | [https://cutt.ly/FTDpLdG](https://cutt.ly/FTDpLdG) |
| **Author** | Mihaela Catalina NECULAU - PhD, University of Oradea, Romania
**Speech title** | *Stories of Humanity in the Social Construction of Professional Identity in Nursing*
**Facebook link** | [https://cutt.ly/9TDWgBo](https://cutt.ly/9TDWgBo) |
| **Authors** | Ana Cornelia OLTEANU - Lecturer PhD, Constanta Maritime University, Romania & Cristian DRAGAN - Lecturer PhD, Constanta Maritime University, Constanta, Romania & Viorela Georgiana STINGA - Lecturer PhD, Constanta Maritime University, Constanta, Romania
**Poster title** | *Strategic Management of Constanta Port*
**Facebook link** | [https://cutt.ly/XTDtdr9](https://cutt.ly/XTDtdr9) |
| **Author** | Antonio SANDU - Ph.D Professor, Stefan cel Mare University of Suceava, Romania |
| **Poster title** | Anxiety and Frustration during the Covid-19 Pandemic |
| **Facebook link** | [https://cutt.ly/8TDybGF](https://cutt.ly/8TDybGF) |
| **Authors** | Madalina Virginia ANTONESCU - Ph.D., independent expert, Bucharest, Romania |
| **Poster title** | Institutional Patterns for Mega-Cities into the XXIst-XXIInd Centuries |
| **Facebook link** | [https://cutt.ly/dTDih1b](https://cutt.ly/dTDih1b) |
| **Author** | Madalina Virginia ANTONESCU - Ph.D., independent expert, Bucharest, Romania |
| **Poster title** | “Upper Worlds” and the “Worlds from Bellow” (WFBs). Political and Vertical Organization of Power at the End of XXIst Century-Beginning of the XXIInd Century |
| **Facebook link** | [https://cutt.ly/LTDicmB](https://cutt.ly/LTDicmB) |
| **Author** | Cătălin-George FEDOR - PhD., Senior Researcher, Romanian Academy, Iași Branch, Center of Anthropological Research, Iași, Romania |
| **Poster title** | About Traditional Communities. The Role of Social Representations in their Knowledge |
| **Facebook link** | [https://cutt.ly/UTDi13G](https://cutt.ly/UTDi13G) |
| **Author** | Luminita GEORGESCU - Professor PhD, University of Pitesti, Pitesti, Romania & Paul BUŞE - University teaching assistant, University of Medicine and Pharmacy "Carol Davila", Bucharest, Romania |
| **Poster title** | The Effect Swimming on Blood Lactate after Intense Efforts in Handball Players |
| **Facebook link** | [https://cutt.ly/vTDiION](https://cutt.ly/vTDiION) |
| **Authors** | Ionuț Adrian GHIBANU - Valahia University of Targoviste, Romania |
| **Poster title** | Information Management in the Pandemic Era |
| **Facebook link** | [https://cutt.ly/QTDoglw](https://cutt.ly/QTDoglw) |
| **Author** | Alexandra HUIDU - PhD Student, Doctoral School of Sociology, University of Oradea, Oradea, Romania & University of Medicine and Pharmacy Grigore T. Popa from Iasi, Romania; Lumen Research Center in Social and Humanistic Sciences, Iasi, Romania |
| --- | --- |
| **Poster title** | *Social Acceptability and Emotional Reactions. An Analysis from the Perspective of Social Distancing* |
| **Facebook link** | [https://cutt.ly/0TDpIIp](https://cutt.ly/0TDpIIp) |
| **Author** | Antonio SANDU- PhD. Prof, “Stefan cel Mare” University of Suceava, Romania |
| --- | --- |
| **Poster title** | *Identity Changes in Crisis Situations. Anxiety, Frustration and Anguish Due to the COVID-19 Pandemic* |
| **Facebook link** | [https://cutt.ly/1TDooOx](https://cutt.ly/1TDooOx) |
| **Authors** | Elena UNGURU (GAFTON) - Ph.D, LUMEN Research Center in Social and Humanistic Sciences, Iasi, Romania |
| --- | --- |
| **Poster title** | *Limits and Criticisms of the Practice of Supervising Social Work Services* |
| **Facebook link** | [https://cutt.ly/uTDokN7](https://cutt.ly/uTDokN7) |
**Virtual Workshop #1 | Role and Importance of Counselling during the Pandemic Period**
**Thursday, November 25th, 2021**
**16:00 - 16:40 GMT+2 (Bucharest time)**
**Join ZOOM Meeting | Zoom account LUMEN Publishing**
**Language of presentation |** Romanian
**Main Organizer Institution |** “Valahia” University of Târgoviște, Romania - Teacher Training Department
**Co-organizers |** LUMEN Research Center in Social & Humanistic Sciences, Iasi, Romania & Career Counseling and Business Environment Relations Department, “Valahia” University of Targoviste, Romania
**Overview |** The problem of anxiety and social isolation of
individuals seems to be much more present in a pandemic context. As is well known, isolation is perhaps the greatest enemy in the way of the harmonious development and evolution of people. The isolation of the individual from the others, the rupture of the connections, the contacts, disconnection from the social life, leads in time to psychological and social “wilting”, to the annulment as a human being.
In this context, we are now talking not only about an isolated problem, but about a global challenge, a pandemic. That is why, nowadays, more than ever, there is a need for counseling, for support, in order to be able to face the actual challenges, but also for the adequate adaptation of the individual to the new social context. Each of us is a unique entity, and our perception of the idea of using specialized support is different. If we refer to the pyramid of needs, according to Maslow, we find that the need for social and emotional security represents a basic need, common to all people. So, if we start from what is common, we can more easily identify, understand and accept what differentiates us and makes us different.
In line with the abovementioned facts, we propose in this Workshop to reach the following objectives:
- presentation of the services offered by Career Counseling and Business Environment Relations Department, from “Valahia” University of Târgoviște, Romania;
- testing the awareness of direct beneficiaries concerning the need for counseling in academic environment;
- identifying solutions for optimizing the counselor-counseled interactions in the pandemic context.
Topics | psychologic counseling, career counseling, identified needs, communication, relationship
Virtual Workshop #2 | Open Schooling through Integrating Science Actions in Formal and Non-formal Education
Thursday, November 25th, 2021
Session 1 | 17:00 - 17:40 & Session 2 | 18:00 - 18:40
GMT+2 (Bucharest time)
Join ZOOM Meeting | Zoom account LUMEN Publishing
Presenters & speeches |
Language of presentation | Romanian
Main Organizer Institution |
Valahia University of Târgoviște, Romania - Teacher Training Department
Co-organizers |
LUMEN Research Center in Social & Humanistic Sciences, Iasi, Romania & Automatic Control, Informatics and Electrical Engineering Department, “Valahia” University of Targoviste, Romania
Overview |
“Open schooling” is where schools, in cooperation with other stakeholders, become an agent of community well-being; families are encouraged to become real partners in school life and activities; professionals from enterprise, civil and wider society are actively involved in bringing real-life projects into the classaccount. (European Commission, 2015 – Science Education for Responsible Citizenship)
In this respect, the Horizon 2020 Project: “CONNECT - Inclusive open schooling through engaging and future-oriented science”, tries to support secondary schools to adopt open schooling, by integrating science-actions in the core-curriculum, and promoting using participatory-science with the community: families, universities, and enterprises.
In line with the abovementioned issues, in this Workshop we aim to achieve the following objectives:
- presentation of the Science actions proposed to be introduced in formal and non-formal contexts, in the frame of the CONNECT project;
Timing | 40 minutes session
- analyzing the impact of the activities carried out in 2021, in special pandemic conditions;
- identifying ways to optimize the coaching activities, absolutely necessary in the process of Science actions implementation.
Topics |
open schooling, innovative didactic strategies, science actions, participatory community
Speech & Speakers|
Authors | Ana Maria Aurelia PETRESCU - Assoc. Prof., Ph.D., Valahia University, Targoviste, Romania, Gabriel GORGHIU - Prof., Ph.D., “Valahaia” University, Targoviste, Romania & Mihai BÎZOI - Assoc. Prof., Ph.D., “Valahaia” University, Targoviste, Romania
Speech title | Coaching activities within the CONNECT Project - Realities and perspectives
1st day of joint LUMEN International Scientific Online Conferences | 2021 editions
November 26th, 2021
Open space | 07:00 – 10:00 GMT+2 (Bucharest time)
Pre-recorded lecture listening available online on YouTube Channel of Editura LUMEN and Facebook LUMEN Conference Center
Open space video session – previsualize the lectures from YouTube channel and Facebook poster session official page of LUMEN. Questions, commentaries and answers on the presentations
Zoom Plenary Sessions
5th LUMEN EDU 2021 |
Zoom Plenary Sessions | 10:00 – 11:40 GMT+2 (Bucharest time)
Zoom Plenary Session #1 |
10:00- 10:45 GMT+2 (Bucharest time)
Join ZOOM Meeting | Zoom account LUMEN LOGOS
Available for audience, in live transmission, also on Facebook on LUMEN Conference Center’s page
Moderators | Gabriela TEODORESCU - Professor PhD, Vice-
Language of presentation | Romanian
10:00 – 10:10 | Opening Ceremony
Speakers & Speeches |
Gabriela TEODORESCU - Professor PhD, Vice-Rector for University Research and Creation, “Valahia” University of Targoviste, Romania
10:10 – 10:40 |
Plenary Speaker | Adrian OPRE - Prof. Ph.D. Department of Psychology and dean of the Faculty of Psychology and Educational Sciences of the “Babeș - Bolyai” University of Cluj - Napoca, Romania
Speech title | The Validation of Educational Reforms: The Primacy of Axiological-Character Education
| Rector for University Research and Creation, “Valahia” University of Targoviste, Romania & Gabriel GORGIU, Prof. Ph.D., “Valahia” University of Targoviste, Romania |
| --- |
| **Timing | 40 minutes session**
(10 minutes for Opening Ceremony, 30 minutes for presentation + 5 minutes for commentaries) |
| Zoom Plenary Session #2 | Language of presentation | Romanian |
| --- | --- | --- |
| 11:00- 11:40 GMT+2 (Bucharest time) | Plenary Speakers & Speeches | 11:00 – 11:30 |
| Join ZOOM Meeting | Plenary Speaker | Constantin NECULA - Pr. Assoc. Ph.D. Habil, “Andrei Șaguna” Faculty of Theology, Lucian Blaga University, Sibiu, Romania |
| Zoom account LUMEN LOGOS | Speech title | The Role of Faith in the Sciences of Education |
| Moderators | Gabriel GORGIU, Prof. Ph.D., “Valahia” University of Targoviste, Romania & Ana FRUNZA – LUMEN Association, Iasi, Romania |
| --- | --- |
| **Timing | 40 minutes session**
(30 minutes for presentation + 10 minutes for commentaries) |
### 16th LUMEN CATES 2021
**Zoom Plenary session | 12:00 – 12:40 GMT+2 (Bucharest time)**
| **Zoom Plenary Session #3** | Language of presentation | English |
|-----------------------------|--------------------------|---------|
| **12:00- 12:40 GMT+2** | | |
| *(Bucharest time)* | | |
| **Join ZOOM Meeting | Zoom account Editura LUMEN** | | |
| **Moderators | Lucian Dumitru DÎRDALĂ** | | |
|---------------|----------------------------|--------------------------|
| - Alexandru Ioan Cuza University in Iași, Romania & Ana FRUNZA – LUMEN Association, Iasi, Romania | | |
| **Timing | 40 minutes session** | | |
|-----------------------------|--------------------------|---------|
| *(30 minutes for presentations + 10 minutes for commentaries)* | | |
| **Plenary Speakers & Speeches | 12:00 – 12:15** | | |
|-----------------------------|--------------------------|---------|
| **Plenary Speaker | Sever AVRAM** | Executive President, EUROLINK House of Europe, Bucharest, Romania & Eric GILDER - Prof. Ph.D. Hab. Papua New Guinea University of Technology, Lae, Papua New Guinea | |
| **Speech title | How to Combat the Conversion of Individual Pandemic Anxiety into a Collective Long-Term Trauma** | | |
| **12:15 – 12:30** | | |
|-------------------|--------------------------|---------|
| **Plenary Speaker | Ihor BLOSHCHYNSKYI** | Doctor of pedagogical sciences, Prof., “Bohdan Khmelnytskyi” National Academy of the State Border Guard Service of Ukraine | |
| **Speech title | Advantages and Disadvantages of Distance Learning Platforms in Law Enforcement Educational Institutions In COVID-19** | | |
### 8th LUMEN NASHS 2021
**Zoom Plenary session | 13:00 – 14:00 GMT+2 (Bucharest time)**
| **Zoom Plenary Session #4** | Language of presentation | Romanian |
|-----------------------------|--------------------------|----------|
| **13:00- 14:00 GMT+2** | | |
| *(Bucharest time)* | | |
| **Join ZOOM Meeting | Zoom account Editura LUMEN** | | |
| **Plenary Speakers & Speeches | 13:00 – 13:15** | | |
|-----------------------------|--------------------------|----------|
| **Plenary Speaker | Constanta MATUSESCU** | Assoc. Prof. Ph.D., “Valahia” University of Targoviste, Romania | |
| **Speech title | The Principle of Conditionality in the Context of the New Approach to EU** | | |
| Moderator | Camelia Cezara Maria IGNATESCU – Assoc. Prof. Ph.D., “Stefan cel Mare” University of Suceava, Romania |
| --- | --- |
| **Timing** | 40 minutes session (45 minutes for presentations + 15 minutes for commentaries) |
### Enlargement
| Time | Event |
| --- | --- |
| 13:15 – 13:30 | Plenary Speaker | Aurora CIUCA - Prof. Ph.D., Faculty of Law and Administrative Sciences, "Ștefan cel Mare" University of Suceava, Romania |
| Speech title | About Surrogacy in ECHR Case-law |
| Time | Event |
| --- | --- |
| 13:30 – 13:45 | Plenary Speakers | Simona Irina DAMIAN – Conf. Ph.D. Department of Legal Medicine, “Grigore T. Popa” University of Medicine and Pharmacy Iași, România & Diana BULGARU-ILIESCU – Prof. Ph.D. Department of Legal Medicine, “Grigore T. Popa” University of Medicine and Pharmacy Iași, România |
| Speech title | Psycho-social Consequences of Special Cases from the Forensic Psychiatric Board. Severe Behavior Disorders within Sturge-Weber Syndrome |
Lunch break | 14:00–15:00 |
| EDU Parallel ZOOM regular virtual session #P1 | Language of presentation | English/Romanian |
|---------------------------------------------|--------------------------|------------------|
| 15:00 – 15:40 GMT+2 (Bucharest time) | Presenters & speeches | |
| Join ZOOM Meeting | Zoom account Editura LUMEN | 15:00 – 15:06 | |
| Session | | Author | Lucia BÎTCA - Ph.D. student, Free International University of Moldova Chisinau, Moldova |
| Moderators | Gabriel GORGIU - Prof., Ph.D., “Valahia University, Targoviste, Romania & Camelia Delia VOICU - Lect. Ph.D., “Valahia” University of Targoviste, Romania | Speech title | Nonverbal Register - a Component Part of Impression Management in the Organizational Environment |
| Timing | 40 minutes session (6 minutes for each presentation + 4 minutes for final commentaries) | 15:06 – 15:12 | Authors | Cristina CÎRTIȚĂ-BUZOIANU – Assoc. Prof. Ph.D., “Vasile Alecsandri” University of Bacau, Romania & Venera-Mihaela COJOCARIU – Prof. Ph.D., “Vasile Alecsandri” University of Bacau, Romania & Gabriel MAREȘ - Lect. Ph.D., “Vasile Alecsandri” University of Bacau, Romania |
| | Speech title | Motivational Essay - A Useful Tool in Career Decision? |
| | 15:12 – 15:18 | Authors | Camelia Delia VOICU - Lect. Ph.D., “Valahia” University of Targoviste, Romania |
| | Speech title | Benefits and Obstacles of STEAM Implementation in Primary and Preschool Education |
| | 15:18 – 15:24 | Author | Ana-Alina ICHIM - Ph.D. student, Doctoral School of Economics and Business Administration, “Al. I. Cuza” University of Iasi, Romania |
| | Speech title | Identifying the Types of Diversity in the Romanian Pre-university Educational Institutions and the Appropriate Managerial Strategy |
| 15:24 – 15:30 |
**Author** | Yanshi LIU - Postgraduate student, Kharkiv National University of Economics, Khariv, Ukraine
**Speech title** | Translation Workshop Teaching Model Based on Workplace Learning in the Artificial Intelligence |
| 15:30 – 15:36 |
**Authors** | Laura Monica GORGHIU - Assoc. Prof., Ph.D., “Valahia” University, Targoviste, Romania & Elena Ancuța SANTI - Lect., Ph.D., “Valahia” University, Targoviste, Romania & Gabriel GORGHIU - Prof., Ph.D., “Valahia” University, Targoviste, Romania
**Speech title** | Ethics and Professionalism in Higher Education - Indicators of the Academic Quality Culture |
| **EDU Parallel ZOOM regular virtual session # P2 |** |
| --- | --- |
| **Language of presentation** | English/Romanian |
| **Presenters & speeches** |
15:00 – 15:06 |
**Author** | Viorel ROTILĂ - Prof., Ph.D. “Dunarea de Jos” University of Galati, Romania
**Speech title** | The Absence of Critical Thinking Skills and its Effects. Case Study: Vaccine Hesitation |
| 15:06 – 15:12 |
**Authors** | Gabriel MAREȘ - Lect. Ph.D., “Vasile Alecsandri” University of Bacău, Romania & Venera-Mihaela COJOCARIU - Prof. Ph.D. “Vasile Alecsandri” University of Bacău, Romania & Cristina CÎRTIȚĂ-BUZOIANU - Assoc. Prof. Ph.D., “Vasile Alecsandri” University of Bacău, Romania
**Speech title** | Challenges in Career Decision Process for Teenagers from Disadvantaged Areas |
| 15:12 – 15:18 |
**Author** | Doru Valentin CASTAIAN - Ph.D., “Dunarea de Jos” University of Galati, Romania |
| Timing | 40 minutes session (6 minutes for each presentation + 4 minutes for final commentaries) |
| --- | --- |
| **15:18 – 15:24** | **Authors** | Alina SUSLENCO - Ph.D., Assoc. Prof., “Alecu Russo” State University of Balti, Moldova
**Speech title** | Ascendent and Descendent Types of Thinking and the Impact on Toleration as an Educational Value |
| **15:24– 15:30** | **Authors** | María DE LOURDES RODRÍGUEZ-PERALTA - PH.D. In Socioformation and Knowledge Society, Instituto Politécnico Nacional, Cd. De México, Mexico & Marco VINICIO DUQUE ROMERO - Master in University Teaching and Educational Administration, Centro Universitario CIFE, Quito Ecuador & Paula Flora ANICETO VARGAS - Master in Teaching and Competence of Development, Instituto Politécnico Nacional, Cd. De México, Mexico
**Speech title** | Social Responsibility, an Inherent part of an Integral Education |
| **15:30– 15:36** | **Authors** | Roxana Constanța ENACHE, Ana Maria Aurelia PETRESCU - Prof., Ph.D., “Valahia” University, Targoviste, Romania & Gabriel GORGHIU - Prof., Ph.D., “Valahia” University, Targoviste, Romania
**Speech title** | Changes in Teaching Strategies and Pedagogical Relations, in the Context of Online Education - Teachers’ Perceptions and Attitudes |
**Virtual Workshop #3 | Parent-coach Relationship as Part of the Athletic Triangle**
| Friday, November 26th, 2021 | Language of presentation | English/ Romanian
**Workshop title** | Parent-coach relationship as part of the athletic triangle
**Main Organizer Institution** | National University of...
15:00 - 15:40 GMT+2 (Bucharest time)
Join ZOOM Meeting | Zoom account LUMEN Publishing
Chair | Tudor PALADE – Lect. Ph.D. National University of Physical Education and Sport (U.N.E.F.S.), Bucharest, Romania
Timing | 40 minutes session
Physical Education and Sports, Bucharest, Romania
Co-organizers | LUMEN Research Center in Social & Humanistic Sciences, Iasi, Romania
Overview | The workshop aims to discuss the main issues that arise in the relationship between coach and parent, especially in the game of football, and to highlight ways in which this relationship can be improved.
Topics | coach, communication, education, football, parents
Presenters & speeches |
Authors | Gheorghe GRIGORE - Assoc. Prof., National University of Physical Education and Sports (U.N.E.F.S.), Bucharest, Romania & Tudor PALADE - Lect. Ph.D., National University of Physical Education and Sports (U.N.E.F.S.), Bucharest, Romania
Speech title | Strategies for Improving the Relationship between Coach and Parents
Author | Daniel POPA - Teacher of physical education and sports, Romanian-Finnish School
Speech title | Organizing Meetings with Parents at a Football Club
Authors | Sorin-Mirel CIOLCA - Assoc. Prof., National University of Physical Education and Sports (U.N.E.F.S.), Bucharest, Romania & Andrea PERAZZO - Postgraduate Student, Universita di Torino, Italy & Alessandro LI PUMA - Postgraduate Student, Universita di Torino, Italy
Speech title | The Current State of the Coach-Parent Relationship in Italian Football
EDU Parallel ZOOM regular virtual session # P3 |
16:00 – 16:40 GMT+2
Language of presentation | English/Romanian
Presenters & speeches |
16:00 – 16:07 |
Author | Ciprian Iulian BERTEA - Ph.D. Student, „Ion
| (Bucharest time) | Creangă State Pedagogical University of Chisinau, Republic of Moldova |
|------------------|---------------------------------------------------------------------|
| **Join ZOOM Meeting** | Zoom account Editura LUMEN |
| **Session** | Challenges for current education practices |
| **Moderators** | Alexandra HUIDU, LUMEN Publishing House, Romania & Iulian APOSTU - Lect. Ph.D. University of Bucharest, Faculty of Sociology and Social Work, Bucharest, Romania |
| **Timing** | 40 minutes session (6 minutes for each presentation + 4 minutes for final commentaries) |
16:07 – 16:14 |
**Authors** | Iulian APOSTU - Lect. Ph.D. University of Bucharest, Faculty of Sociology and Social Work, Bucharest, Romania |
**Speech title** | The Student - Object or Subject of Learning - Impact on Assessment |
16:14 – 16:21 |
**Author** | Liliana BUDEVICI – PUIU - Assoc. Prof. Ph.D., State University of Physical Education and Sports, Chisinau, Republic of Moldova & Anatolie BUDEVICI – Prof. Ph.D., State University of Physical Education and Sports, Chisinau, Republic of Moldova |
**Speech title** | The Praxiological Model of the Integrated Sports Concept in the Republic of Moldova |
16:21 – 16:28 |
**Authors** | Liliana BUDEVICI – PUIU - Assoc. Prof. Ph.D., State University of Physical Education and Sports, Chisinau, Republic of Moldova & Veaceslav MANOLACHI – Prof. Ph.D., State University of Physical Education and Sports, Chisinau, Republic of Moldova |
**Speech title** | The Anatomy and Specificity of Sport in a National and European Context |
16:28 – 16:35 |
**Authors** | Valeria BĂLAN - Assoc. Prof. Ph.D., National University of Physical Education and Sport (U.N.E.F.S.), Bucharest, Romania & Camelia BRANET - Lect. Ph.D., “Politehnica” University of Bucharest Romania & Lavinia POPESCU - Assoc. Prof. Ph.D., National University of Physical Education and Sport (U.N.E.F.S.), Bucharest, Romania & Ana Maria MUJEA- Lect. Ph.D.,
| EDU Parallel ZOOM regular virtual session #P4 | National University of Physical Education and Sport (U.N.E.F.S.), Bucharest, Romania |
| --- | --- |
| Speech title | Recreational Swimming – A Way to Improve Motor Skills |
**Language of presentation** | English/Romanian
**Presenters & speeches** | 16:00 – 16:08 |
**Author** | Editha-Margareta COȘARBĂ – Assist. Ph.D., „Aurel Vlaicu” University of Arad, Romania & Camelia-Nadia BRAN - Assoc. Prof., Ph.D., “Aurel Vlaicu” University of Arad, Romania |
**Speech title** | A Finding Study of Teachers’ Perspectives about Self-education |
16:08 – 16:16 |
**Author** | Luminița–Mihaela DRĂGHICESCU – Assoc. Prof. Ph.D., Teacher Training Department, “Valahia” University, Târgoviște, Romania & Ioana STĂNCESCU - Lect. Ph.D., Teacher Training Department, “Valahia” University Târgoviște, Romania |
**Speech title** | The Importance of Teachers’ Representations and Beliefs in Managing Early School Leaving |
16:16 – 16:24 |
**Authors** | Sergiu-Lucian RAIU –” Ștefan cel Mare” University of Suceava, Romania & Maria ROTH - ”Babes-Bolyai” University of Cluj-Napoca, Romania & Ágnes DÁVID-KACSÓ - ”Babes-Bolyai” University of Cluj-Napoca, Romania & Ioana ORZEA – ”Radu-Negru” National College of Făgăraș, Romania |
**Speech title** | Analysis of the High School Climate. Pilot Study in Romania |
16:24 – 16:32 |
**Authors** | Elena Ancuța SANTI - Lect., Ph.D., “Valahia” University, Târgoviște, Romania & Ioana STĂNCESCU - Lect. Ph.D., Teacher Training Department, “Valahia” University Târgoviște, Romania |
Virtual Workshop #4 | Conceptual and Practical Aspects – Results of National and International Cooperation Through National University of Physical Education and Sports (U.N.E.F.S.) Projects
Friday, November 26th, 2021
16:00 - 16:40 GMT+2 (Bucharest time)
Join ZOOM Meeting | Zoom account LUMEN Publishing
Chair | Luciela VASILE – Prof. Ph.D., National University of Physical Education and Sport, Bucharest, Bucharest, Romania
Timing | 40 minutes session
Language of presentation | Romanian
Workshop title | Conceptual and Practical Aspects – Results of National and International Cooperation Through National University of Physical Education and Sports (U.N.E.F.S.), Projects
Main Organizer Institution | National University of Physical Education and Sports (U.N.E.F.S.), Bucharest, Romania
Co-organizers | LUMEN Research Center in Social & Humanistic Sciences, Iasi, Romania
Overview | This Webinar proposed by National University of Physical Education and Sports (U.N.E.F.S.), disseminates information on some of the projects carried out this year by the National University of Physical Education and Sport in Bucharest.
Our Webinar will present some of our National University of Physical Education and Sports (U.N.E.F.S.), projects, the experience in various such projects and some aspects regarding the outcomes.
- EFORIE NORD TEACHING RESORT FOR PROFESSIONAL TRAINING ACTIVITIES IN THE SEASHORE ENVIRONMENT – CNFIS-FDI-2021-0015
- INNOVATION AND COMPETITIVENESS IN
Virtual Workshop #5 | Theoretical and Practical Aspects regarding the University Sports for Disabled Athletes
Friday, November 26th, 2021
17:00 - 17:40 GMT+2 (Bucharest)
Language of presentation | Romanian
Workshop title | Theoretical and practical aspects regarding the university sports for disabled athletes
Topics | Quality assurance in education
Presenters & speeches |
Authors | Luciela VASILE - Prof. Ph.D., National University of Physical Education and Sport, Bucharest, Romania & Silvia TEODORESCU - Prof. Ph.D., National University of Physical Education and Sport, Bucharest, Romania & Valeria BĂLAN - Assoc. Prof. Ph.D., National University of Physical Education and Sport, Bucharest, Romania & Gabriela DINȚICĂ - Assoc. Prof. Ph.D., National University of Physical Education and Sport, Bucharest, Romania & Lavinia POPESCU - Assoc. Prof. Ph.D., National University of Physical Education and Sport, Bucharest, Romania & Coseta MINCULESCU - Assoc. Prof. Ph.D., National University of Physical Education and Sport, Bucharest, Romania
Speech title | Conceptual and Practical Aspects – Results of National and International Cooperation through National University of Physical Education and Sport (U.N.E.F.S.), Projects
Join ZOOM Meeting | Zoom account LUMEN Publishing
Chair | Aura BOTA – Prof. Ph.D. National University of Physical Education and Sport, Bucharest, Romania
Timing | 40 minutes session
Main Organizer Institution | National University of Physical Education and Sports, Bucharest, Romania
Co-organizers | LUMEN Research Center in Social & Humanistic Sciences, Iasi, Romania
Overview | This Webinar proposed by National University of Physical Education and Sports (U.N.E.F.S.), presents specific aspects concerning physical education and sports for disabled athletes, organized within universities. Participants will emphasize the main approaches in this area and future developments associated to European policies in this area, as depicted by Paralimits Erasmus Sport project team.
Topics | Sport Pedagogy
Presenters & speeches |
Author | Aura BOTA – Prof. Ph.D. National University of Physical Education and Sport (U.N.E.F.S.), Bucharest, Romania
Speech title | Legal Framework Concerning the University Sports for Disabled Athletes; Models of Good Practice
Author | Sonia ALBU – Prof. Ph.D. National University of Physical Education and Sport (U.N.E.F.S.), Bucharest, Romania
Speech title | High-Level Adapted Sports in Romanian University Settings
Author | Marian PĂDURE – “Babeș-Bolyai” Univeristy, Cluj-Napoca, Romania
Speech title | Barriers and Obstacles for the Dual Career of Disabled Athletes in Romania; Model of Good Practice in Adapted Sports in Higher Education
Author | Ion M. Gabriel CĂPITAN - Assistant manager Public Relations – Invictus
Virtual Workshop #6 | Virtual Reality and Anti-doping Education
Friday, November 26th, 2021
18:00 - 18:40 GMT+2 (Bucharest time)
Join ZOOM Meeting | Zoom account LUMEN Publishing
Chair | Doina CROITORU – Prof. Ph.D. National University of Physical Education and Sport, Bucharest, Romania
Timing | 40 minutes session
Language of presentation | Romanian
Workshop title | Virtual Reality and Anti-doping Education
Main Organizer Institution | National University of Physical Education and Sport in Bucharest (U.N.E.F.S.)
Co-organizers | LUMEN Research Center in Social & Humanistic Sciences, Iasi, Romania
Overview | This Webinar proposed by National University of Physical Education and Sports (U.N.E.F.S.), presents specific aspects concerning antidoping education for professional and amateurs athletes, through modern technologies. Participants will emphasize the main approaches in this area and future developments, associated to international policies in this area, as depicted by Viral Erasmus Sport project team.
Topics | Sport Pedagogy
Presenters & speeches |
Author | Vassilis BARKOUKIS, Despoina OURDA, Yannis NTOVOLIS & Lida SKOUFA - Aristotle University of Salonic, Greece
Speech title | Virtual Reality and Anti-doping Education
Author | Yannis NTOVOLIS, Despoina OURDA, Vassilis BARKOUKIS & Lambros LAZURAS - Department of Physical Education and Sport Science,
| **Authors** | Vassilis BARKOUKIS, Garifallia DAROGLOU & Stella KAFFE - Department of Physical Education and Sport Science, Aristotle University of Thessaloniki, Greece
**Speech title** | Implementation of Communities of Practice on anti-doping in Greece |
| **Author** | Claudia BERBECARU - NADO Romania
**Speech title** | Psychological Predictors of Intentions to Report Doping Irregularities |
| **Author** | Doina CROITORU, Prof. Ph.D. National University of Physical Education and Sport, Bucharest, Romania & Monica STĂNESCU - Prof. Ph.D. National University of Physical Education and Sport, Bucharest, Romania
**Speech title** | Model of Good Practices in NADO Romania Educational Programs |
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### 5th LUMEN EDU 2021 | Posters session
| **Posters** | 5th LUMEN EDU 2021 | alphabetical order |
| **Authors** | Laurentiu BOCIOACA - Assoc. Prof. Ph.D., National University of Physical Education and Sport Bucharest, Stefan Furtuna, Bucharest, Romania
**Poster title** | Specific Adaptations to the Performance Judoka |
| **Authors** | Viorica - Torii CACIUC - Ph.D. Assoc. Prof., Teacher Training Department, Faculty of Physical Education and Sport, “Dunărea de Jos” University of Galati, Romania
**Speech title** | Curricular Opportunities for Achieving Ecological Education at Preschool Age |
| **Author** | Atena-Ioana GÂRJOABĂ - Ph.D. Candidate, “Ion Mincu” University of Architecture and Urbanism, Bucharest, |
| Romania & Cerasella CRĂCIUN - Prof. Ph.D., “Ion Mincu” University of Architecture and Urbanism, Romania |
| --- |
| **Poster title** | Supporting the Process of Designing and Planning Heritage and Landscape, Architecture, Urbanism and Spatial Planning by Spatializing Data on a Single Support Platform. Case Study: Romania |
| Authors | Anca GRECULESCU- Lect. Ph.D., “Politehnica” University of Bucharest, Romania & Liliana-Luminita TODORESCU – Lect. Ph.D., “Politehnica” University of Timisoara, Romania |
| --- |
| **Poster title** | Student-Teacher Relationship in Online Technical Higher Education |
| Author | Alexandra HUIDU - PhD Student, Doctoral School of Sociology, University of Oradea, Romania & University of Medicine and Pharmacy Grigore T. Popa from Iasi, Romania; Lumen Research Center in Social and Humanistic Sciences, Iasi, Romania |
| --- |
| **Poster title** | Reasons for Acceptability and Reasons for Unacceptability of ARTs and Biotechnologies in Romania is Education a Factor? |
| Authors | Gabriela MANTESCU - Professor PhD Valahia University of Targoviste, Romania & Gabriel GORGIU - Prof., Ph.D., “Valahia” University, Targoviste, Romania & Mihai BIZOI, “Valahia” University of Târgovişte, Romania, Automatic Control, Informatics and Electrical Engineering Department |
| --- |
| **Poster title** | The Role of Communication in Developing the Educational Profile Needed for the Transition to Green and Sustainable Energy |
| Author | Rarita MIHAIL - Assoc. Prof. Ph.D., “Dunarea de Jos” University of Galati, Romania |
| --- |
| **Poster title** | The Relevance of Critical Thinking from the Perspective of Professional Training and Citizenship Education |
| Author | Simona MINA – Assoc. Prof. Ph.D., Constanta |
| --- |
| **Poster title** | The Role of the Teacher in the Development of the Competences of the Students in the Context of the Digital Transformation of Education |
| Author | Georgiana OPRESCU – Ph.D. candidate, University of Bucharest, Romania & Ana Rodica STAICULESCU -University of Bucharest, Romania |
| --- | --- |
| Poster title | Ethics and Integrity in the Current Academic Culture, in the Context of the New Public Management in Universities |
| Author | Antonio SANDU- Prof. Ph.D. Hab., “Stefan cel Mare” University of Suceava, Romania |
| --- | --- |
| Poster title | Comparative Sociological Perspectives Between the Summer Season 2020 and the Summer Season 2021 on the Impact of the COVID-19 Pandemic on Romanian Tourism |
| Author | Loredana TEREC - VLAD – Ph.D., “Stefan cel Mare” University of Suceava, Romania; “Titu Maiorescu” University of Bucharest, Romania |
| --- | --- |
| Poster title | Dilemma Ethics Training for Higher Education |
| Author | Liliana-Luminita TODORESCU – Lect. Ph.D., “Politehnica” University of Timisoara, Romania & Anca GRECULESCU – Lect. Ph.D., “Politehnica” University of Timisoara, Romania |
| --- | --- |
| Poster title | Online Teaching and Quality Assurance in Technical Higher Education |
| Author | Ana-Maria ZAMFIR - Ph.D., Researcher, National Scientific Research Institute for Labour and Social Protection, Bucharest, Romania & Anamaria NĂSTASĂ - Ph.D. Student, Researcher, National Scientific Research Institute for Labour and Social Protection, Bucharest, Romania & Anamaria-Beatrice ALDEA - Researcher, National Scientific Research Institute for Labour and Social Protection, Bucharest, Romania |
| --- | --- |
| Poster title | Earnings Premium from Education in the Context of Educational Expansion |
16th LUMEN CATES 2021 | ZOOM Regular Virtual sessions
17:00 – 18:40 GMT+2 (Bucharest time)
Parallel ZOOM regular virtual session # P5 |
Language of presentation | English
Presenters & speeches | 17:00 – 17:06 |
Author | Vita BEZLIUDNA - Doctor of Pedagogical Sciences, Prof., Department of Foreign Languages, Pavlo Tychyna Uman State Pedagogical University, Uman, Ukraine & Iryna SHCHERBAN - Candidate of Sciences in Pedagogy Department of Foreign Languages, Pavlo Tychyna Uman State Pedagogical University, Uman, Ukraine & Olha SVYRYDIUK - Candidate of Sciences in Pedagogy, Department of Foreign Languages, Pavlo Tychyna Uman State Pedagogical University, Uman, Ukraine
Speech title | Reformation of Foreign Language Education System after World War II in Ukraine: Analysis of Policy Impact
17:06 – 17:12 |
Author | Lucian Dumitru DÎRDALĂ – “Alexandru Ioan Cuza” University of Iași, Romania
Speech title | Reshaping the Relationship between the President and the Prime-Minister in the Romanian Political System: Theoretical Insights and Practical Constraints
17:12 – 17:18 |
Author | Aslanbek NAZIEV - Prof. Ph.D., Ryazan State University, Ryazan, Russian Federation
Speech title | Transdisciplinarity in Mathematics Teaching: Solving Equations and Inequalities in the Unity with Language, Metalanguage, and Subject Matter Principle
| 17:18 – 17:24 | Authors | Michal IMROVIČ - Ph.D., University of St. Cyril and Methodius, Trnava, Slovak Republic & Olga BOČÁKOVÁ - University of St. Cyril and Methodius, Trnava, Slovak Republic & Andrej HRNČÁRIK - University of St. Cyril and Methodius, Trnava, Slovak Republic |
| --- | --- | --- |
| Speech title | Social Policy through the Eyes of Young People |
| 17:24 – 17:30 | Authors | Valentin POPESCU – Ph.D. student, National University of Arts, Bucharest, Romania |
| --- | --- | --- |
| Speech title | Heinrich Schoenberg: Modernist Architect in Interwar Bucharest |
| 17:30 – 17:36 | Author | Camelia Angelica DÂMBEAN - University of Medicine, Pharmacy, Science and Technology from Târgu Mureș, Romania & Daria Anda SANDOR DAMBEAN - Student, Technical University of Cluj-Napoca, Romania |
| --- | --- | --- |
| Speech title | Implications of Emotional Intelligence in Human Resource Management in Relation to Computers and Information Technology in Industry |
**Parallel ZOOM regular virtual session # P6**
**Language Of Presentation** | Romanian/ English
**Presenters & Speeches**
| 17:00 – 17:07 | Author | Livia DURAC – Prof. Ph.D., "Petre Andrei" University of Iași, Romania |
| --- | --- | --- |
| Speech Title | Defining Aspects of Communication Behaviours from the Perspective of the Male-Female Dyad: Limits, Influences, Correspondences |
| 17:07 – 17:14 | Authors | Vlad Theodor COTROBAS DASCALU - Ph.D. |
| **Society Development** | Student National University of Physical Education and Sports, Bucharest, Romania & **Marius STOICA** - Prof. Ph.D., National University of Physical Education and Sport, Bucharest, Romania & **Adina Andreea DREVE** – Prof. Ph.D., National University of Physical Education and Sport of Bucharest, Romania |
| --- | --- |
| **Moderator | Loredana TEREC – VLAD “Stefan cel Mare” University from Suceava, Romania** | **Speech Title | Assessment of Quality of Life in Patients with Lower Limb Amputation after Work Accidents** |
| **Timing | 40 minutes session (7 minutes for each presentation + 5 minutes for final commentaries)** | 17:14 – 17:21 |
| **Author | Livia DURAC** - Prof. Ph.D., ”Petre Andrei” University of Iași, Romania | **Speech Title | The Feminist Movement: Major Contributions, Perspectives, Communication Landmarks** |
| 17:21 – 17:28 | **Author | Loredana TEREC – VLAD** - Ph.D., ”Stefan cel Mare” University of Suceava, Romania; ”Titu Maiorescu” University of Bucharest, Romania | **Speech Title | Understanding the Moral Dimension of Surrogacy** |
| 17:28 – 17:35 | **Author | Iulian APOSTU** - Lect. Ph.D. University of Bucharest, Bucharest, Romania | **Speech title | Temporary Separation – A Form of Remedy versus a Step Towards Dissolution** |
16th LUMEN CATES 2021 Associated Event |
5th International Conference on Critical Discourse Analysis (CDA 2021)
The (Un)Reliability of Discourse in Decision Making – Cultural, Social and Ethical Perspectives
Târgoviste, Romania | November 26th, 2021
18:00 - 19:00
GMT+2 (Bucharest time)
Join ZOOM Meeting | Zoom link from organizers
Moderators |
Tomita CIULEI – Assoc. Prof. Ph.D. – “Valahia” University of Târgoviste, Romania &
Ioana RAICU – Senior Lect. Ph.D. – “Valahia” University of Târgoviste, Romania
Timing | 60 minutes session
(7 minutes for each presentation + 4 minutes for final
Language of presentation | Romanian
Organizers | Faculty of Political Sciences, Letters and Communication, “Valahia” University of Târgoviste, Romania
Short description of the event |
The conference adopts an interdisciplinary perspective accepting work from Linguistics, Literature, Psychology, Sociology, Philosophy, Communication Studies and other associated fields. Carrying forward the outline set by our previous edition when we placed discourse in relation to large-scale social changes and discussed its cultural, social and ethical perspectives, this year’s conference theme, The (Un)Reliability of Discourse in Decision Making – Cultural, Social and Ethical Perspectives, challenges scholars to focus their attention on the role of discourse in decision-making in general, but also in more particular cases, by taking into consideration the degree of reliability that a certain type of discourse presupposes when it comes to using it for more general goals in producing social change.
Presenters & speeches |
18:00 – 18:07 |
Author | Elena Anca GEORGESCU – “Valahia” University of Targoviste, Romania
| **Speech title** | *Doris Lessing’s Predictions of Global Changes* |
|-----------------|-----------------------------------------------|
| 18:07 – 18:14 | |
| **Author** | Nicoleta-Aurora POPESCU - Lecturer Ph.D., Valahia University of Targoviste, Faculty of Political Sciences, Letters and Communication, Romania & Mirela ANGHEL - Lect. Ph.D., University of Bucharest, Romania |
| **Speech title** | *Interpersonal Communication and Politeness on Internet* |
|-----------------|----------------------------------------------------------|
| 18:14 – 18:21 | |
| **Authors** | Tomiță CIULEI - Assoc. Prof. Ph.D., “Valahia” University of Targoviste, Romania & Daniel COJANU - Assoc. Prof. Ph.D., “Valahia” University of Targoviste, Romania & Anca GEORGESCU - Senior Lect., “Valahia” University of Targoviste, Romania & Roxana MOSOR – Assist. Lect., “Valahia” University of Targoviste, Romania |
| **Speech title** | *Mutations of Social Perception in the COVID-19 Pandemic* |
|-----------------|-----------------------------------------------------------|
| 18:21 – 18:28 | |
| **Authors** | Tomiță CIULEI – Assoc. Prof. Ph.D. “Valahia” University of Targoviste, Romania & Roxana-Elena MOSOR – Assist. Lect. “Valahia” University of Targoviste, Romania |
| **Speech title** | *Pandemic Protest Movements* |
|-----------------|-----------------------------|
| 18:28 – 18:35 | |
| **Author** | Cristina FURTUNĂ – Senior Lect. Ph.D. “Valahia” University of Targoviste, Romania |
| **Speech title** | *Traditional and Folkloric in Romanian Folk Poetry* |
|-----------------|-----------------------------------------------------|
| 18:35 – 18:42 | |
| **Author** | Ileana TĂNASE – Assoc. Prof. Ph.D., “Valahia” University of Targoviste, Romania |
| 16th LUMEN CATES 2021 | Posters session |
|----------------------|-----------------|
| **Posters** | **16th LUMEN CATES 2021 | alphabetical order** |
| **Authors** | Monica-Gabriela AMUZA - Ph.D. student, University of Architecture and Urbanism “Ion Mincu”, Bucharest, Romania & Cerasella CRACIUN - Prof. Ph.D., University of Architecture and Urbanism “Ion Mincu”, Bucharest, Romania |
| **Poster title** | *The Role of Ecological Connectivity for the Management of Resilient and Functional Ecosystems in Urban Landscape Planning* |
| **Author** | Madalina Virginia ANTONESCU – Ph.D. Independent expert, Bucharest, Romania |
| **Poster title** | *The Urbanocene – the Spatial Urban Century. Great Houses of Trans-Civilizational Projects. Fortified Cities and Open Cities- Developments of Urban Global World* |
| **Author** | Madalina Virginia ANTONESCU – Ph.D. Independent expert, Bucharest, Romania |
| **Poster title** | *Nomad Cities. The “NUW” Concept (“Nomad Urban Worlds”) and the “UNE” (“Nomad Urban Empires”) at the End of XXIst Century-the Beginning of XIInd Century* |
| **Author** | Ana FRUNZA - Ph.D., Researcher, LUMEN Research Center in Social and Humanistic Sciences, Iasi (Romania) |
| **Poster title** | *Social Work Practice between Applied Ethics and Social Pragmatics* |
| **Author** | Alexandra HUIDU - PhD Student, Doctoral School of Sociology, University of Oradea, Oradea, Romania & University of Medicine and Pharmacy Grigore T. Popa from Iasi, Romania; Lumen Research Center in Social and Humanistic Sciences, Iasi, Romania |
| **Poster title** | *The Social Profile of Persons Most Inclined to Accept ARTs and Biotechnologies in the Romanian society* |
| **Authors** | Maria Monica IUCA - Ph.D. Candidate, University of Architecture and Urbanism, Bucharest, Romania & Cerasella CRACIUN - Prof. Ph.D., “Ion Mincu” University of Architecture and Urbanism, Bucharest, Romania |
| **Poster title** | *Twin Cities along the Danube, Opportunity for Urban Development in European Union* |
| **Author** | Mihaela Catalina NECULAU - Ph.D., University of Oradea, Romania |
| **Speech title** | *Stories of Humanity in the Social Construction of Professional Identity in Nursing* |
| **Authors** | Ana Cornelia OLTEANU - Lect. Ph.D., Constanta Maritime University, Constanta, Romania & Cristian DRAGAN - Lect. Ph.D., Constanta Maritime University, Constanta, Romania & Viorela Georgiana STINGA - Lect. Ph.D., Constanta Maritime University, Constanta, Romania |
| **Poster title** | *Strategic Management of Constanta Port* |
| **Author** | Antonio SANDU - Prof. Ph.D. Hab., “Stefan cel Mare” University of Suceava, Romania |
| **Poster title** | *Anxiety and Frustration during the Covid-19 Pandemic* |
| ZOOM regular virtual session # 7 | Speakers & Speeches |
|---------------------------------|---------------------|
| **18:00 – 18:40 GMT+2 (Bucharest time)** | Language of presentation | English/Romanian |
| **Join ZOOM Meeting** | Zoom account Editura LUMEN |
**Session** | Premises for a Sustainable Society
**Moderators** | Iuliana LUNGU - Lecturer PhD, Ovidius University of Constanta, Romania
**Timing** | 40 minutes session
(8 minutes for each presentation + 8 minutes for final commentaries)
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18:00- 18:08 | **Author** | Iuliana LUNGU - Lecturer PhD, Ovidius University of Constanta, Romania
**Speech title** | The Challenges Experienced by the English Language Teachers in Primary Schools Worldwide Reflected at the Local Level of Romanian Reality and Practices
18:08- 18:16 | **Authors** | Gheorghe NADOLEANU - PhD. Student, University of Bucharest Faculty of Sociology and Social Work, Bucharest, Romania & Ana Rodica STĂICULESCU - University Professor Doctor, University of Bucharest Faculty of Sociology and Social Work, Bucharest, Romania & Emanuela BRAN - PhD. Student, Transilvania University of Brasov Faculty of Electrical Engineering and Computer Science, Brasov, Romania
**Speech title** | The Multifaceted Challenges of the Digital Transformation: Creating a Sustainable Society
18:16- 18:26 | **Author** | Andra COSTACHE - Lecturer PhD, Valahia University of Targoviste, Romania & Mihaela SENCOVICI - Lecturer PhD, Valahia University of Targoviste, Romania
**Speech title** | Nature Relatedness and Endorsement of the New Ecological Paradigm in Romania
| Parallel ZOOM regular virtual session # P8 | 18:00 - 18:40 GMT+2 (Bucharest time) |
|------------------------------------------|--------------------------------------|
| **Join ZOOM Meeting** | **Zoom account LUMEN Conference** |
**Session** | Current challenges for social evolution
**Moderators** | Ecaterina LUNGU- PhD student, State University of Physical Education and Sport, Chisinau, Republic of Moldova & Iulian APOSTU - Lecturer PhD. University of Bucharest, Faculty of Sociology and Social Work, Bucharest, Romania
**Timing** | 40 minutes session (7 minutes for each)
| 18:00- 18:07 | Authors | Ecaterina LUNGU- PhD student, State University of Physical Education and Sport, Chisinau, Republic of Moldova
**Speech title** | Sports Corruption in our Society: an Analysis of People's Cognition |
| 18:07- 18:14 | Authors | Natalia NASTAS - PhD, university lecturer, State University of Physical Education and Sport, Chisinau, Republic of Moldova
**Speech title** | Corruption and Sport: a Game Yet to Win |
| 18:14- 18:21 | Authors | Iulian APOSTU - Lecturer PhD. University of Bucharest, Faculty of Sociology and Social Work, Bucharest, Romania
**Speech title** | Self-Mediation in the Contemporary Couple |
| 18:21- 18:28 | Author | Lucian Dumitru DÎRDALĂ - Alexandru Ioan Cuza University in Iași, Romania
**Speech title** | The Conference on the Future of Europe and the Prospects for an Improved Democratic Process in the European Union |
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**Speech title** | Nanomaterials for Architecture and Art Conservation |
Virtual Workshop #7 | Key Insights into Law and the Administration of Justice in the Context of Current Challenges
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Workshop title | Key Insights into Law and the Administration of Justice in the Context of Current Challenges
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Speech title | Some Aspects Regarding the Verification of the Measure of Pre-trial Detention in the Preliminary Chamber Phase
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| **Speech title** | *Controversies regarding the Introduction of the Civilly Responsible Party in the Criminal Litigation* |
| 19:36- 19:42 |
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| **Authors** | Denisa BARBU - Lect. Ph.D., “Valahia” University of Targoviste, Romania |
| **Speech title** | *The Appeal regarding the Measure of the Precautionary Seizure of Goods* |
| 19:42- 19:48 |
| --- |
| **Authors** | Denisa BARBU - Lecturer PhD, Faculty of Law and Administrative Sciences, Valahia University of Targoviste, Romania & Nicolae Silviu PANĂ - Nicolae Titulescu University, Romania |
| **Speech title** | *Practical Difficulties in Replacing Preventive Measures* |
### 8th LUMEN NASHS 2021 | Posters session
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THE CORROSION INHIBITION EFFECT ON THE MAGNESIUM ALLOY AZ91C'S FATIGUE BEHAVIOR IN THE SALINE ENVIRONMENT
Mohammed S.R. SALEH\textsuperscript{1}, Magdi E.M. EL-GAROSHI\textsuperscript{1}, Ali F. Ali FADIEL\textsuperscript{1,*}, Hafiez M.B. KHALID\textsuperscript{1}
\textsuperscript{1}Mechanical Engineering Department, Higher Institute for Sciences and Technology, Tobruk, Libya
Abstract
Investigations were made into the fatigue in the magnesium alloy AZ 91C cast in corrosive fluids and air at varied NaCl solution concentrations. Fatigue specimens will be subjected to surface stress testing in corrosive conditions with a stress amplitude of 75 MPa both after and before coating. To comprehend the behavior of the magnesium material, its fatigue life, corrosion product (X-ray spectra), and fracture properties will be examined. The corroding medium (NaCl) has been found to significantly shorten the fatigue life of the magnesium alloy AZ91C. Chemical conversion treatment was applied to the AZ91C alloy to improve corrosion resistance and corrosion fatigue resistance. MgSnO3 was found in the XRD patterns of the stannite-treated AZ91C alloy, and this treatment slightly improved the alloy's corrosion resistance in an alkaline stannite solution with a pH of 7. H2O and SEM images demonstrate that chloride ions can penetrate the substrate through porous structures.
Keywords: magnesium alloy, corrosion resistance, fatigue life, Chemical conversion treatment
Introduction
In all of the trials conducted for this investigation, the under-test medication, AZ91C, whose chemical make-up is shown in Table 1, was used. The two phases that make up the early microstructure are the phase and the -phase. The intermetallic phases, Mg17Al12, which contain more than 40% aluminum, are the -phase, a solid mixture of magnesium, aluminum, and zinc that shares the same crystal structure. The free corrosion potential of this intermetallic complex, which is divided at the grain boundaries, is almost -1.0 V as opposed to -1.73 V for the -phase [1].
Metals General Co. in the area supplied the as-cast AZ91C plate. It was machined to a length of 120 mm and a diameter of 50 mm. 30 x 30 x 90 mm and was used to fatigue test samples with a thickness of 3 mm [2]. A variety of circumstances, including corrosion fatigue and the alloys studied were tested for weight loss during immersion. In order to ascertain the fatigue life in various settings, corrosion fatigue experiments were performed on flat tensile specimens with a 3 mm thickness and the dimensions as seen in Fig. 1.
Table 1. AZ91C Mg alloy chemical composition (wt. %) [3]
| Alloy | Al | Zn | Mn | Si | Cu | Ni | Fe | Mg |
|-------|------|------|------|------|------|------|------|------|
| AZ91C | 8.80 | 0.71 | 0.19 | 0.029| 0.002| <0.001| 0.0010| Bal. |
All test specimens were washed, degreased, and dried in the air after being polished with consecutive grits of 280, 400, 800, and finally 1200. The corrosion resistance of a material is evaluated using immersion testing under various circumstances. We calculated weight loss using a Rectangular sample with dimensions $30 \times 30 \times 4.80$ mm. Following cleaning and degreasing, Before and after testing, the samples were weighed on an analytical scale with a measurement accuracy of 0.0001 g. The tests were placed over the course of two days.
After removing the corrosion products from the sample surfaces using conventional methods, the test samples were weighed.
Additional specimens of the same sizes were used in the accelerated corrosion studies. Table 2 illustrates the alloy's mechanical properties.
**Table 2. AZ91C Mg Alloy Mechanical Properties [3]**
| Yield Strength, MPa | Tensile Strength MPa | Elongation % in 50 mm g.l. | Hardness HB | Elastic modulus GPa |
|---------------------|----------------------|----------------------------|-------------|--------------------|
| 145 | 275 | 6 | 68 | 45 |
The samples were sanded on fine paper with 1200 grit followed by a polishing process using pads and aluminum oxide for continuous immersion testing. Then each sample was first cleaned in accordance with ASTM G 172-03[4]. The polished and reweighed samples were exposed to 1%, 5%, and NaCl solutions at different time intervals. In the end, wash the samples well by immersing them in 100 ml of a 15% CrO$_3$ solution in boiling water. This is followed by an acetone wash. Each experiment ends with annual weight loss measurements and corrosion rate determination in millimeters.
**Methods and Methods**
The corrosion fatigue studies were conducted bending fatigue testing on a plane apparatus Fig. 2. The apparatus is set up to allow for the evaluation of specimen fatigue life in diverse contexts. Multiple fatigue stress cycles with varying maximum and minimum stresses were part of the conditions for each trial. They are both in tension, the mean stress (m) is 75 MPa, the maximum stress (m) is 100 MPa, the proportion of the lowest to maximum stress (R) is 0.5, and the frequency is a constant 13.3 Hz (800 rpm) [5].
**Environment**
The inhibitor of choice for this study was the theorem. Complete immersion test in 1%, 5%, and, NaCl. The exposure time is two days. Complete immersion tests were performed in an aqueous (5%) sodium chloride solution at pH = 7 in the presence of inhibitors. The overall amount of inhibitory tincture Present in 5% NaCl aqueous solution at different concentrations (0.01, 0.05) g/l. The test specimen’s weight loss is used to calculate the corrosion rate. For this purpose, corrosion products are removed [6].
Different Procedures of Experimental Work
A flowchart of the experiments employed in this study's tests is shown in Fig. 3.
Technique
Test specimens or components are put through enough stress cycles to start showing cracks in cycles-to-failure testing, which propagate until complete breaking occurs. Examining smooth or notched specimens is usually how this information is found. However, it can be difficult to distinguish between CFC propagation life and CFC initiation using this type of testing.
Rates of existing cracks advancing using fracture mechanics techniques, crack propagation testing evaluates crack propagation under cyclic stresses. A material’s ability to initiate cracks is reduced or completely eliminated by pre-existing cracks or acute flaws. Testing of both kinds is crucial. Though it seems that fracture growth predominates thick-section component durability, crack initiation appears to be more significant in the failure process of comparatively thin sections [7]. Corrosion fatigue experiments were performed at continuous frequencies of 13.3 Hz, a stress ratio of 0.5, and a mean stress of 75 MP (complete fracture). For each specimen, the estimated number of cycles to failure (Nf) was calculated. It was looked into how Nf and the type and amount of the chemical environment related to one another.
In order to examine the surface morphology of the specimens and their fracture mechanism, corrosion fatigue testing specimen surfaces were characterized using XRD thin films (Panalytical Xpert Pro), optical microscopy, and scanning electron microscopy (Jeol-5410).
Results and Discussion
Extensive metallographic examinations on the fatigue specimens were done in order to drive a life-prediction concept based on microstructural damage mechanisms. Similar observations of fracture initiation for die-casting AZ91C were reported, and it appears that crack initiation during fatigue occurs at contraction cavities at or below the surface. The essential discontinuity's location and nature, as well as any obvious patterns in the corrosion fractures, forms, and degree of damage, were all revealed by fractography. The correlation between the effect of NaCl concentration and fatigue life (Nf) is depicted in Fig. 4. It is before the coating that the material's structure is significantly damaged by the NaCl content, and, as a result, lowers the material's corrosion resistance and fatigue strength. Additionally, it is discovered that for the magnesium alloy AZ91C in the corrosive media was attained at 5108 cycles, which is a significant difference in the number of cycles to failure (Nf).
and that obtained in the air Nf=3103 cycles. The material exhibits a comparatively high fatigue life at 1% NaCl (Nf=140000 cycles). The fatigue life was lowered to Nf=109000 and 90000 cycles with ratios of -22 and -35.7%, respectively when the NaCl concentrations were increased to 3 and 5%. The fatigue life Nf is drastically reduced to 55300 cycles, or -60.5%, by raising the NaCl concentration to 7%. It is evident that the NaCl gradually damages the structure of the Mg alloy after coating. Additionally, it has been discovered that the coating layer enhances and protects fatigue life. The fatigue life for 1% NaCl rises from 140000 cycles before coating to 230220 cycles after coating (an increase in Nf of approximately 64.4%). The fatigue life significantly worsens at 3% NaCl concentration (45% reduction in Nf). The fatigue life is somewhat reduced by increasing the NaCl concentrations to 7%, going from 11000 to 103000 (3.6% less Nf).
Figures 5 and 6 show typical surface fractures of the rope surface after exposure time. Localized corrosion affects the entire surface and persists, leading to general corrosion after the exposure period. The degree of erosion indicates the corrosiveness of the corrosive medium. Cracks begin at the surface, usually at points of high-stress concentration (also called stress intensity factors), and propagate farther and farther with each increase in load until the remaining stress area eventually becomes too small to statically support the load [8] are: Are as follows: The crack spreads because the crack tip zone is too small.
During its expansion, there was a crack deflection and crack branching. The crack tip is reduced when the fracture is diverted off its typical growth plane, increasing the fatigue crack growth resistance [9, 10].
**Fig. 4.** The concentration of NaCl affects the fatigue life of bare and coated samples
As the crack length rises, crack closure may also contribute to slower crack propagation. Fig 5. AZ91C following corrosion in 1% NaCl, in a SEM micrograph before coating. It seems clear, that the NaCl moderately attacks the surface of AZ91C giving crack initiation. However, Total fatigue surface aspects ensure a lower severity of 1% NaCl (see image b in fig. 5)
Fig. 5. SEM micrograph demonstrating the impact of 1% NaCl concentration on the fracture surface
Fig. 6 shows a SEM micrograph of AZ91C before coating following corrosion in 5% NaCl. It shows catastrophic crack initiation. It seems clear that the NaCl severely attacks the surface of AZ91C. However, Total fatigue surface aspects exhibit high severity of surface roughness due to 5% NaCl concentration (see image b in fig. 6).
Fig. 6. SEM micrograph illustrating the impact of 5% NaCl concentration on fracture surface
After coating, the material in 1% NaCl exhibits uniform distribution of the fatigue crack initiation as shown in Fig. 7, and the crack initiation resistance is enhanced than uncoated samples. Therefore, the fatigue life relatively increases.
**Fig. 7.** SEM micrograph of showing the Effect of 1%NaCl concentration on fracture surface after coating
For 5% NaCl, the material exhibits severe attack of corrosion pits leading to a high concentration of surface roughness (a lot of the fatigue crack initiation sites) as Shown in Fig. 8. While the crack initiation resistance decreases by 1% NaCl of coated samples. Therefore, the fatigue life relatively deteriorates.
**Fig. 8.** SEM micrograph of showing the Effect of 5%NaCl concentration on fracture surface after coating
**Effect of a theorem on fatigue life**
Fatigue tests are conducted in an aggressive corrosive medium (NaCl) with inhibitors (thiourea in various concentrations) both before and after coating in order to increase the fatigue life of AZ91C.
In corrosive corrosion media (5 percent NaCl) concentration, the effect of different thiourea concentrations on the fatigue life of Mg-alloy AZ91C (bare and coated samples) is depicted in Fig. 9. As can be observed in the same figure, the fatigue life of Mg-alloy AZ91C generally increases whether it is coated with the thiourea inhibitor before or after.
As thiourea concentrations rise, the fatigue life of AZ91C before and after coating increases until it reaches a maximum value at 0.03 g/l thiourea, at which point it starts to decline. At 0.03 g/l thiourea, the largest number of cycles—118000 on the bare sample and 145964 on the coated sample—are obtained; at 0.01 g/l thiourea, the lowest number of cycles—70200 on the bare sample and 9130 on the coated sample—are obtained. The coated AZ91C alloy has a considerably longer fatigue life than the uncoated sample.
**Fig. 9.** The influence of different concentrations of thiourea on fatigue life of Mg-alloy AZ91C, on uncoated and coated samples in aggressive corrosion medium (5%NaCl)
Figs. 10 and 11 show SEM micrographs of AZ91C after corrosion in 5%NaCl before coating. They show the crack initiation of uncoated AZ91C samples (subjected to 5%NaCl in the existence of 0.01 or 0.05 Thoreau as an inhibitor). It is clear that the fatigue crack initiation is highly affected in the case of 0.01 thiourea than 0.05 g/l thiourea. As opposed to that, coated AZ91C samples see Figs. 12 and 13 show relatively high fatigue life in relation to uncoated samples. However, the fatigue crack initiation shows a higher delay of 0.05 g/l than of 0.01 g/l.
**Fig. 10.** SEM micrographs showing effect of thiourea concentration on crack initiation before coating (5%NaCl)
Fig. 11. SEM micrographs showing effect of theorem concentration on crack initiation before coating (5%NaCl)
Fig. 12. SEM micrographs showing theorem concentration (0.01g/l) effect on crack initiation for coated samples
Fig. 13. SEM micrographs showing effect theorem concentration 0.05 g/l on crack initiation for coated samples
**Inhibitor and Coating Efficiency**
The overall effectiveness (IE) of the corrosion fatigue test is calculated using the following equation (1).
\[
BE(\%) = \frac{Nf_{with} - Nf_{without}}{Nf_{without}} \times 100
\]
(1)
Where: \(Nf_{without}\) Fatigue life without inhibitor and without a coat; \(Nf_{with}\) Fatigue life with inhibitor and with a coat
**Table 3.** Percentage of the coating layer's boosting effectiveness at varied NaCl concentrations (pH=7)
| Solution | Coating Efficiency (CE), % |
|----------------|----------------------------|
| | Corrosion fatigue test |
| 1% NaCl | 64.4 |
| 5% NaCl | 23.3 |
**Table 4.** The percentage inhibition efficiency of Thoreau in 5% NaCl (pH=7)
| Solution | Inhibiting Efficiency (IE), % |
|---------------------------|-------------------------------|
| | Corrosion fatigue test |
| 5% NaCl + 0.01 g/l Thoreau| -22 |
| 5% NaCl + 0.05 g/l Thoreau| 30 |
**Table 5.** At 5% NaCl (pH=7), the percentage-enhancing effectiveness of both coating and inhibitor
| Solution | Efficiency Combined (BE), % |
|---------------------------|-----------------------------|
| | Corrosion fatigue test |
| 5% NaCl + 0.01 g/l Thoreau| 1.5 |
| 5% NaCl + 0.05 g/l Thoreau| 42.6 |
**Conclusions**
The conversion coating has many non-penetrating pores and is about 2 m thick.
Before the coating, it was clear that increasing the NaCl level seriously damaged the material’s structure and decreased its fatigue strength and corrosion resistance.
For samples that aren’t coated, the fatigue-emanating crack starts at the surface, whereas it starts in corrosion pits.
The paint layer reduces the rate of corrosion by approximately 46.5% when sodium chloride is used.
When the NaCl concentrations were raised to 5%, the fatigue life was somewhat reduced to \(Nf = 109000\) and 90000 cycles with ratios of -22 and -35.7%, respectively. Raising the NaCl content to 5% substantially reduces the fatigue life \(Nf\) to 55300 cycles, or -60.5%. It is obvious that after coating, the NaCl gradually weakens the structure of the Mg alloy.
The fatigue life is improved and protected by the coating layer. With 1% NaCl, the fatigue life increases from 140000 cycles prior to coating to 230220 cycles following coating (an increase in \(Nf\) of almost 64.4%).
**Future Directions and Limitations**
Corrosion of magnesium alloys is a complex process, and how corrosion acts is heavily influenced by the environment. Experimentation is the main research method used to study the particular corrosion mechanisms of magnesium alloys. The process underlying wear behavior as well as the properties of materials in this field require in-depth study.
To stop magnesium alloys from corroding, many people are interested in alloying. The application scope of the material can be further broadened by incorporating rare earth elements,
which display greater effects and improve the corrosion performance of magnesium alloy. Further study is required to comprehend how the rare earth elements added to magnesium alloy affect corrosion resistance because there is no single model for the corrosion resistance mechanism.
Coating techniques can successfully boost corrosion resistance by limiting contact between the surface and the corrosive media by producing a film with a distinct structure on the surface of the magnesium alloy. The advancement of this technology will determine how well magnesium alloys are used. The coating is one of these elements that help with local corrosion treatment. It is necessary to create models that precisely explain the processing stages and govern the microstructures and compositions on the surface in order to increase the treated magnesium alloy's corrosion resistance after the coating has been damaged.
The coatings on modern magnesium alloys must not only prevent corrosion but also be corrosion-resistant in a variety of environments due to the vast range of uses for these materials. This necessitates complex surface preparation techniques. It is necessary to promote research into the surface engineering of magnesium alloys and to build relevant databases for corrosion and protection.
References
[1] M. S. Saleh, A.F.A. Fadiel, H.M. Khalida, *Corrosion Rate Study of AZ91C Magnesium Alloy in Sodium Chloride Solution of Different Concentrations Using Immersion Method for Coated and Uncoated Samples*, *International Journal of Advances in Engineering Research*, 26 (II), 2023, https://doi.org/10.6084/m9.figshare.24077319.v1
[2] A. Powell, *A Magnesium Clean Energy Ecosystem Vision*. In: Maier, P., Barela, S., Miller, V.M., Neelameggham, N.R. (eds) Magnesium Technology 2022. The Minerals, Metals & Materials Series. *Springer, Cham*, 2022, https://doi.org/10.1007/978-3-030-92533-8_20
[3] L.D.K. Catherine, D.A. Hamid. *Mechanical properties and machinability of magnesium alloy AZ31 and AZ91—a comparative review*, *IOP Conference Series: Materials Science and Engineering*, 1062(1), 2021, p. 012054
[4] D. Singh, D.A. Basha, L. Wadsö, D. Orlov, Y. Matsushita, A. Singh, S.S. Hosmani, *Evolution of gradient structured layer on AZ91D magnesium alloy and its corrosion behavior*, *Journal of Alloys and Compounds*, 882, 2021, p. 160659.
[5] K. Eldwaib, M. Aldarwish, M. Ballem, S. Garrab, S. Adrwish, *The Corrosion Inhibition Effect on Fatigue Behavior for Aluminum Alloy 5052 in the Saline Environment*, *Journal of Pure & Applied Sciences*, 21(2), 2022, pp. 18-22.
[6] Z. Shi, M. Liu, A. Atrens, *Measurement of the corrosion rate of magnesium alloys using Tafel extrapolation*, *Corrosion Science*, 52(2), 2010, pp. 579-588
[7] W. Zhou, N.N. Aung Y. Sun, *Effect of antimony bismuth and calcium addition on corrosion and electrochemical behavior of az91 magnesium alloy*, *Corrosion Science*, 51(2), 2009, pp. 403–408. https://doi.org/10.1016/j.corsci.2008.11.006
[8] G. Subhash, S. Ridgeway, *Mechanics of Materials Laboratory Course*, *Springer Nature*, 2022
[9] H.A. Richard, M. Sander, *Fatigue crack growth, Vol. 18*, *Springer, Cham*, 2016, https://doi.org/10.1007/978-3-319-32534-7
[10] C. Berlanga-Labari, M.V. Biezma-Moraleda, P.J. Rivero, *Corrosion of Cast Aluminum Alloys: A Review*, *Metals*, 10, 20201384. https://doi.org/10.3390/met10101384
*Received: December 10, 2023*
*Accepted: February 14, 2024*
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From Slavery to Freedom
(For The Second Time)
by Aryeh Malkin
This article is dedicated to the men and women of the Palmach/ Palyam, those who died and those still living, who gave years of their lives in the service of their people.
Over three thousand years after Moses led the Hebrews out of Egypt to the Land of Israel, the Jews of Europe found themselves once more enslaved, by Nazi Germany. Six million were killed in the extermination camps, many more were enslaved and worked in camps and in factories throughout Europe, serving the Nazi military machine, which ground their lives out of them as they worked.
This time there was no Moses, nor miracles or plagues that could save the Jews. It took the armies of the Allies, the US army, the Russian army as well as those of Great Britain and France to bring Nazi Germany to her knees and save all of humanity from destruction, including European Jewry.
What happened to many of the Jews who survived the Holocaust? Where did they go? Who led them to freedom? How was this done? This is a story that has not been publicized very much, although it is a fascinating and remarkable one. Since I was lucky enough to play a very small part in this great adventure, I would like to tell you about it.
Who am I? I am Leon (Aryeh) Malkin, born in The Bronx, New York in 1921. I served in the US Army for three and a half years, two of which were in Europe as part of the First Army, which went from the Normandy Beachhead to the middle of Germany. It was there, near the city of Kassel where I first encountered the Holocaust survivors. This was a major shock, as one could easily notice their terrible physical and mental condition. To me, they looked like human beings, deprived of their humanity and I could only imagine what they had gone through – and survived – based on how they were when I first saw them.
When I returned to the USA after the war was over, I was determined to help save these Holocaust survivors by going to Palestine and helping to build a homeland for them and for myself. I believed the Jews had the right to a country of their own, where they would not be second class citizens. To rephrase that idea, let me say that I did not want to leave the USA because it was not good to me; I just thought it more important to help my people achieve their own Homeland. My part in this story is minute, but because of my participation I was able to see how the whole operation worked.
Who were the survivors and what became of them? The survivors were Jews who survived the extermination camps, where six million of our brethren were murdered. When the Allies won Second World War, people wandered from the extermination camps and the labor camps back to their home towns, to see if they could find other members of their family. In most cases they found no one. They also saw that their neighbors in the Ukraine, Poland, Hungary and other countries were rather surprised to see they survived, and did not welcome them. Their houses were occupied by others or destroyed. Europe had become one vast graveyard, a place that did not want them, nor did they want to remain there. No country was willing to accept the Jews; not the USA, not Great Britain, nor any other country. Only the small Jewish enclave in Palestine wanted desperately to have them. However, the British, who held the League of Nations mandate for Palestine, published a White Paper, which limited immigration to 1,500 people per month. This amount was ridiculous in view of the hundreds of thousands of Jews who wished to leave Europe.
What did the Jews of Palestine do to help the survivors? In order to get a more comprehensive picture, we need to go back to the period of the WW-II. The Jews from Palestine helped Great Britain during the war by forming the Jewish Brigade, which fought under the command of the British against the Nazis. The Jews had also formed an underground army whose aim was to protect Jewish settlements in Palestine against attack from the Arabs. This army was called the Hagana. The Hagana was under the command of the Jewish Agency (David ben Gurion was chairman), which was an arm of the World Zionist Organization. The Hagana, aided by the British, created a special guerilla commando unit, the Palmach, which was to help defend the country. In July 1942, Rommel's Africa Corps reached El Alamein in Egypt and posed a serious threat to the region. When the British Eighth Army defeated the Germans, removing the threat of invasion, the British stopped helping the Palmach. From that time onward, the Palmach directed its battle against the British.
Once the Nazis had been defeated, the Jewish Settlements in Palestine (hereafter – the Yishuv) turned its attention to getting the Holocaust survivors from Europe to Palestine. During the war, this had been carried out on a very small scale, using small vessels which took tens- sometimes even several hundreds of survivors - to Palestine. After the war, larger vessels were sought that took many hundreds of people across the Mediterranean Sea, from ports in southern Europe to Palestine. Sometimes these vessels were able to break the British blockade and land their passengers onto a beach. These were then quickly transferred to nearby Jewish settlements and soon absorbed into the country.
This operation of bringing Holocaust survivors into Palestine “illegally” - in the eyes of the British Mandatory Government and its White Paper - was called Aliya Bet [illegal immigration]. The process of getting the survivors to a port from inland Europe, taking care of all their needs at the port, preparing a ship to accommodate them and
bringing a vessel from Europe to Palestine – all this called for an organization and funds. The organization was Ha’Mossad Le’Aliya Bet [the institution for illegal immigration], (hereafter – the Mossad). The Director of the Mossad was Shaul (Meirov) Avigur, a member of Kvutzat Kineret, who set up his headquarters in Paris.
Ha’Mossad worked on several fronts: one group of men and women, went to the inland cities of Europe, where there had been large concentrations of Jews before the war, such as Vilna, Warsaw, Kiev, Budapest, etc., gathered the Jews and led large groups of them across borders. This mass migration was called Ha’Bricha [the escape]. Usually, this transfer was carried out with no legal papers of any kind, and often this had to be done by subterfuge and stealth. Tens of thousands of people made this difficult journey, by foot, by train, by truck, and often by a combination of them all – but they made it. They made it because they saw Palestine as the only bright star in their future. Palestine offered them the hope for a new life and a new beginning.
A group of Israelis worked setting up and running the camps near the Mediterranean ports, in Marseilles, France, Taranto and Bari, Italy and others. These camps housed the survivors and provided food, shelter, health care, child care (there were so many orphans), taught Hebrew and trade skills, etc. Although I have covered this subject in one short sentence, the reader may well imagine the tremendous amount of work that had to be done with the Holocaust survivors, in order to improve their health as well as their self-esteem, and to set them on a course for a more positive future.
A third arm of Ha’Mossad was the Palyam. The Palmach had foreseen the need for training seamen who would be able to move ships at sea and transport survivors, once the war was over. In 1943 it set aside one company which became its naval unit, named Palyam. It soon grew from one company to several battalions. These men and women were sent to Europe and they were the ones who ran the camps near the ports of the Mediterranean, prepared the ships to carry the survivors, and commanded and ran the ships. They also had their own signal corps, called the Gideonim, as well as a signal code. These men and women who were active in the Bricha, in setting up the camps near the port cities of the Mediterranean, in preparing and manning the vessels were all young Israelis who gave up their jobs or their studies, putting their own lives ‘on hold’ for several years, in order to help their European brothers get back on their feet and bring them to Palestine.
A fourth arm of Ha’Mossad was the transport company. Palmachnikim [members of the Palmach] who had been in the transport companies of the Jewish Brigade of the British Army were ordered to leave the army and report to Milan, Italy. They stole 20 trucks from the British Army and set up a fictitious British Army Transport Company, which was called TTG (this acronym stood for the brazen ‘Kiss My Ass Business Company’, as translated from a mixture of Yiddish and Arabic). It had its own number, insignia and officers and it used ‘official’ stationary of its own manufacture.
The soldiers of this unit wore their British Army uniforms and drove their trucks from depot to British depot, loading what they needed to feed and provide for the survivors in the camps near the port cities and on their expected crossing of the Mediterranean to Palestine.
The following is an excerpt from the story: “In the Footsteps of Shavit” by Avrum Shavit, one of the members of this transport company:
“In Milan we had a garage and in it were twenty trucks that we had stolen from the British Army. All the papers for the vehicles were false. In order to get foodstuffs we would make up a convoy with false papers and go to one of the big army depots and get whatever we needed. We all had our army uniforms and we would act perfectly at home. We had our own storehouses and we would load up at the British army depot and unload at ours. Gasoline was very expensive so we decided to try our luck at an American depot. Every day we would travel 300 km carrying empty barrels and false papers. At first the Americans didn’t understand what we wanted but after a while they just fell into the routine and we would appear every day and fill up the barrels.
One day we arrived at an American base from which we got a variety of goods. Usually we were greeted warmly but this time they looked at us as if they thought that we were getting gasoline in order to sell it on the Black market. They brought us to their colonel. We soon noticed that the colonel was Jewish and we told him of the poor survivors who were at our (and their) mercy in the camps. When he heard that he started to cry and then he loaded up five trucks and told us that we could go to any depot in his jurisdiction to get what we needed.”
When vessels were procured from European countries, they were usually leased together with their captain and crew. A French vessel would have a French captain, and an Italian vessel an Italian captain etc. Only a few men of the Palyam would sail with the survivors; one would be the commander who was in charge of the voyage and instructed the captain as to where to sail. Another was overseer for the needs of the passengers and a third was the communications person who kept radio contact with Palestine or with other vessels. The holds of the ships would be arranged with bunks, that allowed for a maximum number of people with a minimum amount of room for each, for the journey that would take from one to two weeks. (An exception was one vessel that sailed from Sweden to Palestine, a voyage that took about a month).
While still in the camps, the passengers were divided into groups and assigned leaders. The group leader would get and distribute the food and the water for his group. A queue was necessary for going to the toilet and even for allowing people to get fresh air on deck. This trip was no vacation, the conditions were very very poor,
as many were often seasick and the vomit and the foul air in the holds made everything worse. Having endured the hardship of labor camps or an extermination camps, and putting up with the harsh conditions on the vessels, the refugees won the admiration of the Palyamnikim, who saw them as the real heroes of these trips. They did not complain and endured the hardship with understanding and hope. They who had gone through such terrible suffering for years at the hands of the Nazis were still willing to undergo more hardship on this voyage to Palestine, in order to begin a new life in a new land, their Homeland.
Yossi Harel, the Palyam commander of the heroic vessel Exodus, described his first meeting with young orphans of the Holocaust:
“One camp housed orphans of the Holocaust and when I arrived there the camp leader arranged a lineup so that I could see how the children had prepared for the voyage, the date of departure of which was still a secret. When a whistle was blown, all the children, who were between the age of 5 – 15 years old ran and stood in line. I walked down the line and studied them and they looked at me as if I was a giant. They were looking at me as if I was the last thing on earth that they could believe in and trust. Suddenly it struck me what Aliya Bet really meant! This was what was left of six million people. This was my responsibility – to lead them safely and soundly to Eretz Israel. I saw this job as something that was holy, and there was nothing in the world that I would not do for them. When I saw them I was also convinced that nothing could stop us. Upon my return to the ship the only image that remained embedded in me was the look in those children’s eyes.”
The Jews of the United States: In 1946 Ha’Mossad decided to step up the pressure on the British, by purchasing larger ships that could carry more passengers. Such ships could best be purchased in the USA, which was left with a huge surplus of vessels, once WW-II had come to an end. The British kept underground agents in all of the port cities of the Mediterranean, seeking to block the sailing of the Mossad vessels. In addition, they used their naval vessels - now relieved of war duty - to blockade the coast of Palestine more effectively.
Everything done in the States had to be done with the utmost secrecy. Ha’Mossad did not want the British agents to know its new plans. Also, the USA supported the British White Paper policy, because Britain had the legal mandate; the USA was the first to declare an arms embargo to the Middle East. Ha’Mossad got around this problem by calling on the Jewish Zionist Youth Movements for their support. This call went to Ha’bonim [the builders] and Ha’Shomer Ha’Tzair [the young guard] youth movements and the call was answered. Young men and women, like myself, who had been in the US Army or Navy or the Merchant Marine volunteered to participate. Some were only one or two months out of the service, others perhaps for as long as
six months, yet many volunteered. At first, Ha’Mossad bought two Canadian corvettes through a “front” American company, and Israeli leaders of the abovementioned movements mobilized the manpower needed for these two vessels. (I was one of them. I was discharged from the army in November 1945 and signed on to a corvette a month later, in December 1945). We were all sworn loyalty to the Hagana and were sworn into its ranks by its Commander-in-Chief, who later became the first Commander-in-Chief of the Israeli Defense Force - IDF - Yaakov Dori.
The corvette that was the first to leave from the USA was the Beauharnois, later renamed by the Hagana – The Josiah Wedgwood. This was the ship on which I sailed as a deckhand/ helmsman, which left the USA on April 1st 1946. Almost the whole crew was from the American Zionist youth movements and almost all were ex-GI’s. The officers were also Jewish and this was probably the first all-Jewish crew in 2000 years. The Hagana then purchased a series of vessels that were to carry thousands of survivors each. These ships were outfitted and sent to Europe as quickly as possible. The stream of survivors became so large, there was no room in the Atlit detention camp in Palestine and the British began using Cyprus as a base for large detention camps. As these ships sailed and more sailors were needed to man them, the Hagana started to use Jewish ex-army or navy men as sailors who were not from the youth movements.
In all, there were about 250 volunteers from America and they were known as MACHAL [volunteers from the Diaspora] working on Hagana vessels. These ships that left from the USA picked up close to 32,000 Holocaust survivors in Europe, en-route to Palestine. This amounts to about half of a total of 75,000 that the Hagana shipped to Palestine from the end of WW II in May 1945 until the creation of the State of Israel in May 1948. It is interesting to read what a French Holocaust survivor who sailed to Palestine on the Exodus wrote in his diary about these American volunteers:
“When I began to write in the diary I described the excellent organization of our vessel. The longer I am here the greater I appreciate what has been done. The kitchens give out food on time and all the jobs are done by trained people. One can only admire those who are doing all these things on the ship. This is such a tremendous enterprise! They took a ship that was almost worthless and made it seagoing. Can one imagine how much work and how much money had to be put into such a transformation? Once all has been prepared, the ship crosses the ocean and ends up in a French or Italian port. That doesn’t seem very much but do you know how powerful British influence is in this region? This required a Herculean effort. I want to tell you again that this ship was not built to cross the ocean, it is a shallow river boat which would never hold up in a storm. However, we are in no danger as this is not the season for storms. But the crew that crossed the Atlantic with her showed great courage in doing so. Had there been a storm and the ship did sink the crew would have gone down – they knew this when they left port. The crew knew this, so
imagine what idealism they have. They are risking their lives to help their sisters and brothers, isn’t that the true meaning of heroism?
The American Jews and Procurement: Buying and refitting vessels required a good deal of money. It was also quite obvious to all that immediately upon the creation of the State of Israel, she would face armed Arab resistance. The new nation would be desperately in need of weapons, small and large, on land, sea and air. There was an embargo on arms to the Middle East. Money was needed for all of these. Here again, American Jewry came to the aid of their Israeli brethren. In 1945, Ben Gurion - as chairman of the Jewish Agency - visited the USA; he was invited to a meeting of wealthy American Jews, who gathered in the home of Rudolph Sonneborn. It was on this occasion that the Sonneborn Committee was founded, which became the financial arm of the American Jewish community in support of the war preparations of the State-to-be. A warehouse was bought in the Bronx, New York City, where weapons that were gathered from the American Jewish ex-army men and others, as well as arms that were procured from surplus army supplies were gathered, packed and shipped under false identification to Palestine, for the use of the Hagana/Israeli army-to-be.
We now can see that there were two separate units working clandestinely in the States; one for the procurement of ships and seamen, the other for the procurement of weapons. Both of these units were supported by the Sonneborn committee, without which they would have been strapped for cash. The book by Leonard Slater, “The Pledge”, gives a detailed account of the above. We must appreciate the fact that Jews who took part in raising funds for the war effort in Palestine, aware, yet-choosing to ignore the US government imposed embargo, were following a conscientious sense of duty, thus taking a serious legal risk, violating the law.
As for non-Jews, we must also give due credit to a good number of them, who were so impressed by the plight of the Holocaust survivors that they identified with the creation of the State of Israel and the necessary support of the immigration of Jews to their Homeland. They became personally active in helping achieve these aims. Among these there was one who served as captain on a Hagana ship and was even deported to the Cyprus camps as a prisoner, and several seamen who served on Hagana vessels. Numerous others helped in procuring weapons for shipment to Palestine. There were also a goodly number of European non-Jews who participated in the Aliya Bet movement or gave it their support in various ways. The Jewish people are indebted to these brave good men.
Cyprus: The British held tens of thousands of Holocaust survivors in detention camps in Cyprus. Among these thousands there were many young people. The Palyam and Palmach sent men to live in the camps with the survivors and trained close to 10,000 in para-military training, so that they could be easily absorbed into the Israeli army-in-preparation, prior to independence. Radio equipment was also
smuggled into the camps via underground tunnels that were dug from the camps to the beaches, so that men and equipment could be transported from Cyprus to Palestine and back, becoming a unique shuttle service. On several occasions, explosives were smuggled and were used to blow up the British deportation ships.
All of this underground work was done on a voluntary basis, for which people received their expenses but no one was paid a salary. No one received fame or glory, because almost everyone had a pseudonym, a nickname. No one held a rank and there were no generals nor colonels; people had assignments and responsibilities. As one of these young, brave and modest men said: “We did what we did because that was what was needed at that time.” (Yochai Ben-Nun, who built and commanded the 13th Flotila [the Israeli Navy Commando outfit] and was later Commander-in-Chief of the Israeli Navy.)
**The State of Israel**: With the Declaration of Independence of the State of Israel on May 14th 1948 came the invasion of the newborn country by five armies of the surrounding Arab countries, as well as a local “Liberation Army” under the command of Fawzi Kaukagi. An Israeli Army had to come into being to meet the enemy and the only nucleus for this army was the Palmach. It defended Jerusalem, the Negev and the North and wherever an attack came from. One could safely say: Had there been no Palmach there would not have been an Israel! Israel was also attacked from the sea by the Egyptian navy, so an Israeli navy was absolutely necessary. The Palyam transferred en-masse to the Israeli navy and its men became the officers of the navy. Ships that had formerly carried survivors were quickly refitted as naval vessels, that soon succeeded in driving the Egyptian navy away from the shores of the new country.
The famous Israeli poet of that tumultuous period, Natan Alterman, summed up the matter beautifully in his poem: “*The Silver Platter*”, which honors these young men and women of the Palmach/ Palyam, who gave new life to the Holocaust survivors and laid the solid basis for the creation of the State of Israel. This poem concludes:
“...Then the nation asked in awesome wonder,
Asked: “Who are you?” and the two, standing silently
Replied: “We are the silver platter
Upon which we give you The Jewish State.
They said this and then fell in silence...
The rest is told in the history of Israel.”
אריה אשתתי ורדה במפגש עם בני נוער מהתנועת הבונים-אוסטרליה, עין-דור, מרץ 2012
זה שים רבות שאריה מעבר לקבוצות נוער את סיפור ההעפלה
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The CEMEX approach to Biodiversity Conservation
The CEMEX – BirdLife Biodiversity Action Plan Standard
In CEMEX, we publically recognise our commitment to be a responsible steward of the land we manage and to conduct activities in a sustainable manner. To this end, in 2007, we began a global partnership with BirdLife International. CEMEX and BirdLife share a common vision of achieving environmentally sustainable development; both recognise the business case for integrating biodiversity conservation into daily operations.
The partnership demonstrates that corporates and NGOs with compatible aims and interests can generate significant gains, for both business and biodiversity, by working together. CEMEX realises that biodiversity conservation is integral to building a sustainable future.
Each site’s location has its own unique characteristics, with its own set of biodiversity conservation-related issues and potential. Therefore the BAP guidance focuses on the general process recommended to be used in preparing and implementing a BAP, rather than on a prescriptive method that may be difficult to apply at different CEMEX sites. This approach offers the flexibility to address each particular need in a way that is appropriate to each specific situation.
The rationale for the CEMEX approach
The Biodiversity Action Plan (BAP) guidance is designed to help CEMEX operations develop BAPs for their operations, regardless of their location, proximity to areas with high biodiversity value or experience in biodiversity management.
It is a systematic approach to guide sites in the process of evaluating the necessity of biodiversity actions and, for those sites where BAPs are currently in place, to identify if all recommended elements of a BAP are being covered.
Overview of the CEMEX - BirdLife Biodiversity Action Plan
Biodiversity is the variety of life on Earth. In this overview of the CEMEX approach to biodiversity management, when we talk about biodiversity we are essentially talking about wildlife: species, from birds to butterflies, and the ecosystems that they form a part of, from deserts to wetlands.
The aim of a Biodiversity Action Plan is at minimum to achieve no net loss of biodiversity and, at best, to achieve a lasting and overall positive impact on biodiversity, compared to the state prior to when operations began. This plan provides an opportunity to enhance biodiversity in and around a CEMEX site, ultimately benefiting people and wildlife over a long period.
Stages in the CEMEX – BirdLife Biodiversity Action Plan
| Stage | Summary |
|--------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------|
| 1. Gather essential information | The protocol for producing a site Biodiversity Action Plan first requires a desk based assessment of the site, detailing important legal considerations such as protected areas that may be affected by the quarry. |
| 2. Partners | Partners, for example, BirdLife Partners can help CEMEX by providing a vital delivery role. |
| 3. People perspective | This section aims to help ensure the quarry is legally compliant. People and their perspectives (stakeholders) are fundamental to the success or failure of a BAP. |
| 4. Initiate wildlife surveys | Conduct surveys of all wildlife, from birds and butterflies to plants and reptiles. |
| 5. Identify important species and habitats | The most threatened – irreplaceable or vulnerable – species and habitats are flagged up. |
| 6. Determine actions and objectives | Key actions and objectives are identified to protect or enhance conditions for priority species and habitats. |
| 7. Implement actions | Essentially putting the plan - the actions and objectives identified in the previous stage - into action. |
| 8. Evaluate success, report progress | Towards the end of the first phase of work, the process of reviewing progress and reporting successes should begin. |
The variety of life
Biodiversity is the variety of life on Earth. It is the diversity of different life forms, from the level of genes, species and between the level of whole ecosystems. It is a term that attempts to capture all of the interrelationships between life and non-living processes. Methods exist that use quantified approaches to systematically describe the variety of plant and animal species in an area.
Intrinsic value
As recognised by the 1992 Convention on Biological Diversity, biodiversity has an intrinsic value to us, we therefore have an ethical responsibility to conserve it. It also benefits us immensely; exposure to natural places can lead to positive mental health outcomes, for example a view of nature from a window can increase the rate of recovery from illness (Ulrich 1984) and exercising in green spaces can improve self-esteem (Barton & Pretty 2010).
Interconnections
All life is interconnected and humans are as much a thread in the fabric of life as other species. Perturbations to natural systems, for example through the introduction of invasive non-native species or through land use change, can disrupt these connections and reduce species diversity resulting in homogeneity.
Healthy ecosystems
Ecosystems are ecological units made up of a complex system of interactions between living communities (plants, animal, fungi, and microorganisms) and the environment they live in (MEA 2005).
Intact ecosystems are more resilient, or more able to absorb disturbance without shifting to an alternative state and losing function and services, than disturbed ecosystems (Côté & Darling, 2010). Habitat transformation contributes to species loss, reduced population sizes and truncated distributions (Sanderson et. al., 2006). Restoration can sometimes reverse the impacts of habitat transformation, but some habitats and ecosystems are irreplaceable, such as ancient woodland and karst systems.
Essential for life
Biodiversity is essential for human survival: we depend on it. Directly and indirectly, biodiversity provides us with everything we need to survive. Soil formation, pollination, food production and water quality are all reliant on a wide variety of organisms.
How is biodiversity faring?
Biodiversity loss is one of the major challenges of the 21st Century. There is scientific consensus that we have now entered the “sixth major mass extinction” event (Leakey and Lewin 1996), species are being lost at an ever accelerating rate. Society, governments and businesses are increasingly recognising the need to reverse this trend, but much more effort is needed by all to stem the loss of biodiversity.
The cost of saving nature
Biodiversity must be conserved because of its intrinsic value and because humans depend on it. Saving nature is not an expensive exercise, in fact, it has been estimated to be small when compared to the estimated economic value of the services it provides (McCarthy et. al, 2012).
Diagrammatic representation of the BAP planning process cycle: a Biodiversity Action Plan is essentially a tool to conserve or enhance biodiversity. There are a number of processes involved, highlighted here, each involving different people from within CEMEX and also potentially outside the company such as conservationists from within the BirdLife Partnership.
1. Getting started with the BAP
When preparing to undertake a Biodiversity Action Plan, it is important to collate information about the site before getting going. Much of this can be done from the office, using sources like the CEMEX – BirdLife Scoping Study, reviewing EIAs, or using web-based information such as from BirdLife Partner or BirdLife International databases.
Creating a Biodiversity Action Plan is an organic process; this stage is about preparation: what do we need to know, where do we find it, who will seek it out, how will it be resourced? It is an opportunity to gather a good overview of information before proceeding.
This stage is important and something CEMEX can lead on early on in the process. It can help ensure the success, efficiency and ease of the BAP process in the future.
This stage is an opportunity for:
- The appointment of a Biodiversity Leader to manage these processes.
- Involving as many key people as possible; development of staff hierarchies outlining responsibilities with regards to BAP delivery.
Expected Outcomes:
Initial biodiversity assessment: A desk-based literature report and internet search on the biodiversity status within and around the site; visits and familiarity with the site and surrounding area
Legalities: Compliance of the site with the identified relevant biodiversity-relevant rules and regulations
Resources: What are the available financial and capacity resources for biodiversity action and how will they be managed?
Who will be involved?
External conservation NGO or expert partner
CEMEX Managers
CEMEX employees, NGOs, local Government
Researchers
Designate a “biodiversity leader”
The BAP project in Malaysia differs from the other BAP Pilots in that the site - CEMEX Bukit Tambun quarry, Penang region - neither sits within nor adjacent to an area of high biodiversity value. A well understood principle held by the CEMEX – BirdLife Partnership is that since BirdLife Partners’ main focus is the conservation of Important Bird Areas (IBA), projects must have an IBA conservation component to secure cross-partnership buy-in.
The CEMEX Bukit Tambun quarry, where hard rock is extracted for local distribution, is leased from a private landowner. The third party land ownership potentially limits options to leave a more positive impact on biodiversity on-site than prior to when operations began. However, it doesn’t limit scope for CEMEX to leave a net positive impact on biodiversity off-site in the wider landscape, particularly since much of Penang continues to suffer from historic and on-going habitat loss and degradation.
To begin addressing these challenges, the partnership initially focused on the desk-based assessment, collating historical bird data, external land use information and analysing threats to priority terrestrial bird survey sites and the nearest IBA to the quarry, the Teluk Air Tawar IBA. Meanwhile, biodiversity surveys of Penang’s key sites began, including at this IBA; a stretch of inter-tidal wetland and an essential stopover site for migratory shorebirds, including globally threatened bird species such as Nordmann’s Greenshank and Lesser Adjutant.
2. Proactively collaborate with a BirdLife Partner
CEMEX has a global partnership with BirdLife International. BirdLife has national BirdLife Partners in 117 countries worldwide, some of whom may have an interest in working with CEMEX. In this sense, a BirdLife Partner is different to but can also be a stakeholder (see next section). Partners are expert, independent nature conservation organisations affiliated with or part of the BirdLife network that can share local, cultural and scientific knowledge.
Objective: engage with BirdLife Partners wherever possible
Through its partnership with BirdLife, CEMEX is able to optimise available expertise and resources of Partners, where available, through collaboration; sharing and aligning goals. These partnerships can have wider benefits for both parties.
3. People perspective: who are the stakeholders and how can they be engaged?
This stage is about identifying individuals and groups potentially affected by or who can affect the Biodiversity Action Plan. Stakeholders can have various perspectives on nature issues and these must be appreciated and understood.
Appropriately engaging with stakeholders from the outset helps build trust, brings in expertise, manages expectations, avoids conflict and is vital to the success of the BAP in the future. Some stakeholders, such as those that have knowledge or experience in nature conservation, could even become Partners.
Objectives:
Identify and analyse potential stakeholders with respect to their perspectives on biodiversity and sustainability issues
Continually engage with them from the start (share information, consult)
Learn as much as possible from stakeholders about local biodiversity issues
Bear in mind: The need to manage expectations especially with regards to biodiversity response time. Also consider people’s varying perspectives could both affect and enrich the BAP
Cerrito Blanco, Mexico – Pronatura & CEMEX Mexico: Working with local stakeholders
The Sistema de Sierras de la Sierra Madre Occidental IBA, situated in the Mexican Sonoran Desert, is an area of exceptionally high biodiversity value and home to more than 350 bird species. The high biodiversity value is also represented by the 2000 or so native plant species, over 20 amphibian species, circa 100 reptiles and 30 native freshwater fish.
CEMEX Mexico’s Cerrito Blanco quarry adjoins this IBA, rendering it a priority for the CEMEX – BirdLife Global Programme. A Partnership between Pronatura and CEMEX Mexico began in 2012 to address the risks and opportunities presented by the site’s location.
So far, desk-based literature reviews and field-based studies have identified priority species and habitats in particular need of protection and enhancement. For example, the use of explosives – necessary for operations – has been identified as an activity that will need modulating in order to protect Golden Eagle nests proximal to the site.
An emerging component of the BAP is the stakeholder engagement phase of the project, in addition to CEMEX site staff, local landowners and other stakeholders are being engaged such that widespread threats to biodiversity, not necessarily linked to CEMEX’s operations are being addressed too, such as overgrazing.
4. Discover the wildlife on your doorstep
The aim here is to figure out what wildlife is in the area around and on the site, understand how it is faring and identify potential threats and opportunities.
When conducting the biodiversity survey, engaging and including the expertise of stakeholders and partners will be beneficial; transparency is key.
Who will be involved?
NGO Conservation Officer
CEMEX site manager
CEMEX Environment lead
Objectives:
Conduct a systematic baseline survey of biodiversity, including at different times of year where seasonality is evident
Assess the risks and opportunities for biodiversity, conducting a biodiversity impact assessment
Consolidate information and share it with Partners and stakeholders
Enjoy being outside and experiencing nature!
Bear in mind: Ways to engage people with the wildlife in the area
5. Prioritising irreplaceable and vulnerable wildlife
Once it becomes known what biodiversity occurs in and around the site, the next step is to determine which species and habitats require action. Typically, the most vulnerable, irreplaceable species and habitats are prioritised. There is also an opportunity to look at important ‘services’ an ecosystem provides to local people (e.g. water regulation and purification). The aim here is to give the BAP a focus, identify any risks to mitigate and opportunities to enhance nature.
Objectives:
Prioritise animal and plant species, and habitats as well as key services nature provides to people locally and more widely; incorporate national and local perspectives; some species will be important locally, some nationally, some internationally
Bear in mind: Expertise and scientific knowledge from partners and stakeholders; maintain a broad perspective: a species which may not seem vulnerable locally may have immense global significance; ecosystems interactions are complex: species don’t recognise boundaries and action may need to be taken beyond the site-level
Who will be involved?
Conservation Partners,
Stakeholders,
CEMEX
Biodiversity leads
6. Planning action for biodiversity
Next it is time to plan the BAP, with the overarching aims of preventing biodiversity loss and creating opportunities for biodiversity enhancement. By identifying clear, manageable and prioritised objectives, and maintaining involvement with stakeholders, the BAP will be able to proceed effectively over the coming months and years, and become something that will happily sit alongside existing site protocols.
Know what skills and resources you have available to implement the BAP to ensure effective biodiversity management is realised in the long term. Ensure everyone involved knows what their tasks are, and the resources that are available for them to achieve such tasks.
From the outset, identify appropriate indicators and monitoring tools that can be used to measure the ongoing progress of the BAP.
Objectives:
Set clear objectives for the BAP including enhancement opportunities for habitats
Organise these into a prioritised action plan
Allocate resources and responsibilities
Identify indicators and tools to monitor the efficiency of biodiversity actions
Engage with key stakeholders
Bear in mind: Biodiversity improvements will happen at different rates for different species, appreciate time-lags when planning targets
Useful partner expertise and scientific knowledge
Complex interactions of ecosystems
Opportunities to engage the public and raise awareness about biodiversity when BAP actions are underway
Who will be involved?
NGO Conservation expert
CEMEX site manager
Relevant stakeholders
Align prioritised objectives from Stage 6 with CEMEX procedures, then proceed to implement the BAP and start to protect and enhance some biodiversity.
**Case Study**
**Spain – Soto Pajares – CEMEX Spain & SEO/BirdLife – Actions!**
The Spanish BirdLife Partner (SEO/BirdLife), a local NGO (Grupo Naumanni) and CEMEX Spain are collaborating on a conservation project informed by the CEMEX – BirdLife Biodiversity Action Plan Standard developed in 2011.
In 2012, the project partners developed a biodiversity baseline for Soto Pajares, a CEMEX quarry that delivers aggregates to the market in Madrid, Spain, identifying and prioritizing habitats and appropriate measures to protect or enhance priority species and habitats.
SEO/BirdLife and Grupo Naumanni then teamed-up to review risks and opportunities and develop priority actions for implementation at the site in 2013.
Actions ranged from measures to control invasive species, steps to increase inter-lake connectivity of an on-site reed bed, and educational activities for the promotion of wildlife to local communities.
CEMEX national operations played a key role in the BAP process, coordinating both partners as well as reviewing and agreeing actions and next steps with them. CEMEX will continue to support and encourage the project as it enters the next exciting stage of action implementation.
8. Gathering momentum: monitoring progress of the BAP process
With the BAP now underway, the process must be monitored, tracked and (if required) adjusted, according to any challenges that are identified, or to biodiversity responses that arise from implemented actions.
This stage is also about keeping track of progress and it should be maintained throughout the BAP process. Utilise both internal (CEMEX) and external (partners and stakeholders) communications in order to maintain enthusiasm for the BAP. The BAP will now become an ongoing process within the site’s environmental management system.
Externally reporting on BAP progression is an important way to communicate to key audiences (such as local communities and government) the positive approaches CEMEX takes with others in order to protect and enhance wildlife wherever CEMEX works.
Objectives:
- Monitor progress of the BAP and biodiversity status with reference to the baseline
- Review budget and performance against objectives
- Determine suitable tracking variables to monitor (with partners/stakeholders)
- Evaluate success against targets, identifying problems
- Communicate regularly with partners and stakeholders to manage expectations
- Report internally (the first step, engaging, informal to formal) and externally (develop mechanisms for reporting, case studies, etc.)
Bear in mind: Biodiversity improvements will happen at different rates for different species, so appreciate timescales when reviewing targets
Engaging partner & stakeholders: transparency with plans is key to continued support
Ways to engage the public for biodiversity awareness, for example educational institutions to allow/assist in researching activities
Who will be involved?
Everyone identified in previous stages
Following implementation of the BAP
Successful biodiversity mitigation and enhancements at the site at the end of operations
**Biodiversity**: biological diversity for short - the variety of life on Earth. It is a term that attempts to capture all of the inter-relationships between life and non-living processes, yet can be measured practically when describing the variety of plant and animal species in an area. It is the abundance of different life forms, from the level of genes, through to species and the level of whole ecosystems. Biodiversity, essentially, equals nature. Usage, for example: “Mexico is more biodiverse than Greenland.” “The Peruvian rainforest is beautiful in part because of its high biodiversity.”
**Diversity**: a measure of how different (varied) things are.
**Ecosystem**: a biological community of interacting organisms and their physical environment. In each ecosystem, living species are part of a whole, interacting with not only other species, but also with the air, water and soil that surround them. Humans are part of ecosystems, just like any other animal species.
**Ecosystem services**: the resources, features and processes that are provided by natural ecosystems to the benefit of mankind, such as clean drinking water, crop pollination, etc.
**Endemic species**: a species that is only found in a particular site, region or country.
**Habitat**: the natural and physical space that an organism needs to survive.
**Karst system**: Limestone formations - sedimentary rocks that were built up millions of years ago by corals, shells, algae, and other marine organisms.
**NGO**: Non-Governmental Organisation; a non-profit coordinated citizen’s group, task-orientated with a common interest and organised locally, nationally or internationally.
**Partner**: expert independent nature conservation organisations affiliated with BirdLife that can share local, cultural and scientific knowledge, e.g. Pronatura (BirdLife in Mexico), Malaysian Nature Society (BirdLife in Malaysia). The BirdLife Partnership consists of BirdLife and its 117 Partners worldwide. A Partner is a stakeholder with a particular interest in CEMEX activities due to the CEMEX-BirdLife partnership.
**Rehabilitation**: improving a habitat to a state that may not have existed before.
**Restoration**: returning a habitat to its previous state, prior to being damaged.
**Species**: a group of organisms that can interbreed and produce viable offspring- for example Peregrine Falcon, *Falco peregrinus*, a cliff-nesting bird of prey, Desert Sunflower *Geraea canescens*, a flowering plant and the Western Diamond Rattle snake *Crotalus atrox*, the latter two occupy the Sonora Desert ecoregion.
**Stakeholder**: individuals or groups who see themselves affected by the Biodiversity Action Plan, and who can affect it. They can have positive or negative perspectives on CEMEX biodiversity activities or decisions.
**BirdLife Partnership**: see Partner.
**EIA**: Environmental Impact Assessment is essentially an information gathering exercise which should provide an understanding of the environmental affects of a development. An important thing about environmental assessments is the emphasis on using the best available sources.
of objective information and in carrying out a systematic process. The Environmental Statement (ES) is the main output from an EIA. Guidance on EIAs can be found from the International Finance Corporation here: http://ow.ly/ffhAX
Global Biodiversity Conservation Targets: Current Spending and Unmet Needs, Science, No. 338 (6109):946-949.
Millennium Ecosystem Assessment (2005) Ecosystems and Human Well-being: Synthesis. Island Press, Washington, DC.
Sanderson, E.W., P. Robles Gil, C.G. Mittermeier, V.G. Martin, and C.F. Kormos (2006) The Human Footprint: Challenges for Wilderness and Biodiversity. CEMEX - Agrupacion Sierra Madre - Wildlife Conservation Society, Mexico
Ulrich, R. S. (1984) View through a window may influence recovery from surgery. Science: 224, 420–421
Appendix 2:
CEMEX - BirdLife BAP Standard list of stages
Stage 1: Prerequisites
Stage 2: Partners
Stage 3: Stakeholders mapping and engagement
Stage 4: Development of the biodiversity baseline
Stage 5: Prioritization
Stage 6: Action plan: Objectives and targets
Stage 7: Implementation
Stage 8: Monitoring, evaluation and reporting
Appendix 3: References
Barton J. & Pretty J. (2010) What is the Best Dose of Nature and Green Exercise for Improving Mental Health? A Multi-Study Analysis, Environmental Science Technology: 44, 3947-3955
Côté, I.M. & Darling, E.S, (2010) Rethinking Ecosystem Resilience in the Face of Climate Change, PLoS Biol 8(7)
Leakey, R., and Lewin, R. (2006) The Sixth Extinction: Biodiversity and Its Survival, Weidenfeld & Nicolson
McCarthy, D. P., P. F. Donald, J. P. W. Scharlemann, G. M. Buchanan, A. Balmford, J. M. H. Green, L. A. Bennun, N. D. Burgess, L. D.C. Fishpool, S. T. Garnett, D. L. Leonard, R. F. Maloney, P. Morling, H. M. Schaefer, A. Symes, D. A. Wiedenfeld, and S. H. M. Butchart. (2012) Financial Costs of Meeting
Acknowledgements:
CEMEX: Alejandro Espinosa Treviño, Genevieve Gibler Ocampo,
Melissa Castillo Spinoso, Pedro Fernández Díaz
BirdLife International: Shaun Hurrell, Jonathan Stacey, Ade Long, Charlie Butt
Image credits:
Little Crake on front cover, Osprey on page 7, Great Crested Grebes on page 14 taken by Luis Martínez Martínez (SEO/BirdLife); shorebirds on page 6 taken by Dave Bakewell (Malaysian Nature Society);
Las Salinas quarry on page 9, Cerrito Blanco on page 10, and lizard on page 11 taken by Charlie Butt (BirdLife International); Juniper Scrub habitat at CEMEX UK’s Middleton site taken by Nigel Symes (Royal Society for the Protection of Birds); Desert Bighorn sheeps on page 2 and El Carmen landscape on page 18 take by Santiago Gibert Isern (Dimensión Natural); all other images owned by CEMEX.
2013 copyrights © CEMEX Research Group AG, Switzerland.
CEMEX
BirdLife International
Partnership for nature and people
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Confirming the high pressure phase diagram of the Shastry-Sutherland model
Citation for the original published paper (version of record):
Ge, Y., Andreica, D., Sassa, Y. et al (2023). Confirming the high pressure phase diagram of the Shastry-Sutherland model. Journal of Physics: Conference Series, 2462(1).
http://dx.doi.org/10.1088/1742-6596/2462/1/012042
N.B. When citing this work, cite the original published paper.
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Confirming the high pressure phase diagram of the Shastry-Sutherland model
To cite this article: Yuqing Ge et al 2023 J. Phys.: Conf. Ser. 2462 012042
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Confirming the high pressure phase diagram of the Shastry-Sutherland model
Yuqing Ge $^{1,*}$, Daniel Andreica $^2$, Yasmine Sassa $^1$, Elisabetta Nocerino $^3$, Ekaterina Pomjakushina $^4$, Rustem Khasanov $^5$, Henrik M. Rønnow $^6$, Martin Månsson $^3$, and Ola Kenji Forslund $^{1,\dagger}$
$^1$Department of Physics, Chalmers University of Technology, Göteborg 41296, Sweden
$^2$Faculty of Physics, Babes-Bolyai University, 400084 Cluj-Napoca, Romania
$^3$Department of Applied Physics, KTH Royal Institute of Technology, SE-106 91 Stockholm, Sweden
$^4$Laboratory for Multiscale Materials Experiments, Paul Scherrer Institut, PSI, Villigen, Switzerland
$^5$Laboratory for Muon Spin Spectroscopy, Paul Scherrer Institut, Villigen, Switzerland
$^6$Lab. for Quantum Magnetism (LQM), École Polytechnique Fédérale de Lausanne, Switzerland
E-mail: firstname.lastname@example.org *, email@example.com †
Abstract. A Muon Spin Rotation ($\mu^+SR$) study was conducted to investigate the magnetic properties of SrCu$_2$(BO$_3$)$_2$ (SCBO) as a function of temperature/pressure. Measurements in zero field and transverse field confirm the absence of long range magnetic order at high pressures and low temperatures. These measurements suggest changes in the Cu spin fluctuations characteristics above 21 kbar, consistent with the formation of a plaquette phase as previously suggested by inelastic neutron scattering measurements. SCBO is the only known realisation of the Shastry-Sutherland model, thus the ground state mediating the dimer and antiferromagnetic phase is likely to be a plaquette state.
1. Introduction
Low dimensional magnetism is a field of considerable interest as it offers opportunities to study new and exciting physics. The study of 2-dimensional (2D) magnetism has developed rapidly during the recent years. Compounds having a layered crystal structures with weak inter-layer interaction enable the possibility of studying 2D magnetism in bulk materials [1]. One famous model for a 2D magnetic system is the Shastry-Sutherland (SS) model, which foresees an orthogonal dimer network of spin $S = 1/2$ [2] with exchange interactions between the nearest-neighbours ($J$) and the next-nearest-neighbours ($J'$). Based on this frustrated spin system, a variety of ground states is predicted depending on the ratio $\alpha = J'/J$. For $J'/J < 0.5$, the system is in a dimer phase where the nearest-neighbouring spins form spin-singlets. On the other side for $J'/J > 1$, a 2D antiferromagnetic (AFM) phase with significant quantum fluctuations is expected [3]. However, the ground state in the intermediate region $(0.5 < J'/J < 1)$ has been debated and various possibilities have been suggested theoretically: AFM order [4, 2], helical order [5] or even columnar dimer [6].
Content from this work may be used under the terms of the Creative Commons Attribution 3.0 licence. Any further distribution of this work must maintain attribution to the author(s) and the title of the work, journal citation and DOI. Published under licence by IOP Publishing Ltd
SrCu$_2$(BO$_3$)$_2$ (SCBO) is the only known realization of the SS model, as its 2D crystal structure (figure 1) lends itself well to the kind of spin system described by the SS. The structure consists of alternating layers of Sr atoms and a Cu$_2$(BO$_3$)$_2$ layer of Cu/triangular BO$_3$ system. The physics in this compound is determined by the interactions between the Cu ions. They are arranged in an orthogonal rectangular network where competing interactions are established between nearest neighbour and next-nearest neighbour ions. The Cu ions are dimerised below 8 K at ambient pressure, and the intra-dimer interaction is mediated by a super-exchange interaction through the O atoms [7]. In order to investigate the intermediate state of the SS model, it is necessary to be able to tune the ratio $\alpha = J'/J$. Here, hydrostatic pressure presents a clean way of controlling $\alpha$ [7]. Therefore, a series of hydrostatic pressure studies on SCBO were initiated, including neutron scattering [8, 9], specific heat capacity [10], tunnel diode oscillator [11] and electron spin resonance [12] experiments. Among these experiments, a recent inelastic neutron scattering [8] determined the phase above 21.5 kbar to be a plaquette phase. Then a heat capacity study [10] shows clear sign of a critical point around 20 kbar, and an Ising transition into the plaquette phase at 1.8 K.
In this work, we studied the material by high-pressure $\mu^+$SR up to 24 kbar. The absence of long range magnetic order up to this pressure is confirmed by measurements in zero field (ZF). Moreover, measurements in transverse field (TF) confirms the changes in the dynamical character above 21 kbar. This is consistent with the formation of plaquette state, in which the spin correlation is different from that of a dimerised spin system.
### 2. Experimental details
The experiment was performed at the Swiss Muon Source ($S\mu S$), Paul Scherrer Institut, using the General Purpose Decay-Channel (GPD) Spectrometer [13]. The powder sample of SCBO was filled in a piston-cylinder pressure cell made of MP35N and pressurized. Since the sample has a response to muons comparable to that of the pressure cell, it is difficult to distinguish the
Figure 2: (a) ZF time spectra collected at $T = 0.25$ K for pressures 0, and 24 kbar. Solid curves represent best fits using Eq. (1). The inset shows pressure cell subtracted polarization function. The pressure cell parameters were assumed to be pressure independent, and the same configurations were used in analyzing 0 and 24 kbar spectra. (b) Pressure cell subtracted ZF muon time spectra collected at $p = 24$ kbar for $T = 0.25$, 0.9, 1.6, and 5.3 K. Solid curves represent best fits using Eq. (1). (c) Relaxation rate ($\lambda_{S,ZF}$) as a function of temperature at $p = 24$ kbar. (d) Stretched exponent ($\beta$) as a function of temperature for $p = 24$ kbar. The green shadow underneath the experimental points is a guide to the eye.
two contributions when analysing the time spectrum. Thus, the muons were implanted at two different momenta (100 MeV/c, and 107 MeV/c) where 100 MeV/c resulted in muons stopping only at the pressure cell, while with 107 MeV/c the muons probed also the sample. Through this measurement protocol, the sample and pressure cell contributions could be separated in a global fit procedure. Temperature scans from 0.25 K up to 10 K was performed under ZF and TF=50 G at pressures of 0, 21, and 24 kbar. The $\mu^+SR$ data was analysed using the software musfit [14].
3. Results and discussions
The collected ZF $\mu^+SR$ time spectra at $T = 0.25$ K for 0 and 24 kbar are shown in Fig. 2a. Small but notable difference is observed in the initial part of the spectra. The absence of oscillations confirms that no long range magnetic order is formed. Instead, Gaussian Kubo-Toyabe (GKT) and exponential like polarisation is observed. Therefore, the time spectra were fitted using:
$$A_0P_{ZF}(t) = A_S \exp(-(\lambda_{S,ZF} t)^{\beta}) + A_{PC} \exp(-\lambda_{PC} t)[\frac{1}{3} + \frac{2}{3}(1 - \sigma^2 t^2)\exp(-\sigma^2 t^2/2)]$$ \hspace{1cm} (1)
where $A_0$ is the total asymmetry, and $P_{ZF}(t)$ is the muon depolarisation function under ZF. $A_S$ is the asymmetry, $\lambda_{S,ZF}$ is the relaxation rate and $\beta$ is the power of the stretched exponential for the sample, while $A_{PC}$ is the asymmetry, $\sigma$ is the static depolarization rate under ZF, and $\lambda_{PC}$ the dynamic (electronic) relaxation rate of the pressure cell [13].
The pressure cell subtracted ZF time spectra for selected temperatures are shown in Fig. 2(b). As the system is cooled down from 5.3 K, the spectra changes from a weak to a strongly relaxing exponential. The temperature dependencies of the ZF fit parameters obtained using Eq. (1) of the sample are shown in Fig. 2(c,d). The relaxation rate exhibits low values at high temperature but slowly increases as the transition temperature $T_C = 1.8$ K is approached. The peak observed in $\lambda_{S,ZF}$ suggest the system is in a phase transition to the plaquette states at $T_C$. This is consistent with the transition temperature reported from heat capacity measurements [10].
The stretched exponent ($\beta$) clearly decreases from around 0.8 at $T = 5.3$ K to 0.5 at $T = 0.9$ K (Fig. 2(d)). A value of $\beta = 1$ corresponds to a simple exponential function, which could be
interpreted as a single Lorentzian field distribution or a dynamic system with other forms of distributions such as a Gaussian, and a value smaller than 1 implies a broader distribution of relaxation rates [15]. It is common for $\beta$ to decrease from 1 at high temperature to around 1/3 at low temperature close to phase transitions [16, 17, 18, 19]. Here, below $T_C$, $\beta$ gradually decreases towards 0.5. Below 0.7 K however, $\beta$ experience a sudden increase and deviates from 0.5. Most likely, this is a spurious effect due to the difficulty in fitting an exponential like relaxation response in an MP35N cell, particularly at low temperatures because of the pressure cell background [13]. Another scenario includes the formation of a different spin state of the system at these temperatures. However, such kind of transition is not observed in heat capacity measurements [10].
The sample was also measured under TF = 50 G. TF spectra were fitted with a single exponentially relaxing cosine function:
$$A_0 P_{TF}(t) = A_{TF} \exp(-\lambda_{TF} t) \cos(2\pi f_{TF} t + \phi_{TF})$$
(2)
where $A_0$ is the total asymmetry, and $P_{TF}(t)$ is the muon depolarisation function under TF. Both the sample and the pressure cell contributions are modelled together in a single exponentially relaxing cosine function: $A_{TF}$ is the asymmetry, $\lambda_{TF}$ the relaxation rate, $f_{TF}$ the precession frequency under applied field, and $\phi_{TF}$ the phase.
The obtained TF relaxation rate as a function of temperature, collected at $p = 0$, 21 and 24 kbar, is shown in Fig. 3. At high temperatures, the relaxation rates show no pressure or temperature dependence and is settled at a value of $\lambda_{TF} = 0.15 \mu s^{-1}$. Below 4 K, $\lambda_{TF}$ starts to increase with decreasing temperature for all pressures. The dependency on temperature at 0 kbar is consistent with previous $\mu^+SR$ experiment at ambient pressure [20]. However, the rate of increase at 21 and 24 kbar is different from the one at 0 kbar. This pressure dependence is attributed to changes in the local field dynamics and/or the field distribution widths in the sample. Since $\lambda_{TF}$ is essentially the integrated field correlation function, this change is consistent with the formation of a new spin configuration with its own spin-spin correlation function. Therefore, the qualitative difference in the dynamical nature above 20 kbar is consistent with the appearance of an extra magnon mode above this pressure seen with inelastic neutron scattering [8], which was interpreted to be due to the formation of a plaquette
state. Finally, the sharp increase below 0.7 K in $\lambda_{\text{TF}}$ is a contribution from the pressure cell [21].
4. Summary
In summary, we used high pressure $\mu^+SR$ to confirm the pressure/temperature phase diagram of SCBO. The absence of oscillation in the ZF spectra under higher pressure confirms that no long range magnetic order is formed. Moreover, measurements in TF suggest that the dynamical character changes above 21 kbar. These results are consistent with the formation of a plaquette state above 21 kbar, as suggested in previous studies.
5. Acknowledgements
This experiment was conducted in the GPD muon spectrometer, at the Swiss Muon Source (SpS) of the Paul Scherrer Institut (PSI), Villigen, Switzerland, and we are thankful to the staff for their support. The proposal number of the regarded experiment is 20131703. We are grateful to Christian Riegg for valuable discussions. All fitting of the $\mu^+SR$ data was performed with musrfit [14]. All images involving crystal structure were made with the VESTA software [22]. This research was supported by the European Commission through a Marie Sklodowska-Curie Action and the Swedish Research Council - VR (Dnr. 2014-6426 and 2016-06955) as well as the Carl Tryggers Foundation for Scientific Research (CTS-18:272). Y.S. and O.K.F are funded by the Swedish Research Council (VR) through a Starting Grant (Dnr. 2017-05078). E.N. and Y.G. are supported by the Swedish Foundation for Strategic Research (SSF) within the Swedish national graduate school in neutron scattering (SwedNess). Y.S. acknowledges funding from the Area of Advance-Material Sciences from Chalmers University of Technology. D.A. acknowledges partial financial support from the Romanian UEFISCDI Project No. PN-II-R-P4-ID-PCPF-2016-0112. H. M. R. acknowledges funding from Swiss National Science Foundation of project grant number 188648.
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REGIONAL INCOME INEQUALITY
IN THE UNITED STATES,
1913-2003
by
Estelle Sommeiller
A dissertation submitted to the Faculty of the University of Delaware in partial fulfillment of the requirements for the degree of Doctor of Philosophy in Economics
Fall 2006
Copyright 2006 Estelle Sommeiller
All Rights Reserved
REGIONAL INCOME INEQUALITY
IN THE UNITED STATES,
1913-2003
by
Estelle Sommeiller
Approved: ____________________________________________
Saul D. Hoffman, Ph.D.
Chair of the Department of Economics
Approved: ____________________________________________
Conrado M. Gempesaw II, Ph.D.
Dean of the College of Business and Economics
Approved: ____________________________________________
Conrado M. Gempesaw II, Ph.D.
Vice Provost for Academic and International Programs
I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy.
Signed: _______________________________________
James L. Butkiewicz, Ph.D.
Professor in charge of dissertation
I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy.
Signed: _______________________________________
Yves Crozet, Ph.D.
Professor in charge of dissertation
I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy.
Signed: _______________________________________
William R. Latham III, Ph.D.
Member of dissertation committee
I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy.
Signed: _______________________________________
René Sandretto, Ph.D.
Member of dissertation committee
I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy.
Signed: _______________________________________
Thomas Piketty, Ph.D.
Member of dissertation committee
I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy.
Signed: _______________________________________
Emmanuel Saez, Ph.D.
Member of dissertation committee
I certify that I have read this dissertation and that in my opinion it meets the academic and professional standard required by the University as a dissertation for the degree of Doctor of Philosophy.
ACKNOWLEDGEMENTS
My gratitude and acknowledgments are dedicated to Professor Thomas Piketty’s exceptional talent for writing passionate economic books. I would have never undertaken the task of writing about income inequalities without the clarity of his comments and the detail of his appendices in his impressive publication entitled *Les hauts revenus en France au XXème siècle. Inégalités et redistributions 1901-1998*.¹
Professor Emmanuel Saez also deserves the acknowledgment of my appreciation for lending me support whenever I asked for it.
Warm and grateful thoughts to Professor William Latham III, whose genuine interest for my work rekindled my enthusiasm on a daily basis. The accuracy of his comments, the timeliness of his answers, and his attachment to the values of professionalism made my dissertation work enjoyable and certainly more productive.
Professor James Butkiewicz, Professor Yves Crozet, and Professor René Sandretto also provided me with very valuable comments that greatly affected the organizational structure of this thesis.
¹ Suggested translation: France’s Top Incomes in the 20th Century. Inequality and Redistributive Issues, 1901-1998.
The financial support from the LET\textsuperscript{2}, the prestigious research center directed by Yves Crozet, and from the Department of Economics at the University of Delaware allowed me to purchase data and get started with my doctoral dissertation.
From a personal perspective, I would like to thank my surrounding friends who shared with me the ‘concentrate’ of life that my doctoral paper was, with times of satisfaction and frustration, excitement and exhaustion.
Last but not least, I would like to give my warmest regards to my parents, whose humbleness and humility have never lessened the trust and faith they put into my success. I would like to dedicate my work to both of them.
\textsuperscript{2} LET stands for ‘Laboratoire d’Economie des Transports’ (Laboratory of Transportation Economics).
# TABLE OF CONTENTS
LIST OF FIGURES ................................................................. x
LIST OF TABLES ................................................................. xii
ABSTRACT ........................................................................... xiii
Chapter
1 INTRODUCTION ............................................................... 1
1.1 Income Inequality: Meaning and Measurement .................. 1
1.1.1 How is Income Defined? ........................................ 1
1.1.2 Income Recipients: Who is to Count? ..................... 2
1.1.3 Income Inequality Measures ................................. 3
1.2 A Double-Contradiction Rekindles the Debate .................. 4
1.3 The Analyses of Convergence ....................................... 5
1.4 Organizational Structure ............................................ 6
2 LITERATURE SURVEY: THE NEED FOR DISPERSION INDICATORS .... 7
2.1 On Income Inequality: Inverted-U or Sinusoidal Curve? ........ 7
2.1.1 Kuznets and the Natural Decrease of Income Inequality .. 7
2.1.2 Piketty: the Accidental Pattern of Income Inequality .... 11
2.2 On Regional Convergence: Two Disciplines Compared .......... 14
2.2.1 Barro & Sala-i-Martin Advocate β Convergence .......... 15
2.2.2. The Geographers Advocate Regional Polarization ....... 17
2.3 New State-Level Income Data ...................................... 18
2.3.1 A New Data Set Relates to the Literature ................. 18
2.3.2 The New Data Set is Used for Convergence Analyses ...... 19
3 DATA & METHODOLOGY .................................................. 21
3.1 Data: the IRS Publications Statistics of Income ................. 21
3.2 Methodology: Pareto Estimation of Income Levels in Upper Decile .. 24
3.2.1 17 Fractiles to be Estimated ................................ 24
3.2.2 Fractiles are Estimated by the Pareto Interpolation Method .. 28
3.3 The Main Adjustments .............................................. 32
3.3.1 Excluding Capital Gains .................................... 33
3.3.2 Net Income and Adjusted Gross Income (from 1944 on)..................34
3.3.3 Households versus Tax Units.................................................................34
3.4 51 Ratios of Top Incomes over State Mean: Within-State Inequality.....36
3.5 51 Ratios of Top Incomes over U.S. Mean: Between-State Inequality....37
3.6 Income Shares by State..............................................................................37
4 CROSS-SECTIONAL AND TREND-OVER-TIME ANALYSES................38
4.1 Income Levels over Time...........................................................................39
4.1.1 West.......................................................................................................39
4.1.2 Midwest.................................................................................................41
4.1.3 South.....................................................................................................42
4.1.4 Northeast..............................................................................................43
4.2 Within-State Inequality ($y_{top,i,t} / ybar_{i,t}$).............................................44
4.2.1 Maps.......................................................................................................44
4.2.2 Trend over Time....................................................................................46
4.3 Inter-State Inequality ($y_{top,i,t} / ybar_{US,t}$)...............................................48
4.3.1 Animated Mapping...............................................................................50
4.3.2 Trend over Time....................................................................................52
5 CONVERGENCE 1: INCOME INEQUALITY AND ECONOMIC GROWTH.................................................................54
5.1 Kuznets-Type Analysis Based on the Ranking of States.......................55
5.1.1 Persistence of Income Differentials Among States over Time........55
5.1.2 The High-Income States Display the Widest Income Gaps............57
5.1.3 The Relation Low Income - Fast Growth Holds in the Long-Run........................................................................................................58
5.2 $\beta$ Convergence and Inequality Regressions..........................................63
5.2.1 $\beta$ Convergence: Growth and Initial Average Income....................63
5.2.2 $\beta$ Convergence Within the Top Decile..............................................67
5.2.3 Inequality Regressions........................................................................68
5.2.4 Spatial Auto-Correlation.....................................................................74
5.3 $\sigma$ Convergence..........................................................................................75
5.3.1 Average Income and Top Percentile Income Decline in Dispersion........................................................................................................76
5.3.2 Incomes of Top 90-95 and 95-99 Percent Record Increasing Dispersion........................................................................................................78
6 CONVERGENCE 2: THE FULL DISTRIBUTION OF INCOME.............81
6.1 The Lorenz Curve and the Gini Coefficient............................................82
6.1.1 General Considerations.......................................................................82
6.1.2 The Case of Crossing Lorenz Curves..............................................84
6.2 The Assumption of Pareto Distributions .................................................. 86
6.2.1 The Functional Form of the Lorenz Curve ........................................... 86
6.2.2 The Gini Coefficient in the Case of the Pareto Distribution .................... 89
6.3 Applied to the Panel Data of the United States, 1965-2003 .......................... 89
6.3.1 Lorenz Curves Skewed to the Right ..................................................... 89
6.3.2 Inequality Regressions on Gini Coefficients ......................................... 90
6.3.3 The Share of Median Income in Total Income, L90/10, and L75/25 .............. 91
7 CONCLUSION .................................................................................................. 97
7.1 Summary .................................................................................................... 97
7.2 Suggestions for Future Research ............................................................... 99
APPENDICES ..................................................................................................... 100
A.1 Data Sources ............................................................................................... 100
A.1.1 Internal Revenue Service and *Statistics of Income* ............................. 100
A.1.2 Bureau of Economic Analysis and State Personal Income ................. 102
A.1.3 Bureau of the Census and Household Numbers ............................... 103
A.1.4 Federal Bank of Minneapolis and Consumer Price Index ................... 104
A.2 Data Homogeneity ..................................................................................... 105
A.2.1 Alaska, Hawaii, D.C., and Other Areas ............................................... 105
A.2.2 Classes Grouped for Disclosure Purposes, 1917-1937 ..................... 107
A.3 Notes About the IRS Tables ...................................................................... 112
A.4 Growth Rates and Wages .......................................................................... 114
A.4.1 Composition of Income in IRS Tables ................................................ 114
A.4.2 Initial Wage Levels versus Growth Rates .......................................... 114
REFERENCES ................................................................................................... 118
DATA TABLES ................................................................................................... 123
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 2.1 | Kuznets’ Curve | 9 |
| 3.1 | Pareto Probability Density Function | 29 |
| 4.1 | Average Income Levels in the West | 40 |
| 4.2 | Average Income Levels in the Midwest | 41 |
| 4.3 | Average Income Levels in the South | 42 |
| 4.4 | Average Income Levels in the Northeast | 43 |
| 4.5 | Legend | 44 |
| 4.6 | 1929 | 45 |
| 4.7 | 1933 | 45 |
| 4.8 | 1939 | 45 |
| 4.9 | 1945 | 45 |
| 4.10 | 1949 | 46 |
| 4.11 | 1979 | 46 |
| 4.12 | 1989 | 46 |
| 4.13 | 2000 | 46 |
| 4.14 | Time Coefficients of Intra-State Inequality Regressions | 47 |
| 4.15 | Coefficients of Variations of Intra-State Inequality | 48 |
| 4.16 | Top Decile at National Level: Here versus Piketty and Saez (2004) | 49 |
| 4.17 | Legend for the Video File | 51 |
| 4.18 | Inter-State Inequality in 1938 | 52 |
| 4.19 | Time Coefficients from Inter-State Inequality Regressions | 52 |
| 5.1 | The Richest States Record the Widest Inequality Gaps | 58 |
| 5.2 | Correlation Ambiguities between Initial Income and Growth Rates | 61 |
| 5.3 | Growth Rates versus Initial Income Level | 66 |
| 5.4 | Regional Growth Rates versus Initial Income Level | 67 |
| 5.5 | Convergence Within the Top 10 Percent | 68 |
| 5.6 | Dispersion between Average and Top Incomes are Alike in Trend | 77 |
| 5.7 | CV, Mean and Standard Deviation Within the Top Decile | 79 |
| 6.1 | Lorenz Curve and Gini Coefficient | 83 |
| 6.2 | Crossing Lorenz Curves | 84 |
| 6.3 | Pareto Probability Density Function | 87 |
| 6.4 | An Example of Lorenz Curves | 90 |
| 6.5 | Time Fixed Effects in Growth Regressions with Gini Coefficients | 91 |
| 6.6 | Median Share, L90/10, and L75/25 in the Census Regions | 92 |
| 6.7 | Fluctuations of Inequality Ratio L75/25, Northeast | 93 |
Figure A4.1 Income Composition in California, Texas and New York..................115
Figure A4.2 Income Composition in Kansas, Iowa and Nebraska.......................116
| Table | Description | Page |
|-------|-----------------------------------------------------------------------------|------|
| 2.1 | A New Data Set to Debate on Inequality and Convergence | 19 |
| 3.1 | An Example of the IRS Tables | 22 |
| 3.2 | Definition and Notation of the 17 Fractiles to be Estimated | 25 |
| 3.3 | All the Steps from IRS Tables to T190 | 30 |
| 3.4 | Inter-Fractiles Calculation | 32 |
| 4.1 | The U.S. Census Regions | 38 |
| 4.2 | Variability in Within-State Inequality | 47 |
| 5.1 | High-Income States in 1913 and 2003 | 56 |
| 5.2 | Barro-Type Test for State Income Convergence, 1969-1999 | 65 |
| 5.3 | Inter-State Inequality Increases with the State Mean Income | 70 |
| 5.4 | Adding Sectoral Variables to the Basic Equation | 71 |
| 5.5 | Correlation between Growth and Inequality | 72 |
| 5.6 | GMM Regressions with the Sectoral Variable | 73 |
| 5.7 | Inequality Across States over the Past Century | 78 |
| 6.1 | Bottom and Top Deciles in the South from 1975 to 1988 | 95 |
| A2.1 | An Example of Classes Grouped | 108 |
| A2.2 | A Typo in New Hampshire Table, 1918 | 110 |
| A2.3 | Another Typo in IRS Tables | 111 |
| | Income Levels of Each Fractile, 2003 Dollars | 123 |
The main contribution of this dissertation is the construction of a new homogeneous set of panel data by state cross-sections and annually from 1913 to 2003, using the *Statistics of Income* publications by the U.S. Internal Revenue Service. This database represents the top 10 percent of the income distribution, but data from other sources are needed to account for average income. Meanwhile, the new income database of the top decile offers an alternative estimate of average income figures used by Barro and Sala-i-Martin to study the same topic.
In order to address the issue of income convergence across the United States over the long-run, three types of convergence are distinguished: 1) the $\beta$ convergence of average income in comparison with the $\beta$ convergence of the top decile, 2) the $\sigma$ convergence, and 3) the convergence of top incomes towards the lower decile of the income distribution.
In the case of the $\beta$ convergence, we found evidence confirming convergence within the top decile, and more mitigated results for convergence among state average incomes. The results showed that income inequality is positively correlated to average income, and negatively correlated to economic growth rates.
In the case of the $\sigma$ convergence, the trend over time opposes two income groups. On the one hand, average income and income of the top percentile both recorded a decline in dispersion across states (except after the mid 1980s). On the other hand, the incomes of fractiles 90-95, and 95-99 percent featured with a rise in dispersion across states.
Finally, the convergence of the top decile towards the bottom decile is emphasized from 1965 to 2003 (likewise for the top and bottom quartiles). The dispersion indicators of the lower layers of the income distribution were estimated by generalizing the Pareto assumption to the full income distribution. What emerges from these estimates is that the top income shares did not grow faster than the low income shares from 1965 to 1984. This trend was totally reversed and reached a peak in 1988 in all states, then decreased again until 1985, and finally reached a local maximum in 2000.
Chapter 1
INTRODUCTION
Income inequality can be – and is – conceived of in many ways. The topic has ignited passionate debates in the academic literature, crossing the borders of economics, sociology, politics, law, history, and geography, just to name a few. While this study will not attempt to shed light on all disciplinary aspects of the income inequality issue, both geographical and historical facets of income inequality within the United States will lie at the core of the analysis.
Before proceeding further, the conceptual framework needs to be set properly, and to this we turn first.
1.1 Income Inequality: Meaning and Measurement
1.1.1 How is Income Defined?
First, income has to be comparable from one perspective or another: over time, across geographic space, or among households, just to name a few. In other terms, income needs to be expressed in one single unit of measurement, whether it refers to the choice of a particular currency for international comparisons, the base year of a price
index for temporal comparisons, or the percentage of a total if one considers income shares. Furthermore, the unit of account may be selected carefully. Champernowne and Cowell (1998, p. 68) illustrate the point with the following example.
We cannot assume that an income of $x_1$ going to ‘person’ 1 always counts as less than income of $x_2$ going to ‘person’ 2 just because $x_2$ is a larger number than $x_1$, since ‘person’ 1 might be a single individual and ‘person’ 2 a sprawling household of three adults and ten children, but incomes must be defined in such a way that we can always decide for any pair which is the larger or that they are equally large, even when the two ‘persons’ receiving them are demographically dissimilar: that is what is meant by the income being comparable.
Second, one has to be clear about the income sources counted in the definition of income, as it varies from one statistical agency to the other, or from one year to another within the same agency. Income usually includes wages, business and property incomes, dividends, interest, and social benefits. But official income may exclude amounts that contribute to the individual’s overall living standard, such as transfer payments, non-cash income (the use of company car, subsidized meal vouchers, food stamps), and so on. In other words, the income definition needs to be clearly stated. The income definition used here is discussed in section 3.3.2 of this thesis.
1.1.2 Income Recipients: Who is to Count?
Individuals, households, families, tax units… The choice of the basic unit for the income recipients may not be as straightforward as it appears. Based on the same income tax returns for their inquiry on inequality in the United States, Kuznets (1953), and Piketty and Saez (2004) did not choose the same unit. Kuznets reduced tax returns to a per capita basis, while Piketty and Saez debated Kuznets’ choice and created instead a
tax units series for homogeneity purposes. What are the arguments from both sides? On the one hand, Kuznets (1953, p. xxxiii) argued that a tax return “does not represent the number of income recipients, since there may be more than one recipient per return (and the number cannot be ascertained from the available data). (...) Nor does the income tax return measure, in and of itself, a family or spending unit, however defined, since a family may file more than one return”. On the other hand, Piketty and Saez (2003, p. 4) pointed out a downward bias that the per capita basis introduces in the income series, and prefer to use tax units.\(^1\) “Because our data are based on tax returns, they do not provide information on the distribution of individual incomes within a tax unit. As a result, all our series are for tax units and not individuals. A tax unit is defined as a married couple living together (with dependents) or a single adult (with dependents), as in the current tax law.”
### 1.1.3 Income Inequality Measures
Income inequality can be measured in *absolute* terms. The poverty line, for instance, is defined as the income threshold below which an individual or a family is considered poor. Inequality needs to be measured in *relative* terms whenever two income distributions are to be compared. There are many relative measures of inequality. In the particular case of poverty, a relative measure may be the percentage of the population below the poverty line. There are many other inequality indicators expressed in relative
\(^1\) Section 3.3.3 will discuss the details of this issue.
terms, such as percentile distributions, the Gini coefficient, the Theil, Atkinson, and Gibrat indexes, etc.
However, none of these inequality indicators informs about the causes of income inequality. Multiple factors may generate income inequality: life cycle effects (age), gender or race discrimination, education and training, inherited wealth, economic circumstances, individuals’ characteristics (IQ, talent), the leisure-labor choice, and so on. This critical remark does not mean that inequality measures are invalid; rather, it points out the need for clarification of definitions and consistency of comparisons prior to investigating the causal aspects of the subject.
1.2 A Double-Contradiction Rekindles the Debate
The starting point of this study is a contradiction that emerges from two currents of the literature: the income inequality literature, and the regional convergence literature. On income inequality, the natural decrease of inequality predicted by Kuznets (1955) does not receive strong empirical support. On regional convergence, neo-classical economists support convergence whereas geographers marshal evidence for divergence, at least in the case of the United States at the sub-national level.
This thesis sheds light on the subject through the construction and use of a new panel data set of 4,641 income inequality observations (the 50 U.S. states plus the District of Columbia over 91 years from 1913 to 2003). Various inequality indicators are derived from this database. At the national level, the time-series data here are very similar to those of Piketty and Saez (2004). At the state level, there is no possible comparison
with Piketty and Saez’s series as their data set does not allow for sub-national differentiation. Many empirical studies used panel data on income inequality within the United States, but none, to my knowledge, covers such a comprehensive range of years for each state.
1.3 The Analyses of Convergence
The panel data on top incomes is used here to address the question of income convergence in the United States over the past century. Did the richest states experience relatively slower rates of growth while the poorest states recorded faster rates of growth, with both ends eventually converging to a common average? Does the same conclusion hold when considering top incomes instead of average incomes? If true, how does it impact inequality across states? Furthermore, convergence can be approached in terms of income dispersion. What conclusions can be drawn from the comparison between the dispersion of average income and the dispersion of top income? Finally, another aspect of convergence raises the issue of the estimation of the income distribution itself, as it has been only partially known so far. Suppose that we can derive, one way or another, all deciles of the spectrum. In that case, we would be able to address the following question. To which extent does top decile converge towards or diverge away from the lower deciles of the income distribution? How did one evolve with respect to the other over time?
1.4 Organizational Structure
The remainder of this study is organized as follows. Chapter 2 reviews the existing literature and explains how it relates to the subject of this thesis. Chapter 3
presents the raw data as they appear in the *Statistics of Income* tables, and describes the methodology used to derive the fractile tables and all other inequality measures. Cross-sectional and trend-over-time analyses are presented in Chapter 4. Chapter 5 starts with an overview of $\beta$ convergence, continues with the estimation of growth and inequality equations, and ends with an analysis on income dispersion. Finally, Chapter 6 recognizes the need for studying more than the top 10 percent of the income distribution, and estimates the lower fractiles (down to the lower decile) based on one assumption about the functional form of the Lorenz curve. The Gini coefficients, and two other inequality measures (‘top-to-bottom’ ratio and an intermediary indicator) are also estimated and briefly discussed. Chapter 7 concludes the study with a summary and suggestions for future research.
Chapter 2
LITERATURE SURVEY:
THE NEED FOR DISPERSION INDICATORS
Theoretically, the Kuznets’ curve and the neo-classical model of growth are perfectly consistent. Empirically, the ambiguity of conclusions dominates the debate, and the sections below briefly illustrate where we stand.
2.1 On Income Inequality: Inverted-U or Sinusoidal Curve?
2.1.1 Kuznets and the Natural Decrease of Income Inequality
Kuznets (1953) pioneered the development of empirical studies based on income tax data sorted by income ranges, which is a common way to highlight income differences. Kuznets used individual income tax returns to derive top income shares series (top 1%, top 3%, top 5% and their intermediate percentage bands) from 1913 to 1948, but the series is fairly complete only for 1919-1946. In percent, the shares of upper income groups are defined as the ratio of income amounts reported by each group over total income. Individual tax returns, despite the term ‘individual’, do not necessarily
reflect the income of individuals, rather the income of households filing a tax return. For consistency purposes, Kuznets decided to estimate series based on individuals, not tax units. To do so, Kuznets divided the total income reported in each income bracket by the total number of individuals represented by all tax returns in that bracket. For instance, a tax return of a widow with no dependents reporting $10,000 would be replaced by an individual with $10,000 of income while a family of four with $10,000 of income would be replaced by four identical individuals with $2,500 of income each.\(^1\)
Kuznets (1953) was restricted to the top tail of the distribution because taxes were paid only by the upper income classes of the population. Another data limitation is that the size of income shares depends upon the unit used in the distribution (individual, family, consuming unit, etc.) Under these circumstances, Kuznets (1953, p. xxxv) made three major findings: 1) The income shares of upper income groups drastically declined between 1939 and 1950; 2) this decline was highly correlated with the drop in the shares of upper income groups in total savings of individuals; and 3) short term changes in these shares were associated with business cycles. Note that the declining trend of upper shares in the United States at that time serves as a prelude to the famous inverted-U curve.
What follows briefly explains what the Kuznets’ curve is. Using the long-term perspective of development stages, Kuznets (1955) uses the partitioning of employment (among the usual three sectors of agriculture, manufacturing, and services activities) in order to explain how the development process first widens and then narrows income inequalities over time. Theoretically, as the industrial revolution triggers labor to
\(^1\) For more details about this example, see Piketty and Saez (2003, p. 37).
migrate from rural areas to more urbanized and industrialized areas, the first stages of economic development result in a widening of the income inequality gap, as described by the upward-sloping portion of the Kuznets’ curve. At the later stages of development, the industrial gains concentrated in urban areas are eventually shared among more people (decrease in inequality) as the flow of workers moves from rural areas of low-productivity levels into the industrialized metropolis, hence the downward sloping curve.
Kuznets (1958) investigated the parallels between the distribution of income within the United States (for 1919-21, 1929, 1940, 1950 and 1955) and the distribution of income across countries. For each year, the 48 states are divided in 6 groups of 8, sorted by the descending order of per capita personal income as defined by the Department of
Commerce\(^2\). Kuznets also calculated an annual inequality indicator that divides the state-group averages over the national average. In general, Kuznets’ conclusions for U.S. states are very similar to those drawn for international comparisons, although there are two key differences. The first shows that the level of per capita income inequality was narrower in the United States than that among other nations. The second finds larger amplitude in the sectoral composition in the interstate comparisons than in the international comparisons.
When sub-national regions of the U.S. economy are considered, one should expect them to lie on the decreasing portion of the Kuznets curve, so that the low-income states are associated with greater income disparities than the more developed states. Perloff, Dunn, Lampard and Muth (1960, p. 522) illustrate this point for 1955: “the sixteen states with the lowest per capita income derived some 5.9% of their total manufacturing wages and salaries from ‘machinery (including electrical)’; the sixteen states with middle level income, 16.3%; the sixteen states with the highest per capita incomes, 20.1%.”
Similarly, Williamson (1965) collected U.S. county-level data for 1950 and 1960 (p. 19 and 20), and found that:
On the average, the eight lowest income states have a coefficient of inter-county inequality approximately two and one-half times that of the richest seven. The same pattern holds true for the 1960 data, where again severe interregional differentials are associated with relatively low levels of development.
\(^2\) In Kuznets’ time, the Department of Commerce defined personal income as the sum of wages, salaries, and other labor income; entrepreneurial income; dividends, interest, rent and royalties; and transfer income; less personal contributions for social insurance – or an approximation to it in the case of the Leven estimates for the earlier years.
Overall, the inverse-U curve finds some empirical support more at the sub-national than at the international level\(^3\). But the sub-national studies usually suffer from a lack of data over the long-run, thereby weakening the conclusions for convergence.
Kuznets’ expectations of natural regional convergence are consistent with the neoclassical steady state of conditional convergence\(^4\) across regions, assuming the absence of factors hindering the flows of capital and labor from one place to the other.
### 2.1.2 Piketty: the Accidental Pattern of Income Inequality
Piketty (2001)\(^5\) uses individual income tax returns (1915–98), wage tax returns (1919–98) and inheritance tax returns (1902–94) to create a homogeneous data set of income inequality, wage inequality and wealth inequality. His findings question the arguments supporting the belief of a natural fading away of income inequality over time. “Mostly accidental” is how Piketty qualifies the decline in income inequality that took place during the first half of the twentieth century in France. The overall decline is related to the historical hazards of capital income and progressive taxation on very large fortunes.
---
\(^3\) See Barro (2000, p. 9).
\(^4\) Absolute convergence refers to the tendency for the living standards of *different* countries to become more equal over time, independently of the particular characteristics of individual countries. Conditional convergence features the tendency of living standards within groups of countries with *similar* characteristics to become more equal over time.
\(^5\) The original version is the following: Piketty Thomas. *Les hauts revenus en France au XXème siècle. Inégalités et redistributions 1901-1998*. Grasset. 2001.
Piketty’s work (2001) triggered a series of other empirical analyses applying the same methodology to different countries, as summarized by Atkinson (August 2003):
There has recently been a revival of interest among economists in the distribution of top incomes. The pioneering study by Piketty (2001) produced estimates of the long-run distribution of top incomes for France. Following his lead, Atkinson (2002) made estimates for the United Kingdom, and Piketty and Saez (2003) made estimates for the United States. Estimates are now also available for Germany (Dell, 2002), Canada (Saez and Veall, 2003), Netherlands (Atkinson and Salverda, 2003), India (Banerjee and Piketty, 2001), and Australia and New Zealand (Atkinson and Leigh, 2003). In using data from the income tax records, these studies use similar sources to the earlier work of Bowley (1914) and Stamp (1916 and 1936) in the UK, and Kuznets (1953) in the US. (See also the survey by Kraus, 1981.) The findings of the recent papers are however of added interest, since the data provide estimates covering nearly all of the twentieth century – a length of time series unusual in economics. Moreover, the techniques are considerably more developed.
Thomas Piketty and Emmanuel Saez (2004) shed light on the empirical aspects of income inequality in the United States, using the Internal Revenue Service’s (IRS) annual publications on *Statistics of Income* to create a homogeneous time-series data set on the upper shares of income and wages from 1913 to 1998. The methodology used by Piketty and Saez follows very closely that used by Kuznets (1953). There are several differences, though. The first difference lies on the definition of the upper income shares, based on individuals for Kuznets, and tax units for Piketty and Saez. In their paper (long version, 2004, p. 4), a “tax unit is defined as a married couple living together (with dependents) or a single adult (with dependents), as in the current tax law.” Because “Kuznets did not correct for the re-ranking,” he “misclassified in the top shares large
families with high total income but moderate income per capita.”\textsuperscript{6} Relative to Saez and Piketty’s, Kuznets’ shares are therefore underestimated. This discrepancy does not impact the pattern of upper income evolution over years though, because the decrease in the number of individuals per tax unit occurred across all income groups over the century.
The second difference deals with the treatment of capital gains and numerous other data adjustments. They received much less attention in Kuznets’ work (1953) than in Piketty and Saez (2004). One should be aware, however, that the IRS micro-files released from 1960 to 1995, and improving the statistics of the initial IRS tables, significantly helped Saez and Piketty in making the corrections to their estimates, were not at the disposal of Kuznets in his time.
The evidence for rising inequalities in the U.S. since the 1970s leads the authors to re-interpret the Kuznets curve as a sinusoidal graph. “A new industrial revolution has taken place, thereby leading to increasing inequality, and inequality will decline again at some point, as more and more workers benefit from the new innovations.” This argument matters even more once applied to the state-level analysis as the technological revolution occurred first on both the east and the west coasts. The lack of empirical evidence supporting the theoretical reduction in inequalities over time also holds in the convergence literature.
\textsuperscript{6} Piketty and Saez (2003, p. 37)
2.2 On Regional Convergence: Two Disciplines Compared
Two academic disciplines, (neoclassical) economics and (human) geography, predict two opposite outcomes: regional convergence for the former school and regional divergence for the latter. On the one hand, the Solow model suggests that two economies with similar technology, savings rates, and population growth rates should converge to the same capital-labor ratio and level of per-capita income in the long run. This model finds empirical support in numerous studies such as Barro and Sala-i-Martin’s (1995). Barro and Sala-i-Martin applied the neoclassical model to the U.S. states. “The overall evidence weighs heavily in favor of convergence: poor states tend to grow faster in terms of per capita income and product, and within sectors as well as for state aggregates.” In that sense, the growth literature validates the income inequality debate begun by Kuznets (1955).
On the other hand, the new economic geography, similarly concerned with the understanding of the origins and effects of regional growth differences, levels criticism at the way neo-classical theory handles the analysis of income inequality at the sub national scale: “neoclassical theory is based on diminishing returns in which any spatial structure (such as the creation of rich and poor regions) is self-canceling (through convergence)”. The economists of the new economic geography attempted to bridge the gap at the theoretical level, substituting the assumption of diminishing returns to that of increasing returns to scale (Krugman 1995, 1996, 1998). With those recent improvements, the opposition against regional convergence persists, as the researchers from both disciplines marshal empirical evidence supporting the increase in regional
inequality in the United States from the late 1970s on, and conclude in favor of economic polarization and regional divergence (Danziger and Gottschalk, 1993; Amos, 1988; Braun 1991, Coughlin and Mandelbaum, 1988; Rowley, Redman and Angle, 1991, Fan and Casetti 1994).
The next section looks more closely at the arguments debated in both disciplines.
2.2.1 Barro and Sala-i-Martin Advocate $\beta$ Convergence
Acknowledged as a key reference in empirical literature, the contribution of Barro and Sala-i-Martin (1995) strongly supports the convergence prediction of the Solow model with exogenous technological progress in a closed economy. Barro and Sala-i-Martin used both gross state product and per capita personal income\(^8\), exclusive of
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\(^7\) Barro and Sala-i-Martin (1995, p. 383) distinguish two definitions of convergence: $\beta$-convergence and $\sigma$-convergence. “In one view (...), convergence applies if a poor economy tends to grow faster than a rich one, so that the poor country tends to catch up with the rich one in terms of the level of per capita income or product. This property corresponds to our concept of $\beta$ convergence. (This phenomenon is sometimes described as “regression toward the mean”.) The second concept (...) concerns cross-sectional dispersion. In this context, convergence occurs if the dispersion _measured, for example, by the standard deviation of the logarithm of per capita income or product across a group of countries or regions_ declines over time. We call this process $\sigma$ convergence.”
\(^8\) The BEA’s definition is: “Personal income is the income that is received by persons from all sources. It is calculated as the sum of wage and salary disbursements, supplements to wages and salaries, proprietors’ income with inventory valuation and capital consumption adjustments, rental income of persons with capital consumption adjustment, personal dividend income, personal interest income, and personal current transfer receipts, less contributions for government social insurance. This measure of income is calculated as the personal income of the residents of a given area divided by the resident population of the area. In computing per capita personal income, BEA uses the Census Bureau's annual midyear population estimates.”
all transfers, for 47 U.S. states or territories from 1880 to 1988\(^9\), and found a $\beta$ convergence rate of about 2 percent a year. According to the authors, factors of production indeed flowed from low- to high-income states, leading the economies further below the steady-state position to grow faster. The evidence of convergence within the United States supports more the neoclassical model of growth than the evidence of convergence over large samples of many countries. The main reason is that one country’s features usually contrast more with another country’s than regions within the same country.\(^{10}\)
Note that the $\beta$ convergence, here tested within the United States, does not imply convergence across states, as Olivier Blanchard\(^{11}\) pointed out. Indeed, cross-sectional means that fluctuate within an interval shrinking over time can still display increasing standard-deviations. Blanchard highlighted this nuance to better argue against it. He showed that the temporal dimension of Barro and Sala-i-Martin’s data can be used to test the hypothesis of convergence in broader terms. Considering 1) dispersion over time, and 2) convergence coefficient over time, “both [ways] strongly suggest convergence [across the U.S. states]”. In other words, Blanchard generalized Barro and
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\(^9\) The authors exclude Oklahoma (no data), Alaska, Hawaii, and the District of Columbia. The BEA Personal State Income data they used are available for 1880, 1900, 1920, and annually from 1929 to 1988.
\(^{10}\) Barro and Sala-i-Martin (1995) also studied convergence between regions in Europe and in Japan.
\(^{11}\) See “Comments and Discussion” in Barro, Sala-i-Martin, Blanchard & Hall (1991, p. 159-174).
Sala-i-Martin’s conclusions on β convergence to overall convergence across U.S. states. Such results are now taken for granted in the economic literature, and this is exactly what I think can be improved, and this for two reasons.
First, Barro and Sala-i-Martin tested the neo-classical equation using arithmetic means as a proxy for the distribution of income. How to measure income discrepancies is an issue debated carefully in the income inequality literature, and the arithmetic mean hardly belongs to the set of the best statistical tools. A response to this problem is to resort to dispersion indicators, such as quartiles, deciles, or percentiles, revealing, at least partially, the income distribution itself.
Second, the later trends of increasing income inequalities observed recently in the United States question the neoclassical theory in that respect. The issue is controversial also with regard to the decade when income inequality started to widen: the mid-1970s, versus the mid-1980s. Such an argument carries much weight in the academic circles of human geography.
2.2.2. The Geographers Advocate Regional Polarization
The human geography literature easily gets to the point. Braun (1991) published an article entitled “Income Inequality and Economic Development: Geographic Divergence”, Amos (1988) writes about “Unbalanced regional growth and regional income inequality in the latter stages of development”, Coughlin and Mandelbaum (1988) “Why have state per capita income diverge recently?”, and Fan and Casetti (1994) “The spatial and temporal dynamics of U.S. regional income inequality, 1950-1989.”
Using the state-level per capita income data published by the Bureau of the Census, Fan and Casetti (1994) shed light on the short-term dynamics of regional inequalities in the United States between 1950 and 1989. In their 1994 publication, they acknowledge the influence of Kuznets’ convergence on the empirical literature. However, they consider the explanation of economic development as “static and deterministic:” The model they suggest lays emphasis on the regional dynamics accounting for the spatial flows of factors of production, that in turn affect the patterns of regional income inequality. The authors stress three successive phases: the “polarization” of factors of production, or regional divergence; the reverse process (“polarization reversal”), or regional convergence; finally, the re-allocation of production factors flowing across the United States and the renewed growth of some traditional core states, such as the recent increase in regional income inequality.
2.3 New State-Level Income Data
The data set constructed here will serve the analyses of convergence in later chapters.
2.3.1 A New Data Set Relates to the Literature
The table below summarizes the inequality and convergence literatures and shows the need for new data at the sub-national level over the long-run.
Table 2.1 A New Data Set to Debate on Inequality and Convergence
| Authors studying the U.S. | National Level (data & conclusion) | State Level (data & conclusion) |
|--------------------------|-----------------------------------|---------------------------------|
| Kuznets | IRS data & top decile (1953) | OBE\(^{12}\) personal income (1958) |
| | inverted-U curve (1955) | convergence (1958) |
| Piketty and Saez | IRS data & top decile (2004) | --- |
| | sinusoidal Kuznets’ curve (2004) | |
| Barro & Sala-i-Martin | Real GDP (1995) | BEA personal income (1995) |
| Geographers | convergence (1995) | state convergence (1995) |
| | Real GDP divergence | BEA or Census income data |
| | | polarization |
| Estelle Sommeiller | IRS data & top decile (2006) | IRS and BEA data + estimates |
| | sinusoidal Kuznets’ curve (2006) | of full income distribution |
| | | convergence and divergence |
2.3.2. The New Data Set is Used for Convergence Analyses
The analysis based on the panel data set is twofold. First, the data relative to the upper decile yield measures of inequality between and within states. These inequality indicators and the growth rates of state \(i\)’s average income are used in regressions to study the \(\beta\) and \(\sigma\) convergence (see Chapter 5). Second, the remaining 90 percent of the
\(^{12}\) OBE stands for ‘Office of Business Economics’, and is the former name of the BEA, ‘Bureau of Economic Analysis’. Both were/are part of the U.S. Department of Commerce.
distribution is not ignored as lower measures (bottom decile, first 25 percent, median, first 75 percent, and upper decile) are estimated to analyze the convergence (or divergence) of income groups within the income distribution itself.
Chapter 3
DATA AND METHODOLOGY
This chapter describes 1) the set of panel data, 2) the methodology applied, and 3) the inequality indicators that result from the calculations.
3.1 Data: the IRS Publications Statistics of Income
The Internal Revenue Service publication, *Statistics of Income, Individual Income Tax Returns*, is the primary source of the data used for the 50 states and the District of Columbia, from 1913 to 2003. Two variables are extracted from the IRS tables: the number of individual returns and the total income expressed in current dollars. Both variables are ranked by size of income (i.e. for a certain number of income brackets), and by state. For instance, the first page of the 1917 IRS table appears as:
Typically, the state income tables annually released by the IRS display, for each state and for a series of income brackets, the number of tax returns, the dollar amount of adjusted gross income, and some sources of income. While the IRS tables have been available in an electronic format since 1997, the tables published earlier are paper-based. All paper-based tables were scanned and tabulated in Excel worksheets. They record the first two variables (number of returns, and income amounts).
Arraying these income classes from the lowest income to the highest, it is possible to derive cumulative totals of household population and income, and to draw partition lines splitting the distribution evenly in a series of fractiles. Fractiles divide a given set of observations into equal portions, e.g. into two halves with the median, into four quarters with quartiles (0-25 percent, 25-50 percent, 50-75 percent, and 75-100 percent), into ten equal shares with deciles (0-10 percent, 10-20 percent, etc.), one hundred shares with percentiles, etc.
What is called ‘top decile’ refers to the income group that represents the richest 10 percent of the population. Only the richest 10 percent of the population can be examined consistently from 1913 to 2003. Why is it relevant to reduce the whole distribution to the top decile only? Before 1944, large exemption levels reduced the proportion of individual filing returns to about 10-15 percent (versus the vast majority after WWII). Between 1913 and 1916, this share drops as low as 1 percent.
3.2 Methodology: Pareto Estimation of Income Levels in Upper Decile
Piketty (2001) pointed out the strong heterogeneity of the top decile. Piketty’s methodology is applied here, and is fully described in *Les hauts revenus en France au XXème siècle*¹. Piketty’s book deals with the upper income shares over the past century, and focuses on France’s individual tax returns in the 20th century. It includes voluminous appendices detailing step by step the ‘why’s and ‘why not’s of the methodology used. The methodology can be broken into two steps: 1) the definition of the fractile tables that need to be created for each state and for each year between 1913 and 2003, and 2) the interpolation method used to estimate each of them.
3.2.1 17 Fractiles to be Estimated
There are 17 fractiles to be estimated: 6 threshold incomes, 6 average incomes, and 5 inter-fractiles. The following table describes what they correspond to.
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¹ *The Upper Shares of Income in France in the 20th Century.*
Table 3.2 Definition and Notation of the 17 Fractiles to be Estimated
| Percentile of tax units by income level from low to high | 90% | 95% | 99% | 99.50% | 99.90% | 99.99% |
|---------------------------------------------------------|-------|-------|-------|--------|--------|--------|
| Threshold income required to reach each percentile | $74,838 | $98,292 | $196,683 | $285,144 | $666,101 | $2,218,587 |
| Threshold income required to reach each percentile - Notation | TI90 | TI95 | TI99 | TI99.50 | TI99.90 | TI99.99 |
| Percentile of tax units by income level from low to high | 90-100% | 95-100% | 99-100% | 99.50-100% | 99.90-100% | 99.99-100% |
|---------------------------------------------------------|---------|---------|---------|------------|------------|------------|
| Cumulative percentage of tax units from top down | 10% | 5% | 1% | 0.5% | 0.1% | 0.01% |
| Average income of tax units in each cumulative range | $137,646 | $189,694 | $434,720 | $633,256 | $1,504,101 | $4,961,690 |
| Average income of tax units in each cumulative range - Notation | A190-100 | A195-100 | A199-100 | A199.50-100 | A199.90-100 | A199.99-100 |
| Percentile of tax units by income level from low to high | 90-95% | 95-99% | 99-99.50% | 99.50-99.90% | 99.9-99.99% | 99.99-100% |
|---------------------------------------------------------|--------|--------|-----------|--------------|-------------|------------|
| Percentage of tax units within each interval | 5% | 4% | 0.50% | 0.40% | 0.09% | 0.01% |
| Average income of tax units in each interval | $85,599 | $128,437 | $236,185 | $415,544 | $1,119,925 | $4,961,690 |
| Average income of tax units in each interval - Notation | A190-95 | A195-99 | A199.00-99.50 | A199.50-99.90 | A199.90-99.99 | A199.99-100 |
The threshold income labeled TI90 refers to the income level above which a tax unit belongs to the top decile and below which it does not. Six income thresholds were calculated: TI90, TI95, TI99, TI99.5, TI99.9, and TI99.99.\(^2\) All of the income
\(^2\) The TI notation here corresponds to the P notation in Piketty’s publications.
amounts are expressed in 2003 dollars, yet they do not take into account the cost of living differentials from one state to another.\(^3\)
The dollar amount in the AI90-100 category refers to the average income of the top decile. For instance, the richest 10 percent of Alabama’s tax payers earned about $137,646 on average in 2003 (current dollars).\(^4\)
This upper income class displays enough disparities to subdivide the top decile into 6 inter-fractiles: AI90-95, AI95-99, AI99-99.5, AI99.5-99.9, AI99.90-99.99, and AI99.99-100\(^5\). Still considering the case of Alabama in 2003, the richest 0.01 percent earned about $10,128,674 that year. Such a high income could not be revealed by an income of $137,646 for the AI90-100 fractile.
The example of year 1940 reveals how sharp the differences can be from one state to another. For the households living in Arkansas that year, the threshold income TI90 is $9,354, while the threshold income of TI99.99 is $474,840. Meanwhile, $11,546,827 is the threshold of the richest 0.01 percent in Delaware. The same year, an income of about $47,000 makes a tax filer part of the wealthiest 1 percent in Mississippi, but part of the wealthiest 10 percent in the District of Columbia.
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\(^3\) It would be very difficult to compute cost of living differences both across states and over time. State-level CPI data have the same base year value of 100, so these data do not reflect cost of living differences in the base year, only relative rates of inflation beginning from the same base value.
\(^4\) ‘AI90-100’ here is equivalent to Piketty’s average income accruing to fractile ‘P90-100’.
\(^5\) As Atkinson pointed it out, the top fractile AI99.99-100 needs to be deflated due to the lack of income brackets at the top. Therefore, a 5% decrease was applied to the years displaying 12 income classes or less, i.e. between 1988 and 2002.
In the whole sample (except Alaska), the District of Columbia has the highest TI90 threshold from 1917 to 1942, and again from 1944 to 1947, 1953-55, 1958, (except in 1918 with a third position after South Dakota and Nebraska, and in 1925 ranking second after Florida).
The year 2000 is an illustration of the peak in income levels reached by the top percentile that year. Among all the states, the highest income level of the AI99-99.5 fractile is recorded in Connecticut ($665,798). Still, that income level of the bottom half of the top percentile (AI99-99.5 in Connecticut) needs to be multiplied by more than 3.1 to reach the lowest values (among the states) of the highest fractile (AI99.99-100), which was recorded in West Virginia the same year ($665,798 * 3.1 < $2,096,212). Another example is that of the year 1982, when earnings of about $200,000 placed a household in to the AI99-99.5 fractile in Connecticut\(^6\) but to the AI99.99-100 fractile in South Dakota\(^7\).
Fractiles can be determined graphically using the cumulative curve. The cumulative distribution function plots the number of tax units (i.e. the number of households who filed a tax return) against the different income thresholds. For instance, the median interval simply corresponds to that bracket of income that contains 50% of the statistical population. However, to get a numerical estimation rather than a broad interval,
\(^6\) To be more precise, the AI99-99.5 fractile (i.e. the average income of the bottom half of top percentile) in Connecticut, 1982 is $199,214.
\(^7\) To be more precise, the AI99.99-100 fractile (i.e. the average income of the top 0.01 percent) in South Dakota, 1982 is $200,293.
income statisticians use the fact that typically, income cumulative curves fit the Pareto distribution fairly well at the upper tail.
3.2.2 Fractiles are Estimated by the Pareto Interpolation Method
The Pareto interpolation is a method of estimating either the median, or the deciles, or the percentiles of a population that follow a Pareto distribution.
- The Pareto Distribution
Studying the income distributions of various countries, the Italian economist Vilfredo Pareto noticed a specific pattern of the income allocation among individuals: Whenever the amount of wealth doubles, the number of people falls by a constant factor. In the theoretical literature, this constant factor is usually called the Pareto coefficient and is labeled $b$. This factor may vary from country to country, but the pattern remains basically the same. Buchanan (2002) comments further on the Pareto distribution:
Unlike a standard bell curve distribution, in which great deviations from the average are very rare, Pareto's so-called fat-tailed distribution starts very high at the low end, has no bulge in the middle at all, and falls off relatively slowly at the high end, indicating that some number of extremely wealthy people hold the lion's share of a country's riches. In the United States, for example, something like 80% of the wealth is held by only 20% of the people. But this particular 80-20 split is not really the point; in some other country, the precise numbers might be 90-20 or 95-10 or something else. The important point is that the distribution (at the wealthy end, at least) follows a strikingly simple mathematical curve illustrating that a small fraction of people always owns a large fraction of the wealth.
Visually, the Pareto distribution can be represented by the probability density function (PDF) taking the power form $f(y) = \alpha k^\alpha / y^{(1+\alpha)}$, where $y$ stands for income, $\alpha$ is a scalar, and $k$, the minimum level of income in the distribution. It captures well the 80-20
percent rule as $f(y)$, the “probability” or fraction of the population that earns a small amount of income per person ($y$), is rather high for low-income levels, then decreases steadily as income $y$ increases: The higher the values of $\alpha$, the wider the gap of inequality.\(^8\)
**Figure 3.1** Pareto Probability Density Function
Justifying that an income allocation fits Pareto distribution is the first step towards the calculation of dispersion indicators, such as the 17 fractiles to be estimated. This estimation can be performed using the Pareto interpolation technique (where the curved portion of the cumulative curve is approximated to a straight segment).
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\(^8\) The scalar $\alpha$ will be used again in the analysis on convergence (Chapter 6). In that chapter, the hypothesis that the top income fractiles are well approximated by the Pareto distribution will be extended to the functional form of the Lorenz curve, without making further assumptions. The Lorenz curve will be used to derive in all states the lower fractiles of the distribution (down to the lower decile).
• The Pareto Interpolation Method
The Pareto interpolation method suggests a specific formula to estimate fractiles. In the case of the top decile T190, the formula is written as follows:
\[
T190 = k (10\%)^{1/\alpha}
\]
(3.1)
The estimation of the parameters \(k\) and \(\alpha\) start with the determination of \(s_i\), the lower bound of the income interval \([s_i; s_{i+1}]\) displayed in the IRS tables. For instance, the IRS table for Alabama in 2003 (listed in the table below), displays \(N_i\) and \(Y_i\) for each income bracket \([s_i; s_{i+1}]\).
Table 3.3 All the Steps from IRS Tables to T190
| Income brackets | \(s_i\) lower bound | \(N_i\) | \(N_i^*\) | \(Y_i\) in $1,000 | \(Y_i^*\) in $1,000 | \(y_i = Y_i^*/N_i^*\) in $ |
|--------------------------|---------------------|-----------|-----------|-------------------|----------------------|-----------------------------|
| [1 ; 30,000) | 1 | 1,088,495 | 1,883,765 | 14,335,594 | 74,842,664 | |
| [30,000 ; 50,000) | 30,000 | 332,057 | 795,270 | 12,931,107 | 60,507,070 | 76,084 |
| [50,000 ; 75,000) | 50,000 | 229,168 | 463,213 | 14,052,671 | 47,575,963 | 102,709 |
| [75,000 ; 100,000) | 75,000 | 117,246 | 234,045 | 10,063,119 | 33,523,292 | 143,234 |
| [100,000 ; 200,000) | 100,000 | 92,505 | 116,799 | 12,021,949 | 23,460,173 | 200,859 |
| 200,000 or more | 200,000 | 24,294 | 24,294 | 11,438,224 | 11,438,224 | 470,825 |
| Total | | 1,883,765 | | 74,842,665 | | |
\(^9\) To calculate the top percentile instead, then the formula becomes: \(T199 = k (1\%)^{1/\alpha}\).
Columns $N_i^*$ and $Y_i^*$ simply correspond to the cumulative sums of $N_i$ and $Y_i$, respectively. The variable labeled $y_i$ represents the average income earned by the individuals lying in the $[s_i; s_{i+1})$ income interval. The Pareto coefficient $b_i = y_i / s_i$ divides the average income earned in the income class $[s_i; s_{i+1})$ by the minimum income of that class. It is then straightforward to derive the parameter $\alpha_i = b_i / (b_i - 1)$. Both $\alpha_i$ and $p_i$, the fraction of tax units earning more than $s_i$ are used in the estimation of $k = s_i \left[ p_i^{(1/\alpha_i)} \right]$.
Next, the lower bound $s_i$ chosen in the calculation of threshold income TI90 is such that the fraction $p_i$ of tax units with income above $s_i$ is as close as possible to the fractile TI90. This way of choosing $s_i$ is one of Piketty’s (2001) contributions. Finally, the Pareto formula mentioned above is applied here: estimated decile TI90 = $k / 0.1^{(1/\alpha)}$. Similarly, the formula estimating the top percentile is TI99 = $k / 0.01^{(1/\alpha)}$, and so on for the other threshold-income fractiles.
Getting average-income fractiles requires nothing more than multiplying the Pareto coefficient $b_i$ with the corresponding threshold income. Using the same example of the top decile as previously, average income level is defined as follows:
Then, inter-fractiles are deduced from simple subtractions summarized in the table below.
| Interval | Formula |
|-------------------|----------------------------------------------|
| AI90 - AI95 | 2 (AI90-100) - (AI95-100) |
| AI95 - AI99 | [ 5 (AI95-100) - (AI99-100) ] / 4 |
| AI99 - 99.5 | 2 (AI99-100) - (AI99.5-100) |
| AI99.5 - 99.9 | [ 5 (AI99.5-100) - (AI99.9-100) ] / 4 |
| AI99.90 - 99.99 | [ 10 (AI99.9-100) - (AI99.99-100) ] / 9 |
After the computation of fractiles for each state and each year from 1913 to 2003, more adjustments need to be made. Section 3.3 describes the main corrections added to the time-series (and the appendices describe all other adjustments not discussed in the text).
### 3.3 The Main Adjustments
To ensure the homogeneity of the time-series, various adjustments had to be performed. Below are the three corrections that most affected the data-set: 1) the exclusion of capital gains, 2) the treatment of the 1944 change in the definition of income, and 3) the upward adjustment of the count of tax units, smaller in size than households. The interested reader will find in Appendix 2 the description of all other adjustments.
3.3.1 Excluding Capital Gains
Among the different sources of income (wages, dividends, interests, business incomes, etc.) the capital gains declared are realized, and only a fraction of realized gains is reported on the tax returns. Moreover, capital gains feature an extreme volatility in the short-term, and keeping their aberrant values in the sample skews the curve of the overall trend. Unequivocal comparisons therefore require the exclusion of all capital gains from the upper income time-series. Piketty and Saez (2004) note (p. 33):
From 1913 to 1933, 100% of capital gains were included in net income (there was no capital gains exclusion); from 1934 to 1937, 70% of capital gains were included in net income (i.e. 30% of capital gains were excluded); from 1938 to 1941, 60% of capital gains were included in net income (i.e. 40% of capital gains were excluded); from 1942 to 1978, 50% of capital gains were included in net income (1942-1943) or in AGI (1944-1978) (i.e. 50% of capital gains were excluded); from 1979 to 1986, 40% of capital gains were included in AGI (i.e. 60% of capital gains were excluded); from 1987 on, 100% of capital gains were included in AGI (there was again no capital gains exclusion).
After withdrawing the share of declared capital gains from total income, one problem occurs. The subtraction of capital gains in each fractile series leads to a significant reduction, if not the elimination, of the highest incomes. This is the case for these tax units filing returns with capital gains as a main source of income. In other words, the removal of capital gains generates a new series whose ranking is inconsistent with the initial income-class intervals as displayed in the IRS publications. The rank reversal is an issue that needs to be corrected. According to Piketty and Saez, the top fractile AI99.99-100 needs to be increased by 40 percent, the fractile AI99.9-99.99 by 2 percent, AI99-99.5 and AI99.5-99.9 by 1 percent to preserve the initial income ranking.
AI90-95 and AI95-99 are left unaffected. These corrections are applied here to the fractile series uniformly across states. It seems reasonable to apply the treatment of capital gains uniformly across states because splitting capital gains into 51 different areas also divides the biasing effect by the same number.
3.3.2 Net Income and Adjusted Gross Income (from 1944 on)
The IRS definition of income has varied over time. The IRS used the term ‘net income’ until 1943, and ‘adjusted gross income’ from 1944 on. In the net income definition, the various deductions (charitable gifts, interest paid, local taxes, etc.) taken into account underestimated the 1913-1943 series compared to the 1944-2003 series. In consequence, the final series from 1913 to 1943 had to be adjusted upward. The sharpest correction concerned the top percentile, inflated by up to 20 percent. To a lesser extent, the 1944-2003 series also had to be adjusted upward (for the same reasons as explained by Piketty and Saez, 2004, p. 33, iii).
As in Piketty and Saez (2004), income is here defined as the annual gross income reported on tax returns, excluding capital gains and government transfers (such as social security pensions, unemployment benefits, welfare payments, etc.) and before individual income taxes and employees’ payroll taxes.
3.3.3 Households versus Tax Units
In this paper, the terms ‘household’ or ‘tax unit’ are used similarly, one as being the substitute for the other. However, there is a difference between ‘tax unit’ and ‘household’. The tax-unit series was constructed by Piketty and Saez (2004, p. 4)
according to the following definition. “A tax unit is defined as a married couple living together (with dependents) or a single adult (with dependents), as in the current tax law.” Due to the limited availability of data at the state level, the tax-unit series could not be identically constructed at the state level, hence, the resort to the household population as a proxy variable for tax units. The household series comes from the Bureau of the Census who defines the term ‘household’ as follows:
A household includes all the persons who occupy a housing unit. A housing unit is a house, an apartment, a mobile home, a group of rooms, or a single room that is occupied (...). The occupants may be a single family, one person living alone, two or more families living together, or any other group of related or unrelated persons who share living arrangements.
Therefore, to believe that households approximate well tax units is a delicate question because more than one tax unit may be included in one household (e.g. spouses filling returns separately, students co-renting the same housing, etc.) In other words, the number of tax units is usually greater than the number of households. Whether income per tax unit or income per household is chosen, the latter exceeds income per tax unit (by 30 percent on average, according to Piketty and Saez, 2004, p. 30).
This is the reason why the number of households had to be adjusted upward so that the national aggregate of the time-series I collected fits Piketty and Saez’s series of tax units, leaving the initial state proportions intact. In other words, I calculated the percent share that state $i$ represents in the U.S. number of households using BEA state data. Then, the same percentages (state / U.S.) were applied to Piketty and Saez’s denominators to get a new series by state. This is the most significant adjustment made for the N* variable.
3.4 51 Ratios of Top Incomes over State Mean: Within-State Inequality
The within-state inequality ratios are defined as the average income per household accruing to each fractile divided by state $i$’s average income per household. State $i$’s average income data at the denominator cannot come from the IRS publications because the number of income tax returns does not represent more than the richest 10 percent of the population in the early years of the sample. In other words, IRS data cannot represent the state average income consistently from 1913 to 2003, hence the resort to another data source for a comparison of top incomes (IRS) with the mean income (BEA).
Unlike the IRS’s Statistics of Income, the BEA’s State Personal Income data are not displayed by income classes, and both differ in definition.\(^{10}\) As mentioned in the introduction chapter, adjustments needed to be made on the BEA income series so that the BEA definition fits the IRS income (itself modified for time-consistency purposes as described in Section 3.3.2). The details of the adjustments made on the BEA personal income series are presented in Appendix A.1.2. Overall, to divide the top income levels by the state average yields an indicator measuring within-state inequality.
\(^{10}\) “In addition to non-taxable government transfers, non-taxable personal income includes imputed rent; interest and dividends received by pension plans, life insurance carriers and non-profit institutions; non-taxable employer and employee contributions to pension plans, health insurance, day care, etc.; capital and inventory adjustments (NIPA capital consumption is generally smaller than IRS capital consumption, so that NIPA entrepreneurial income is generally larger than IRS entrepreneurial income); etc. See Park (2000) for a detailed description of the differences between NIPA personal income and individual tax return income.” (Piketty and Saez, 2004, p. 28, note 49.)
3.5 **51 Ratios of Top Incomes over U.S. Mean: Between-State Inequality**
There are 51 inter-state inequality ratios, one for each state and one for the District of Columbia. These ratios divide the per-household income of state $i$'s top fractiles by the national average of per-household income. Converted in 2003 dollars, the national income used from 1913 to 2003 comes from Piketty and Saez’s series, as it is already corrected with all necessary adjustments. As well as an indicator of inter-state inequality, this ‘convergence ratio’ parallels Piketty and Saez’s income shares whose fluctuation interval ranges from 0 to 1. Piketty and Saez’s income shares represent the percent weight of top incomes in total income.\(^1\) Here, however, the top income per household is divided by the national income per household (not total income), and therefore most of the ratios exceed unity. The few that lie within unity are the states where the richest per household incomes did not go past the level of the national average; this particular case typically occurred in the early years of the time-period 1913-2003.
3.6 **Income Shares by State**
Income shares measure the weight of top incomes in total income at the state level. They are also part of the panel database.
\(^1\) See *Les Hauts Revenus en France*, Appendix B, p. 619, footnote 1, and “Income Inequality in the United States”, long version, p. 38.)
Chapter 4
CROSS-SECTIONAL AND TREND-OVER-TIME ANALYSES
The results can be analyzed over time, by cross-section, or both at the same time. First, the income levels are presented with the charts of fractiles for the full time period and by region, as defined by the U.S. Census Bureau: West, Midwest, South, and Northeast.
Table 4.1 The U.S. Census Regions
| Region | States |
|----------|---------------------------------------------|
| West | Alaska, Arizona, California, Colorado, Hawaii, Idaho, Montana, Nevada, New Mexico, Oregon, Utah, Washington, Wyoming. |
| Midwest | Illinois, Indiana, Iowa, Kansas, Michigan, Minnesota, Missouri, Nebraska, North Dakota, Ohio, South Dakota, Wisconsin. |
| South | Alabama, Arkansas, Delaware, District of Columbia, Florida, Georgia, Kentucky, Louisiana, Maryland, Mississippi, North Carolina, Oklahoma, South Carolina, Tennessee, Texas, Virginia, West Virginia. |
| Northeast| Connecticut, Maine, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, Vermont. |
Second, the ratios dividing the top income levels by the state average income are mapped in selected years. Third, the indicator capturing the departure of top income levels from the U.S. mean is mapped annually from 1913 to 2003 and animated in a short video file that any standard media player can read.
4.1 Income Levels over Time
The figures below show the regional trend of fractiles AI90-95, AI95-99, and AI99-100 for the entire time period. The regional data were obtained by taking the average values of the states in that region. The state recording the highest level of income for fractile AI99.99-100 is also displayed. Throughout the 91 years of observations, the peak income of the top 0.01 percent (AI99.99-100) exceeds by 23 times the maximum value of the top percentile (AI99-100) in the Midwest, and 37 times in the West.
4.1.1 West
The striking feature of this figure is the dramatic rise in income level of the top 0.01 percent at the end of the 1990 decade in California.
4.1.2 Midwest
Figure 4.2 Average Income Levels in the Midwest
Occurring in 1982, the sharp drop in income of the top 0.01 percent is hard to explain. Even though the accuracy of the IRS data were affected by a very restricted
number of income brackets in the SOI tables that year, the following years still confirm a very pronounced downward trend.
4.1.3 South
Figure 4.3 Average Income Levels in the South
Again, the top 0.01 percent seem to reach all-time high levels at the end of the sample period, far above the ranges of the beginning of the sample 1913-2003.
4.1.4 Northeast
Figure 4.4 Average Income Levels in the Northeast
For the four regions, the 4 percent between the 95th and 99th percentiles of the distribution grow slowly and at the same rate over time. For instance, the AI95-99 incomes all start around $40,000 in 1917, and reach the threshold of $100,000 (constant dollars) in 1966 for the West and Midwest, 1968 for the South, and 1964 for the Northeast. Barro and Sala-i-Martin (1995) conclude that states grew roughly at the same rate over the past century: this is true only for the fractiles AI90-95 and AI95-99.
4.2 Within-State Inequality ($y_{top,i,t} / y_{bar,i,t}$)
4.2.1 Maps
In regard to the upper percentile relative to the state mean, only the results based on the top percentile (AI99-100) are displayed below. Between 1913 and 2003, the values of the intra-state inequality ratio range from 1.4 to 47. For the map of year $t$ to be comparable to the map of any other year $n \neq t$, a ranking of the values in four equal intervals is applied to the entire time period (as opposed to the same partition applied to one particular year). 5.9 is the threshold of the first quartile, 7.6 is that of the median, and 9.7 of the third quartile. Hence the same legend for all maps:
Figure 4.5 Legend
Here, the magnitude of the third quartile (75-100 percent) is 37.3 (= 47 – 9.7) and refers to the top percentile. It lies between 3 and 1,833, its equivalent values based on fractiles AI90-95 and AI99.99-100, respectively.
The years selected below (1929-1933, 1939-1945, 1949-1979, 1990, and 2000) represent the beginning or the end of historical events that affected the U.S. economy more or less severely.
4.2.2 Trend over Time
Regressions of intra-state inequality on time and state by state yield time coefficients that are summarized in the three plots below.
An alternative way of presenting the results is to resort to the coefficient of variation (CV). By definition, the coefficient of variation divides the standard deviation by the mean, measures the volatility of a series with respect to its mean. The coefficient of variation $CV_t(y_{top,i,t} / y_{bar,i,t})$ is here regressed on time to observe the variability of within-state inequality over time. The table below shows that the annual income gaps within states have significantly declined in magnitude from 1913 to 2003.
**Table 4.2 Variability in Within-State Inequality**
| Dependent variable: $CV_t(y_{top,i,t} / y_{bar,i,t})$ | AI 90-95% | AI 95-99% | Top 1% |
|------------------------------------------------------|-----------|-----------|--------|
| Regressor coefficient: Time | -0.0035* | -0.0022* | -0.0015* |
* Statistically significant at the 1% confidence level.
A visual representation of the coefficients of variation illustrates the same result, in a lesser extent for the top percentile (in the right panel):
4.3 Inter-State Inequality ($y_{top,i,t} / y_{bar,US,t}$)
The estimation method applied at the state level is the same as Piketty and Saez’s at the national level. Therefore, the unweighted addition of top incomes across states (top panel) should match Piketty and Saez’s top income figures at the national level (bottom panel).
Figure 4.16 Top Decile at National Level: Here versus Piketty and Saez (2004)
The reason why this calculation is done is to check the accuracy of the *state* estimates calculated here. Basic regressions of one against the other yield a (positive) $R^2$ of 0.8. The unexplained part of the correlation may be linked to several factors. One of them is that the two curves above are not identically defined. The former divides the top decile income by *per household* income (and typically exceeds unity) while the latter divides the top decile income by *total* income (and is smaller than one). This should not affect the similarity in their respective trend, however. Another explanation refers to the unit income as measured by Piketty and Saez, who constructed a tax-unit series to calculate income per tax unit, while we refer here to the income per household. Indeed, the availability of the data at the state level did not allow the state and national series to be identically constructed, despite all the adjustments already performed on the household series.\(^1\)
One may keep in mind that if the incomes of the top 10 percent do not exceed 4.5 times the national average during the entire time period, the top 0.01 percent reaches a peak of 380 times in 1916, and always lies above 150 times the national average, except for the 1940-1990 time interval.
### 4.3.1 Animated Mapping
Below is the media file showing the temporal evolution of the ratio dividing the top percentile by the U.S. average personal income. More precisely, it consists in putting together all the annual maps of the ratio, and the juxtaposition of all maps
---
\(^1\) More explanations are provided in Section 3.3.3, and in appendices A.1.3.
chronologically creates an animated effect recorded in a video file. Ranging from 3.1 to 73.4 (in all years and states), the values of the inter-state ratio are displayed with 2 visual effects. The first one is a 3-dimensional projection that gives height to the state polygons, the height being equal to the state value of the ratio. The second is the partition of the values into 4 equal groups of colors, shading from light blue (low values) to dark blue (top values), breaking at the 3 quartile thresholds (Q25 = 6.6, Q50 = 8.4 and Q75 = 11).
Figure 4.17 Legend for the Video File
The animation file lasts about 1 minute and 30 seconds. Click [here](#) to play the video. For readers using the paper-version of this thesis, below is one map extracted from the video.
The evolution of the top income with respect to the national average is referred here as ‘inter-state convergence’, and can be summarized in a trend analysis.
4.3.2 Trend over Time
Inter-state convergence regressions produce the following time estimates.
Figure 4.19 Time Coefficients from Inter-State Inequality Regressions
There is a clear difference between the fractiles of 90-99 percent and the top percentile. While the increasing trend of the former reveals a further deviation from the national mean after the 1940s, the latter sharply converges to the national mean after the Second World War until the mid 1980s.
Chapter 5
CONVERGENCE 1:
INCOME INEQUALITY AND ECONOMIC GROWTH
Chapter 5 deals with the evolution of income inequality compared to the growth rate of state average income. As mentioned in Chapter 3, state average income refers to the BEA series of per household personal income by state adjusted to Piketty and Saez’s series, and income inequality is measured with various ratios of the top percentile.
This chapter aims at assessing the sensitivity of the results to two different approaches. The first one is borrowed from Kuznets (1958); the second one is taken from Barro and Sala-i-Martin (1995). Therefore, this chapter starts with a Kuznets-type analysis based on the ranking of states according to their respective initial average income (BEA data). The analysis continues with a formal econometric analysis based on the generalized method of moments to address the issue of the $\beta$ convergence. Next, the concept of the $\sigma$ convergence is applied to both average and top incomes, using different measures of their respective dispersion across states.
5.1 Kuznets-Type Analysis Based on the Ranking of States
The Kuznets-type analysis leads to distinguish three stylized facts: 1) the persistence of income differentials among states over time, 2) the high-income states display the widest income gaps, and 3) the relationship between low income levels and fast growth rates does not hold during recessions. In all three cases, whether a state is considered rich or poor is based on the ranking of the state average income series.
5.1.1 Persistence of Income Differentials Among States over Time
Overall, the rank order of the states with respect to state average income has remained strikingly stable over time. The richest third (i.e. the top 17 states) in 2003 includes 13 of the 1913 wealthiest states. In addition to listing the high-income states, Table 5.1 displays the corresponding income per household expressed in 2003 dollars. The state names that do not appear in both the columns have been grayed out.
Table 5.1 High-Income States in 1913 and 2003
| 1913 | 2003 |
|---------------|---------------|
| Alaska | Connecticut |
| California | New Jersey |
| District of Columbia | District of Columbia |
| New York | Massachusetts |
| Connecticut | Maryland |
| New Jersey | California |
| Illinois | New York |
| Michigan | Alaska |
| Delaware | Hawaii |
| Massachusetts | Illinois |
| Rhode Island | New Hampshire |
| Hawaii | Virginia |
| Arizona | Colorado |
| Pennsylvania | Minnesota |
| Maryland | Delaware |
| Ohio | Washington |
| Washington | Rhode Island |
This secular persistence of income discrepancies across states generalizes what Perloff, Dunn, Lampard, and Muth (1967, p. 502) found for per capita income by state from 1920 to 1955. The authors noted that “there has been remarkably little change in income differences among states over these years. While it is true that some states have had more rapid increases in per capita income than others and there has been a tendency toward equalization of differentials in relative terms, the narrowing of the differentials appears to be related primarily to short-run fluctuations and year-to-year random movements.” The authors point out two economic upheavals featuring the time-period
1920-1955: 1) the Great Depression, and 2) the inflationary spiral that occurred in the aftermath of World War II.
5.1.2 The High-Income States Display the Widest Income Gaps
The main idea is to oppose two series: 1) the level of state average income per household, and 2) the size of the state inequality gap. More precisely, the state average income per household corresponds, as discussed above, to the BEA state personal income adjusted to Piketty and Saez’s series. The inequality gap is measured by the inter-state ratio of the top percentile (derived from IRS tables), i.e. the departure of the state top incomes (top 1 percent) from the national average. The first series is ordered in descending sequence, and then partitioned into 3 groups of 17 states each: high-, medium-, and low-income states. Similarly, the second series partitions states of wide, moderate, and narrow income gaps. How many of the poorest states are featured by high inequality? Kuznets predicted the reverse correlation.
Figure 5.1 illustrate the results for selected years, with negative correlation (left panel) and positive correlation (right panel):
It is evident in Figure 5.1 that there are many more states where a narrow income gap is associated with a low level of income (and sharp inequality with high income levels) than states recording a low income average along with a wide income gap (and vice-versa for ‘high-narrow’). Moreover, the state count in either case barely varies over time. The standard deviation for the negative and positive correlations is 1.9 and 3.7, respectively. This result contradicts Kuznets hypothesis, but prior to drawing such a conclusion, we need to focus on how state growth rates evolved with inter-state inequality, measured in the next section by the ratio of the income earned by the top 1 percent relative to the national average income.
5.1.3 The Relation Low Income - Fast Growth Holds in the Long-Run
In his study of industrial distribution of income by states, Kuznets (1958, p. 42) writes that “the states with the highest rates of growth in per capita income had low per capita incomes in the initial year; and those with lowest rates of growth in per capita
income had initially high per capita incomes... In other words, in the country’s growth during recent decades interstate inequalities in per capita income were reduced.”
However, Kuznets analyzed only five years or periods (1919-21, 1929, 1940, 1950, and 1955) to draw his conclusion on. Using the series of the state average of per household income, we compare here the number of low-income states with fast growth rates to the number of low-income states with slow rates of growth.\(^1\) Again, the data shed light on this point. The two panels of the figure below provide a visualization of the results. The first one utilizes the full size of the sample (1913-2003), and the second duplicates the former for selected years only (1919-21, 1929, 1940, 1950, and 1955 from Kuznets’ perspective).
\(^1\) Alternatively, we could have compared the number of high-income states with slow growth rates to the number of high-income states with fast rates of growth.
Correlation between Initial Income and Growth Rates, 1913-2003
- Negative
- Positive
Count number of states featuring either correlation
Figure 5.2 Correlation Ambiguities between Initial Income and Growth Rates
Figure 5.2 suggests convergence because the low-income states recorded fast growth rates 52 times out of the 90 years considered. This number exceeds the number of years when low-income states recorded slow growth rates (32 years out of 90). The remaining 6 years featured equality between income levels and growth rates. It is not surprising that both Kuznets and Barro concluded in favor of convergence because the years they considered displayed more states where initial incomes were negatively correlated to growth rates.
Figure 5.2 reveals that the negative correlation switched to a positive correlation in recessionary years: the aftermath of 1929’s black Friday, the early 1950s, early 1960s, almost the full decade of the 1980s, and the second half of the 1990s. At these points in time, there were more rich states growing fast than rich states growing
slow.\(^2\) This remark suggests that the $\beta$ convergence does not hold anymore in the downward phase of the Juglar’s cycle, whose complete occurrence usually takes eight to ten years.
However, their conclusions were based on different measures of income. Kuznets used per capita income (and not per household income), thereby making comparisons less unequivocal. Note also that Kuznets’ main argument was not to demonstrate the links between growth rates and income differentials, but to inform on the industrial distribution of income among the sectors of agriculture (A), manufacturing (M) and services (S), at a very refined degree of disaggregation. For 1919-1921, 1929, 1940, 1950, and 1955, he arrayed the percentage increase in states per capita income in descending order, and partitioned them into six groups of 8 states each. He performed both cross-section and trend over time analyses, and concluded:\(^3\)
The share of the A sector declined in all six groups of states; but the decline was greater in the states in which growth in per capita income was greatest. (...) Thus the results for the share of the A sector conform to the expectations derived from the cross-section analysis.
The changes in the share of the M sector also agree with our expectations. The share rose in all six groups, but it rose more in the groups in which per capita income grew at a higher rate.
The share of the S sector also rose fairly substantially in all six groups; but the association between the rate of growth of per capita income and the increase in the share is not as clear-cut as for the A and M sectors.
\(^2\) Similarly, there were more poor states growing slow than poor states growing fast.
\(^3\) Kuznets (1958, p. 42).
The industrial distribution of income across states is a topic where boundaries lie beyond the scope of the present work. The next step is to address the same issue of inequality and growth, through the traditional concept of the $\beta$ convergence.
### 5.2 $\beta$ Convergence and Inequality Regressions
The $\beta$ convergence refers to the negative correlation between the initial income level and the growth rate at two different points in time. The initial income level is measured here by the state average income derived from the BEA series. Inequality equations, however, address the convergence issue from a different perspective and link the top incomes to the growth rate of state average income.
#### 5.2.1 $\beta$ Convergence: Growth and Initial Income Level
Testing the Solow model of growth\(^4\), the traditional regressions found in the empirical literature use a cross-country sample to perform a linear regression of growth rates on a constant term and the initial level of per-capita income. With $i$ indexing U.S. states, the main equation is
$$
(1/T) \cdot \log \left[ y_{i,(t_0+T)} / y_{i,t_0} \right] = \alpha + \beta \log [y_{i,t_0}] + \gamma X_i + \varepsilon_{it},
$$
where:
- $T$ is the amplitude of the time-interval considered,
---
\(^4\) According to the Solow growth model, two economies with similar technology, savings rates, and population growth rates converge to the same capital-labor ratio and level of per-capita income in the long run. In other words, if poor countries tend to grow at faster rates (per capita) than rich countries, their per-capita income levels are getting closer together over time.
$t_0$ is 1917 for the top decile, and 1913 for the top 1 percent,
$\log \left[ \frac{y_{i,(t_0+T)}}{y_{i,t_0}} \right]$ is the overall growth rate of the BEA personal income per household in state $i$ between year $t_0$ and $t_0+T$,
$(1/T) \cdot \log \left[ \frac{y_{i,(t_0+T)}}{y_{i,t_0}} \right]$ is the annual growth rate of the BEA personal income per household in state $i$ between year $t_0$ and $t_0+T$,
$y_{i,t_0}$ is the initial income level,
$X_i$ represents one or more additional variables that may affect growth,
$\varepsilon_i$ is a random error term, and
$\alpha$, $\beta$, and $\gamma$ are parameters to be estimated.
Initial income is entered in log form because that allows the coefficient $\beta$ to be interpreted as the marginal effect of a one-percent increase in initial income on the growth rate. A negative value of $\beta$ provides evidence supporting the convergence hypothesis of the Solow model.\(^5\)
As Crain (2003) pointed it out, the definition of the growth rate (of income) is an issue. Whether the growth rate is defined one way or another, the estimated coefficients of an equation may change in sign. To illustrate his point, Crain compared the ‘continuously compounded’ growth rate (as used in traditional convergence regressions) to the ‘least squares’ growth rate (that Crain derives from least squares trend regressions). In regressions based on the ‘least squares’ growth rates, the $\beta$ coefficient is no longer statistically significant (even though it keeps the same sign). Crain extended the
\(^5\) Barro and Sala-i-Martin define $\beta$ in a different way and expect a positive $\beta$ for a conclusion favoring convergence.
analysis from income per capita to income per worker and concluded again on the sensitivity of the results to the growth rate definition, as shown in the table below.
**Table 5.2** Barro-Type Test for State Income Convergence, 1969-1999
| Independent Variables | Growth in Income per Capita | Growth in Income per Worker |
|-----------------------|-----------------------------|-----------------------------|
| | Continuously Compoundeda | Least Squaresb | Continuously Compoundeda | Least Squaresb |
| ln (Initial Income) | -0.009 | -0.005 | -0.007 | -0.004 |
| | (-3.85)** | (-1.38) | (-2.08)e | (-0.94) |
| Constant | 0.104 | 0.063 | 0.080 | 0.049 |
| | (4.61)** | (1.83) | (2.26)e | (1.04) |
| R-squared | 0.27 | 0.05 | 0.10 | 0.02 |
| F-statistic | 14.71 ** | 1.92 | 4.31 * | 0.88 |
| Number of observations| 50 | 50 | 50 | 50 |
*Note:* t-statistics are shown in parentheses.
*a*The continuously compounded growth rate is computed as \[ \ln\left(\frac{X_{1999}}{X_{1969}}\right) / 30 \], where \( \ln \) is the natural logarithm, \( X_{1999} \) is real income in 1999, \( X_{1969} \) is real income in 1969, and 30 is the number of years in the sample.
*b*The least squares growth rate is computed by regressing the natural logarithm of income in each state on a linear time trend as follows:
\[ \ln (\text{Real Income per Capita}_t) = \text{Constant} + \beta_{pc} \cdot (\text{Time Trend}_{1969-99}) + u_t \]
\[ \ln (\text{Real Income per Worker}_t) = \text{Constant} + \beta_{pw} \cdot (\text{Time Trend}_{1969-99}) + u_t \]
where \( \ln \) refers to the natural logarithm, the subscript \( t \) refers to the value in each year, and \( u_t \) is the random error term. In this specification the estimated coefficients for \( \beta_{pc} \) and \( \beta_{pw} \) yield the annual growth rates.
* Indicates significance at the 5 percent level for a two-tailed test. ** Indicates significance at the 1 percent level for a two-tailed test.
Source: Crain (2003, p. 28).
Taking this detail into account, the next figure distinguishes two definitions of growth rates, both being based on state average income per household. The first one is equal to the logarithm of the ratio of income level in year 2003 over the income level in year 1913: \( \log(ybar_{2003}/ybar_{1913}) \). The second one is defined as the average of annual growth rates between 1913 and 2003. The results appear in panels (a) and (b) of the figure below, where each point represents a state.
The declining trend clearly coincides with Barro and Sala-i-Martin’s results. To visualize where the states are located on the scatter plots, we aggregated the data at the regional level and what was expected clearly appeared in the figure below.
As mentioned earlier, the data depicted in the two figures above are not derived from the IRS tables, but from the BEA state personal income data. The next section deals with the $\beta$ convergence of the IRS incomes within the top 10 percent.
### 5.2.2 $\beta$ Convergence Within the Top Decile
Convergence seems to occur within the top decile. Consider fractiles AI90-95, AI95-99, and AI99-100, (with all income levels expressed in constant dollars of 2003). The beginning of the time-period is 1917 for the first two, and 1913 for the third one. In the figure below, the horizontal axis is the one percent increase in the initial income level of the fractile considered, and the vertical axis is the growth rate of $y_{top_i}$ between $t_0$ and $(t_0 + T)$:
The three scatter plots actually correspond to equation
\[(1/T) \cdot \log \left[ \frac{ytop_{i,(t0+T)}}{ytop_{i,t0}} \right] = \alpha + \beta \log [ytop_{i,t0}] + \varepsilon_{it}.\]
### 5.2.3 Inequality Regressions
Before estimating any regressions, one needs to consider the best method of estimation, given the panel data at our disposal.
- **Generalized Method of Moments (GMM) as the Method of Estimation**
Panel data lend themselves to dynamic models. The chosen method of estimation is a dynamic panel data model where the general approach relies on instrumental variables estimators and on a generalized method of moments estimator. Several reasons justify this choice. First, performing a Hausman test on the growth equation leads to the rejection of the assumption that the regressors are uncorrelated with the error terms. In other words, ordinary least squares estimates cannot be consistent. An alternative method to least squares estimation is the instrumental variable technique. In
other words, one needs to introduce instrumental variables to the dynamic panel data specification which is given by Equation (5.3)
\[(5.3) \quad y_{it} = \alpha_i + \beta x_{it} + \delta y_{i,t-1} + \varepsilon_{it}.\]
Second, the time-span 1913-2003 is long enough to use the lagged growth rates \((y_{i,t-2} - y_{i,t-3})\) as instrumental variables for \((y_{i,t-1} - y_{i,t-2})\). The first differences transformation applied to the dynamic model corrects for the cross-section effects and produces an equation of the form\(^6\):
\[(5.4) \quad y_{it} - y_{i,t-1} = \beta (x_{it} - x_{i,t-1}) + \delta (y_{i,t-1} - y_{i,t-2}) + (\varepsilon_{it} - \varepsilon_{i,t-1}).\]
Third, the dynamic model adopted here corrects for time-period fixed effects with dummy variables and corrects for heteroscedasticity with a White diagonal instrument weighting matrix.
- Inequality and Initial Income Level: Significant Positive Correlation
The table below shows a strong positive correlation between inter-state inequality \((AI99-100_i / ybar_{US})\) and the state average income at the beginning of each period.
\(^6\) See Greene (2000, p. 583).
Table 5.3 Inter-State Inequality Increases with the State Mean Income
| Sample | Variable | Coefficient | Prob. |
|--------------|--------------|-------------|-------|
| 1913-1928 | INTER99100(-1) | 0.2629 | 0.0000|
| | YBAR | -9.89E-06 | 0.9799|
| 1929-1939 | INTER99100(-1) | 0.0258 | 0.7042|
| | YBAR | 0.0019 | 0.0032|
| 1944-1979 | INTER99100(-1) | -0.0233 | 0.6084|
| | YBAR | 0.0001 | 0.0000|
| 1980-1989 | INTER99100(-1) | -0.1192 | 0.0001|
| | YBAR | 0.0003 | 0.0001|
| 1990-1999 | INTER99100(-1) | -0.4013 | 0.0000|
| | YBAR | 0.0007 | 0.0000|
| 1999-2003 | INTER99100(-1) | -0.6120 | 0.0000|
| | YBAR | 0.0009 | 0.0000|
Coefficients do not vary much when AI99.99-100 is used instead. Do the results change after the addition of another regressor in the GMM regressions? Reflective of the industrial composition of income in each state, this variable added to the $X_i$ matrix is taken from Barro and Sala-i-Martin (1991, p. 117). It breaks down “state $i$’s personal income into nine standard sectors: agriculture; mining, construction; manufacturing; transportation; wholesale and retail trade; finance, insurance, real estate; services, and government.” The data relate to the personal income accruing to each sector in 1930, 1940, 1950, 1960, 1970, and 1980 at the national level. The two authors first calculated the national growth rate of each sector from one decade to the other, and then weighted the national growth rates by the share of each sector in state $i$. The variable they compute is a single number per state summing all sectoral (weighted) growth rates together. The
authors also computed the agricultural share of personal income for 1920-1930, which is included in the vector of the sectoral regressors.
Table 5.4 Adding Sectoral Variables to the Basic Equation
| Sample | Variable | Coefficient | Prob. |
|------------|----------------|-------------|-------|
| 1920-1980 | INTER9999100(-1) | 0.3856 | 0.0032|
| | YBAR | 0.0048 | 0.0213|
| | SECTOR | 40.8959 | 0.6890|
The sectoral variables added to the basic equation fail to improve the results. They also affect the number of observations, dropping the sample size from 4,539 to 288. This is due to the decennial nature of the sectoral variable, measuring growth rates of a sector in a state income from one decade to the next (and not from one year to the next) during the time-period 1920-1988.
The correlation between the growth rate of the average income and inequality across states is the focus of the next section.
• Growth and Inter-State Inequality: Significant Negative Correlation
In this section, the main variable is no longer the initial income average, but the initial income in the top decile of the distribution. To what extent does the initial income of the wealthiest tax filers affect the growth rate of the state average income? The main equation is written as
\[(5.5) \quad (1/T) \cdot \log \left[ \frac{y_{i,(t_0+T)}}{y_{i,t_0}} \right] = \alpha + \beta \log [y_{top,i,t_0}] + \gamma X_i + \varepsilon_{it},\]
as opposed to
\[(5.6) \quad (1/T) \cdot \log \left[ \frac{y_{i,(t_0+T)}}{y_{i,t_0}} \right] = \alpha + \beta \log [y_{i,t_0}] + \gamma X_i + \varepsilon_{it},\]
where the new items are:
- \( ytop_{i,10} \) is the initial per-tax-unit income in the top decile,
- \( \log [ytop_{i,10}] \) is a one-percent increase in initial income in the top decile.\(^7\)
The variables of the table below show the correlation coefficients (and their corresponding probability of being insignificant) between G, the annual growth, and the inter-state inequality indicator, labeled INTER99100, named after the 51 ratios dividing each year the top 1 percent fractile on the national average income.
### Table 5.5 Correlation between Growth and Inequality
| Sample | Variable | Coefficient | Prob. |
|--------------|------------|-------------|-------|
| 1913-1928 | G(-1) | 0.829 | 0.000 |
| | INTER99100 | -0.007 | 0.000 |
| | TIME | 6.702 | 0.000 |
| 1929-1939 | G(-1) | -0.298 | 0.000 |
| | INTER99100 | -1.474 | 0.000 |
| | TIME | -3.080 | 0.000 |
| 1940-1979 | G(-1) | 0.122 | 0.022 |
| | INTER99100 | 0.496 | 0.426 |
| | TIME | 1.397 | 0.438 |
| 1980-1989 | G(-1) | -0.081 | 0.000 |
| | INTER99100 | -0.355 | 0.000 |
| | TIME | -0.585 | 0.001 |
| 1990-1999 | G(-1) | -0.154 | 0.004 |
| | INTER99100 | 0.472 | 0.029 |
| | TIME | 3.901 | 0.000 |
| 2000-2003 | G(-1) | 0.061 | 0.394 |
| | INTER99100 | 0.012 | 0.954 |
| | TIME | 3.036 | 0.000 |
---
\(^7\) The \( \beta \) coefficient is here interpreted as the marginal effect on the growth rate, and a negative sign is expected for a conclusion of convergence. However, Barro and Sala-i-Martin define \( \beta \) in a different way and expect a positive \( \beta \) for a conclusion favoring convergence.
What appears from the table above is unequivocal: whenever the inequality coefficient is negative, it is statistically significant. In other words, a decrease in the growth rate occurs along with a wider inequality gap, and vice-versa, but the two variables hardly move in the same direction at the same time. These results need to be taken with caution, as correlation does not mean causality. Granger tests of causality show that growth does not Granger cause inequality, and inequality does not Granger cause growth.
With the dependent variable being the annual growth rate of personal income in state $i$, the results of the GMM regressions including the industrial composition of income are summarized in the table below.
Table 5.6 GMM Regressions with the Sectoral Variable
| Variable | Coefficient | t-Statistic | Prob. |
|----------------|-------------|-------------|-------|
| G(-1) | -0.5204 | -1.2333 | 0.2185|
| INTER99100 | -0.9112 | -1.4141 | 0.1584|
| SECTOR | 36.5199 | 1.1143 | 0.2661|
| 1920-1930 | 11.4669 | 1.6569 | 0.0987|
| 1930-1940 | 34.9368 | 5.4154 | 0.0000|
| 1940-1950 | -15.0182 | -8.3573 | 0.0000|
| 1950-1960 | -8.7370 | -1.9994 | 0.0465|
| 1960-1970 | -0.3046 | -0.6538 | 0.5138|
| 1970-1980 | -5.4314 | -1.6213 | 0.1061|
The R$^2$ jumps from 0.59 to 0.77, and the inter-state inequality indicator keeps its negative sign but loses its statistical significance. Note again that the sample size
shrank drastically from 4,539 to 288, as the sectoral variable is available for 6 years and 48 states only.
5.2.4 Spatial Auto-Correlation
The purpose of this section is to test the robustness of the previous results against the test of spatial-autocorrelation of the panel data set. A traditional measure of spatial auto-correlation is Moran’s $I$. It is used extensively in economic geography (Anselin, 1988, Janikas and Rey, 2005), and more and more by regional economists (Dall’erba and Le Gallo, 2005). Moran’s $I$ is a correlation coefficient (and therefore varies from negative one to positive one) weighted by the state-to-state distance matrix. More precisely, Moran’s $I$ is defined as follows:
$$I = \frac{n}{S_0} \sum_i \sum_j w_{ij} \frac{(x_i - \mu)(x_j - \mu)}{\sum_l (x_l - \mu)^2} \quad (5.7)$$
where $n$ is the number of observations, $w_{ij}$ is the spatial weight matrix based on state-to-state distances, $S_0$ is the sum of all the elements of the spatial weight matrix, $x_i$ and $x_j$ stand for the error-term vector derived from the GMM regressions, and $\mu$ is the arithmetic mean of $x$. Usually, the weight matrix takes the inverse of the distance between state $i$ and $j$, so that a high value of Moran’s $I$ indicates a cluster effect and a low value the independence of nearby points. “The Moran’s $I$ value that indicates spatial independence of values (or the lack of spatial autocorrelation) is a negative number close to zero” (Hare, 2001). We intentionally increase the differences in state-to-state distances by raising their values to power (minus) two:
$$w_{ij}^* = \{d_{ij}\}^{-2} \quad (5.8)$$
where \{d\} represents the distance between regions \(i\) and \(j\). It is also common in the spatial data literature to normalize the rows of the weight matrix so that each row sums to unity, and so that \(S_0\) equals \(n\) in the formula defining Moran’s \(I\).
\[
w_{ij} = \frac{w_{ij}^*}{\sum_j w_{ij}^*}
\]
(5.9)
Applied to the present data set, Moran’s \(I\) takes the value of -0.2341, which tends to justify the fact that the attractive forces of economic poles spread locally, but not globally. In other words, polarization is a self-reinforcing phenomenon that pulls further apart high and low-income areas: high-income states exert attraction on neighboring areas (and these peripheral areas bring more income revenues to the core) but not to the extent of reaching rural remote areas where poverty falls into the trap of hysteresis, where low-income states stayed with low-income levels simply because it was the case in the previous time period.
### 5.3 σ Convergence
The \(\sigma\) convergence refers to the dispersion of income across regions. In Barro and Sala-i-Martin (1995), \(\sigma\) convergence is measured with the unweighted cross-sectional standard deviations of state per capita income. In addition to the standard-deviation, we consider here the coefficient of variation for a closer look at the data. The
---
8 See Fingleton, Igliori, and Moore (2003) to learn more on the row-normalization of the weight matrix.
purpose of this section is to compare the dispersion of average incomes to the dispersion of top incomes.
5.3.1 Average Income and Top Percentile Income Decline in Dispersion
The point here is to compare the income dispersion of the top percentile (AI99-100) with the dispersion of average incomes ($\sigma$-convergence). Both dispersion indicators are measured by the unweighted cross-sectional standard deviations of income over time. Barro and Sala-i-Martin’s $\sigma(\log y_{i,t})$ is based on the log of per capita personal income. Here $\sigma(\log y_{top_{i,t}})$ is based on the logarithm of the per household income accruing to the top percentile. The figure below shows two things: 1) similar trends of income dispersion; 2) the income dispersion displays sharper volatility for the top 1 percent income than for the average personal income.
Figure 5.6 Dispersion between Average and Top Incomes are Alike in Trend
Very sensitive to measurement errors, the issue of income inequality ought to be considered in various ways, and we turn next to the measure of the income dispersion.
of both average income and the incomes of the 90-99 percent (instead of the 99-100 percent).
5.3.2 Incomes of Top 90-95 and 95-99 Percent Record Increasing Dispersion
The incomes of the 90-95 and 95-99 percent revealed an increase in dispersion across states over time. This result contrasts with the previous section where average income and income of top 1 percent both recorded a sharp decrease in dispersion across states over time (except after the mid 1980s). This difference is suggested twice: once with the coefficient of variation regressed on time (table below), and another time with graphs of the standard deviation (figure below).\(^9\)
Table 5.7 Inequality Across States over the Past Century
| Dependent variable: \(CV_t(y_{top,i,t})\) | AI 90-95% | AI 95-99% | Top 1% |
|------------------------------------------|-----------|-----------|--------|
| Time coefficients | 1,167.4 * | 1,550.6 * | -0.0047 * |
* Statistically significant at the 1% confidence level.
\(^9\) By definition, the coefficient of variation (CV) divides the standard deviation by the mean, measures the volatility of a series with respect to its mean, and is an index without unit. Why resorting to the CV ratio and thereby complicating the overall economic interpretation of its coefficient? While the standard deviation is sensitive to the addition of a constant, the coefficient of variation is not. For instance, assume a hypothetical standard deviation of income of $2,000 associated with a mean of $3,000 in a given year, thereby depicting a high degree of inequality. Had everyone earned a bonus of $100,000,000 the following year, the standard deviation would drop, suggesting a decline in inequality. Unlike the standard deviation, the coefficient of variation is scale invariant as the constant term cancels out by appearing on both the numerator and the denominator. Therefore, the coefficient of variation is often considered a better measure of income inequality, especially for series displaying different group means across sections or over time.
The figure below displays income dispersion within the top decile, measured by the coefficient of variation, and the decomposition of its ratio (standard deviations and means are expressed in 2003 dollars).
A common point to all three groups is that the increasing portion of the CV curve after the mid-1980s is accounted for by a rise in both the mean and the standard deviation. However, the differences among them lie on the opposition mentioned earlier: Considering the coefficient of variation of the two fractiles of the 90-99 percent interval, one may notice their respective decrease between the mid-1930s and the late 1970s. This
downward trend occurred along with a sharp increase in their mean income, but with a slow and smooth rise in their standard deviation. As for the top percentile CV, it experiences a drop between 1939 and 1980 due to opposite trends in the standard deviation (decreasing) and the mean (increasing), the same way the dispersion of average income did (bottom panel of Figure 5.6).
Chapter 6
CONVERGENCE 2:
THE FULL DISTRIBUTION OF INCOME
What has been discussed so far concerns the top 10 percent of the income distribution, with no attention paid to the remaining 90 percent (other than the state average income). This incompleteness obviously limits the relevance of the conclusions drawn previously. This chapter discusses the task of estimating the full income distribution, including the lower quartiles, the bottom decile, and the Gini coefficient. This is a challenging task to perform because it implies the generalization of the Pareto approximation to the entire distribution, which, undeniably, is a strong assumption. Therefore, the estimates obtained are far from being perfect, probably need some improvement, but are certainly worth further investigation.
The estimation of the full income distribution can be done for each state, but not for the entire time-period 1913-2003. The latter has to be restricted to 1965-2003. This is because prior to 1965, the number of individual tax returns does not approximate the household population well.
What follows provides a basic understanding on the Lorenz curve, and explains how the assumption made about the Lorenz curve and its functional form obtains the three quartiles, the lower decile, and the Gini coefficient.
6.1 The Lorenz Curve and the Gini Coefficient
6.1.1 General Considerations
The Lorenz curve plots the cumulative percentage of the population number (horizontal axis) against the cumulative percentage of total income (vertical axis). Because both axes sum up to 100 percent, the Lorenz curve is represented in a square box that scales from 0 to 1. In the following hypothetical example, income inequality is highlighted by reading the graph this way: 75 percent of the population earns less than 50 percent of the total income, and 50 percent of the population less than 25 percent of total income.
The so-called ‘concentration area’ corresponds to the surface $\mathcal{S}$, bounded with the diagonal and the arc formed by the Lorenz curve (departing from the equality ray). Then, the Gini coefficient is defined as the ratio of two areas: concentration area $\mathcal{S}$ over triangle ABC:
$$0 < \text{Gini} = \frac{\mathcal{S}}{\text{ABC}} < 1.$$
(6.1)
The Gini coefficient and its lack of a unit of measurement conveniently allows for temporal and spatial comparisons, as it is a *relative* measure of inequality; hence, the extensive use of the Gini coefficient. However, to depict a socio-economic phenomenon as complex as that of income inequality by a unique index is always restrictive. This is a limitation to bear in mind.
6.1.2 The Case of Crossing Lorenz Curves
Comparison problems arise when two Lorenz curves intersect such as depicted in the graph below (which is also hypothetical).
Suppose that the initial income distribution is represented by the dashed line, so that 50 percent of the population earns 24 percent of the national income, and that 75 percent of the households earn 40 percent of total income. If a redistributive policy is
implemented to flatten the dashed curve closer to the equality line, two different situations may arise. The first one is the dotted Lorenz curve that respects the principle of transfers,\(^1\) that is, the transfer of income from rich to poor households reduces income inequality and shifts the initial Lorenz curve closer to the diagonal of equity. However, the second outcome might be the solid curve, which violates this principle. On the one hand, looking at the median\(^2\) suggests that the initial distribution (50 percent of the population earning 24 percent of total income) is more equal than post-transfer distribution (50 percent of the households earning 22 percent of overall income). On the other hand, looking at the upper quartile suggests the contrary conclusion (75 percent of the households enjoy a higher income after the tax-transfers). In other words, crossing Lorenz curves introduces an unequivocal bias in any attempt of ranking inequality distributions.
Policy implications are at stake. Non-crossing Lorenz curves are used to justify redistributive policies transferring income from rich to poor individuals. Ideally, such top-to-bottom transfers shift the Lorenz curve inwards, towards the line of equality. However, the case of intersecting Lorenz curves clearly imposes a limit to the ‘rich-to-poor reasoning’ because a consistent ordering of income distributions in terms of inequality is no longer possible. This reveals the complexities of the income inequality phenomena.
\(^1\) Creedy (1998, pp. 14-16).
\(^2\) In the case of the Lorenz curve, the term ‘median’ truly means the share of median income in total income.
With these considerations in mind, we now need to choose which functional form may best approximate the Lorenz curve, before proceeding to the computation of the distribution itself.
6.2 The Assumption of Pareto Distributions
This section explains why the Pareto distributions are believed to be a relatively good fit for the Lorenz curve, and how the Gini coefficient is defined in that case.
6.2.1 The Functional Form of the Lorenz Curve
The Lorenz curve literature suggests different functional forms of the Lorenz curve: exponential function, power function, log-normal function, etc., all involving the estimation of a certain number of parameters. Among all these parametric forms, which one is relevant here? None is fully satisfactory, but the one chosen here fits the Pareto distribution of income, as assumed and used earlier with the estimations of fractiles within the top decile. Applying the Pareto distribution to the functional form of the Lorenz curve is an old and accepted tradition in the empirical literature.\(^3\) Moreover, the Pareto functional form of the Lorenz curve limits to one the number of parameters to be estimated. Multiplying the number of parameters in the model specification, however
\(^3\) This remark pertains to the case of Australian households living in urban areas, with data from the survey of consumer expenditures 1967-1968. See Kakwani and Podder (1973).
appealing it can be, raises complications in terms of interpretation of the results and the computation of the estimates.
With $x$ being the cumulative proportion of the household population, and $y$ being the cumulative percentage of income earned, the parametric function of the Lorenz curve is supposed to be of the form:
\[
L(\delta): \quad y(x) = 1 - (1 - x)^{\delta}, \quad 0 < \delta < 1
\]
\[
\delta = 1 - \frac{1}{\alpha}, \quad \alpha > 1
\]
(6.2)
How best to represent the Pareto form of the Lorenz curve? The probability density function associated with the Pareto distribution is the same as the probability density function (PDF) associated with the Pareto interpolation technique described in Chapter 3:
\[
f(y) = \alpha k^{\alpha} / y^{(1+\alpha)}, \%
\]
Figure 6.3 Pareto Probability Density Function
With $y$ standing for income, $\alpha$ a scalar, and $k$, the minimum level of income in the distribution, $f(y) = \alpha k^\alpha / y^{(1+\alpha)}$, the Pareto PDF, captures well the 80-20 percent rule. $f(y)$, the “probability” or fraction of the population that earns a small amount of income per person ($y$), is rather high for low-income levels, then decreases steadily as income $y$ increases: The higher the values of $\alpha$, the wider the gap of inequality.
The parameter $\alpha$ corresponds to the coefficient calculated earlier in the estimation of fractiles of the upper decile, based on the Pareto interpolation method. There is one $\alpha$ coefficient attributed to each income bracket displayed in the *Statistics of Income* tables annually and at the state level.
Note that $L(\delta): y(x)$ when $x = 90$ does not correspond to AI90-100, the average income of the top decile. The former is a fraction expressed in percent, the latter is the income of the top 10 percent measured in constant dollars of 2003. $L(\delta): y(90)$ does not correspond either to S90-100, the share of fractile 90-100 in total income. It is the income ‘share’ of the threshold income TI90 that $L(\delta): y(90)$ corresponds to. Both are identically calculated.
In the case of France in the time-period 1900-1910, Piketty\(^4\) used a Pareto coefficient of 2.6, which means an $\alpha$ coefficient of 1.625 as $\alpha = b / (b - 1)$. In the case of our panel data on the United States, the $\alpha$ coefficients calculated in Chapter 3 average to
\(^4\) Piketty (2001, p. 619, note 2).
2.1 for all states and years, and display a very low standard deviation (0.57), as expected.\(^5\)
### 6.2.2 The Gini Coefficient in the Case of the Pareto Distribution
The corresponding Gini coefficient, labeled \(G\), is the concentration ratio applied to income distribution and is defined as:
\[
G = 1 - 2 \cdot \int_0^1 [1 - (1-x)^\delta] \, dx
\]
Re-arranging and simplifying the terms yields a coefficient depending only on the parameter \(\delta\):
\[
G = \frac{1-\delta}{1+\delta}
\]
Clearly, the \(\alpha\) coefficients will be used again to compute the Gini coefficients as \(\delta = 1 - 1/\alpha\). As there are as many \(\alpha\) coefficients as income brackets, we are able to average a value of \(\alpha\) for each state in each year.
We now turn to the application to the United States from 1965 to 2003.
---
\(^5\) This holds after exclusion of aberrantly high values of the Pareto coefficient associated with the AI99.99-100 fractile.
6.3 Applied to the Panel Data of the United States, 1965-2003
6.3.1 Lorenz Curves Skewed to the Right
Below are the Lorenz curves computed for Alabama and California in year 2000. Skewed to the right, these Lorenz curves depict the weight of top incomes in the distribution.
Figure 6.4 An Example of Lorenz Curves
The Gini coefficient is 0.443 for Alabama and 0.577 for California.
6.3.2 Inequality Regressions on Gini Coefficients
As earlier, we use GMM estimation to assess the correlation link between inequality and economic growth. Like Chapter 5, economic growth is measured by the growth rate of state average income per household. Unlike in Chapter 5, the inequality indicator is no longer a fractile but the Gini matrix. The regressions lead, once again, to a negative correlation between the two variables.\(^6\)
However, the introduction of time fixed effects in the inequality equation leads to regression coefficients that display neither consistency in sign, nor strong significance, as shown in the figure below.
An alternative way of examining the whole distribution is to consider ‘opposite’ percentiles, such as P10 vs. P90, P25 vs. P75, take their percentage share in
---
\(^6\) The negative coefficient is statistically significant at the 10 percent confidence interval.
total income as displayed on the Lorenz curve (L10, L90, and L25, and L75), and calculate their respective ratios.\(^7\) More details are available in the next section.
### 6.3.3 The Share of Median Income in Total Income, L90/10, and L75/25
The figure below summarizes the estimates of three indicators by region and annually from 1965 to 2003: 1) the percent share of median income in total income, 2) L90/10 or the ratio of the income share earned by 90 percent of the population over the income share of the bottom 10 percent of the population, and 3) L75/25, the ratio of the income share held by 75 percent of the population over the income share of the bottom 25 percent. The same legend applies to each region \(i\)'s curves.
---
\(^7\) P as in percentile. L as in Lorenz.
The primary axis has no units as it represents the two ratios L90/10 and L75/25, whereas the secondary axis (on the right of each graph) displays percentages for the median share in total income.
For all four regions, the two ratios remain fairly constant from 1965 to the mid 1980s, reach a sudden peak in 1988, and then display a very smooth cycle with a downward trend from 1988 to the mid 1990s, and an upward trend culminating in year 2000. The trends of L90/10 and L75/25 are clearly alike, suggesting that similar inequality dynamics occur both in income classes of low- and wide-inequality gaps (L75/25 and L90/10, respectively). However, this conclusion is questionable because the Pareto assumption on the functional form of the Lorenz curve is applied to the entire income distribution.
Among all states and years, the L75/25 ratio varies between 3.57 and 4.08, suggesting that the variable fluctuates within a very narrow band; likewise for L90/10, in a lesser extent. This apparent stability can be misleading. The actual fluctuations mean
drastic changes in income shares, as suggested by Figure 6.7, showing the L75/25 curve in the case of the Northeast region.
**Figure 6.7** Fluctuations of Inequality Ratio L75/25, Northeast
Consider one state in the Northeast region, say Massachusetts. According to the Massachusetts’ Lorenz curve, the wealthiest 25 percent of the household population (labeled L0-25) earned about 14.5 percent of the total state income in 1978. Meanwhile, the wealthiest 75 percent of the household (labeled L0-75) earned 52.9 percent of the state income, which means that ratio L75/25 was of 3.7 that year. The same variables in 2000 recorded the values of 7.4 percent of income share for L0-25, 30.8 for L0-75, and therefore 4.2 for ratio L75/25. With L75/25 increasing by 0.5 (= 4.2 – 3.7) ‘only’, the share of the wealthiest 25 percent almost shrank by a half, from 14.5 percent in 1978 to 7.4 percent in 2000, which is a drastic change. Meanwhile, the income share of the wealthiest 75 percent of the household population did not drop as sharply as the L25
share (from 52.9 percent of income in 1978 to 30.8 in 2000, which is far above 26.5 percent, or $52.9 / 2$).
The same type of comments applies to the L90/10 ratio. In 1975, L90/10 coordinate slightly exceeded 13.1 in the South. The same ratio in 1988 was 14.8. This increase from 1975 to 1988 does not seem to be much at the first glance. Considering the definition of the ratio ($L90/10 = L0-90 / L0-10$), it appears that L0-10, the share of the bottom decile in total income, decreased from 5.3 percent in 1975 to 4 percent in 1988. Expressed in dollars of 2003, the total income for all Southern states was about $75,897,000 in 1975, and 5.3 percent of that total represents slightly more than $4,030,000. Similarly, 4 percent of $119,427,000 in 1988 represents about $4,729,000. This means that the poorest 10 percent of the population experienced an overall increase by less than $700,000 from 1975 to 1988. From the top decile perspective, however, L0-90 is 69.6 percent in 1975, and 58.5 percent in 1988. Therefore, the richest 10 percent benefited from an increase by $17,088,000, from $52,824,000 in 1975 to $69,913,000 in 1988. The full calculation process is summarized in Table 6.1.
Table 6.1 Bottom and Top Deciles in the South from 1975 to 1988
| South | L90/10 (a) | L0-10, % (b) | L0-90, % (c) | total income,$ (d) | $Y0-10 (b) * (d) | $Y0-90 (c) * (d) |
|-------|------------|--------------|--------------|-------------------|------------------|------------------|
| 1975 | 13.12 | 5.31 | 69.60 | 75,896,796 | 4,030,120 | 52,824,170 |
| 1988 | 14.82 | 3.96 | 58.54 | 119,426,905 | 4,729,305 | 69,912,510 |
| difference | 1.70 | | | 43,530,108 | 699,186 | 17,088,340 |
In a nutshell, the income of the richest 10 percent increased 24 times faster than that of the poorest 10 percent in the same time\(^8\), and this what an increase by 1.7 in L90/10 means.
Among the former studies released on this topic, one is conducted by the Center on Budget and Policy Priorities and the Economic Policy Institute (2000). The authors of the report used non-annual data from the Census Bureau’s March Current Population Survey, and measured the inequality gap with the ratio between the richest quintile and the poorest quintile (Q80/20). The authors focused on two time periods: one short (1988-90 versus 1996-98), and one long (1978-80 versus 1996-98), but do not comment on the intermediary range 1978-80 versus 1988-90. The results shown with the L90/10 ratio estimation do not perfectly fit their short-term and long-term analyses, but the trends toward a wider inequality gap look alike.
\(^8\) The number 24 comes from the following division: \(17,088,340 / 699,186 = 24.4\).
Chapter 7
CONCLUSION
The conclusion briefly summarizes the contents of the dissertation and broadens the subject with several suggestions as for what can be done in future research.
7.1 Summary
The main contribution of this dissertation is the construction of a new homogeneous set of panel data by state cross-sections and annually from 1913 to 2003, using the *Statistics of Income* publications by the U.S. Internal Revenue Service. This database represents well the top 10 percent of the income distribution, but data from other sources are used to account for average income. Meanwhile, the top decile database offers an alternative estimate of average income figures used by Barro and Sala-i-Martin to study the same topic.
In order to address the issue of income convergence across the United States over the long-run, three types of convergence are distinguished: 1) the $\beta$ convergence of average income in comparison with the $\beta$ convergence of income in the top decile (growth and inequality regressions), 2) the $\sigma$ convergence (dispersion of average and top
incomes), and 3) the convergence of top incomes towards the lower fractiles of the income distribution.
In the case of $\beta$ convergence, we found evidence confirming conclusions towards convergence within the top decile, and more mitigated results for convergence among state average incomes. More particularly, $\beta$ convergence based on average income does not seem to hold in recessionary phases of the business cycle. To compare growth regressions to inequality regressions, where inequality indicators are based on the top income series, the results showed that income inequality is positively correlated to the average income, and negatively correlated to economic growth rates.
In the case of $\sigma$ convergence, the trend over time compares two groups of income. On the one hand, average income and income of the top percentile both recorded a decline in dispersion across states (except after the mid 1980s). On the other hand, the incomes of fractiles 90-95, and 95-99 percent were featured with a rise in dispersion across states.
Finally, the convergence (or divergence) of the top decile towards (or away from) the bottom decile is examined from 1965 to 2003. Similarly, the top and bottom quartiles are compared as well. The dispersion indicators of the lower layers of the income distribution were estimated by extending the Pareto assumption from the top decile to the full income distribution. What emerges from these estimates is that the top income shares did not grow faster than the low income shares from 1965 to 1984. This trend was totally reversed and reached a peak in 1988 in all states, then decreased again until 1985, and finally reached a local maximum in 2000.
7.2 Suggestions for Future Research
Further investigation may compare regional convergence of income to regional convergence of salaries and wages, as the IRS tables also reveal income composition by state. Section A.4 of the appendices suggests a beginning analysis towards that goal.
On the one hand, average income and income of the top 1 percent both record a sharp decrease in dispersion across states over time (except after the mid 1980s). On the other hand, the incomes of the top 90-95 and 95-99 percent feature an increase in dispersion across states over time. The analysis of such contrasting results remains to be done.
In Chapter 6, the assumption of the Pareto distribution applied to the entire income distribution is questionable. More assumptions on the functional form of the Lorenz curve need to be tested, inasmuch as the hypothesis influences the results and affects their economic interpretation to a certain extent.
Finally, the IRS tables record tax liabilities data consistently from 1913 to the present. Several aspects of the tax policies implemented over the past century could be explained with those data that remain to be computed.
A.1.1 Internal Revenue Service and Statistics of Income
All income levels of the top deciles were derived from the *Statistics of Income* (SOI). Listed below are the various publications in which the SOI tables were released, along with comments on the data availability when necessary.
- 1913-1915: "Annual Report of the Commissioner of Internal Revenue". The 1913, 1914, and 1915 tables provide the number of tax returns by size of income and by state. However, the dollar amount of the state total income accruing to each of the income classes was not released.
- 1916-1973, 1975-1981: "SOI Individual Income Tax Returns" of Tax Year n, Publication 79 (8-83), Basic Tables, Part 4 (State Data), first and last tables.
- 1944: State data are published by composition of income, but not by income-class interval (only U.S. aggregates are available by income class).
- 1974: U.S. Department of the Treasury, IRS “Supplemental Statistics of Income. Small Area Data, Individual Income Tax Returns”, 1974. Publication 1008 (12-77). Basic Table 3 ‘Selected Income and Tax Items by Size of Adjusted Gross Income and by State and County’, pp. 60-436.
• Between 1982 and 1987, the IRS interrupted the regular publications of state data by size of adjusted gross income (AGI). This interruption apparently corresponds to a change in methodology from sample estimation to master file computerization. Only the national aggregate by size of AGI is found in the “SOI Bulletin” of Tax Year n + 2, Fall, Publication 1136, “Selected Statistical Series”, Table 2 ‘Individual Income and Tax by State, [Year n]’. The substitute data for these six years were found in the following issues:
o 1982: “SOI Bulletin”, Volume 5, Number 1, Summer 1985, ‘Individual Income by Zip Code Area, 1979 and 1982’.
o 1983: “Statistics of Income, Individual Tax Model for 1983”, IRS.
o 1984-1985: Bureau of the Census annual data extracted from the March Current Population Survey, household count for 21 income-class intervals for each state.
o 1986-1987: “SOI Bulletin”, Volume 10, Number 2, Fall 1990, ‘Individual Income Tax Return Data by State, 1986-1988’.
o 1988-1996: “SOI Bulletin” of Tax Year n + 2, Fall, Publication 1136, ‘Selected Historical Data’ (yellow), Table 2 ‘Individual Income and Tax Data by State and Size of AGI, [Year n]’.
o 1997-2003: Data by state, by income size, and by income sources are available on the IRS website.
A.1.2 Bureau of Economic Analysis and State Personal Income
Unlike the IRS’s Statistics of Income, the BEA’s State Personal Income data are not displayed by income classes. The State Personal Income from the BEA are used instead when it comes to comparing the income level of the top decile to the average income. The BEA introduces some differences between the national aggregate and the state estimate of personal income:
The main differences between the national income and product accounts (NIPAs) estimates of personal income and the State estimates of personal income stem from the treatment of the income of U.S. residents who are working abroad and the treatment of the income of foreign residents who are working in the United States. The national total of the State estimates of personal income consists of only the income earned by persons who live within the United States, including foreign residents working in the United States. The measure of personal income in the NIPAs is broader.
From 1929 to 2003, the national and state personal income data come from the Bureau of Economic Analysis. For data prior to 1929, Piketty and Saez\(^1\) completed the personal income series by linking it to the 1913-1929 personal income series published by Kuznets (1941, 1945). The authors made downward adjustments over the time series so that the total personal income does not exceed the total tax return gross income. The contrary would “seem implausible: This would imply that non-filers have higher average incomes than filers.”
I used Piketty and Saez’s national series from 1913 to 1928 to estimate their state equivalent, with the income share of each state in the national income between 1913 and 1928 assumed to be proportional to the same state income share for year 1929. In
\(^1\) Piketty and Saez (2001, p. 38, note 63).
other words, the state personal income estimates maintain the same proportion of the national aggregate\(^2\) from 1913 to 1928 as the state shares of personal income represent in U.S. total income for 1929.
**A.1.3 Bureau of the Census and Household Numbers**
The number of households by state was published by the U.S. Census Bureau, in “The Demographic Trends in the 20th Century”. The table provides us with the number of households by state for each decade of the 20th century (1900, 1910, 1920, and so on to 2000). The intercensal estimates of the household population are produced by the U.S. Bureau of the Census for each year between 1981 and 1989\(^3\) and again between 1991 and 1998.\(^4\)
The intercensal estimates have been retrieved from 1911 to 1979 by assuming for each decade a linear progression of the type \(V_n = V_0 \times (1 + r)^n\), where \(n = 1\) to 9 and \(r = (V_{10} / V_0)^{1/10} - 1\). Because the interpolated series assumes constant the magnitude of the annual change, this method of estimation is also called ‘straight-line interpolation’. Note that it is the default option of the Bureau of Economic Analysis, when no other data source is available.
---
\(^2\) The national aggregates come from Piketty and Saez’s series (2004).
\(^3\) The estimates are consistent with Current Population Report Series P25-1123, issued in October 1994.
\(^4\) Census Bureau’s “Estimates of Housing Units, Households, Households by Age of Householder, and Persons per Household of States: Annual Time Series, July 1, 1991 to July 1, 1998”. Publication ST-98-51.
Labeled $N^*$, the state estimates of households for 2001, 2002 and 2003 were obtained by inflating the Census state figure for year 2000 with the average growth rate of the household population over the 1990-2000 decade.
Before 1960, the data for Alaska and Hawaii are missing in the publications mentioned above. The missing data were replaced by the number of occupied dwelling units released in the following publications: (1) the 1950 Census of Housing\(^5\) for both Alaska and Hawaii, (2) the 1940 Census of Population for Alaska in 1940, and (3) the 1940 Census of Housing, for Hawaii in 1940, 1930, and 1920.
Between 1913 and 1939, Alaska’s number of households is assumed to be proportional to the share of Alaska's households in the U.S. total in 1940 (as 1940 is the earliest year this data is available). Similarly, estimates of $N^*$ for Hawaii between 1913 and 1919 are hooked to Hawaii’s population share in the national aggregate in 1920.
The main issue relative to the series $N^*$ concerns the equation of one return per household. Because most of the time more than one tax return is filed per household, the initial time-series of households was scaled up so that the national aggregates fit Piketty and Saez series, keeping intact the state proportions.
**A.1.4 Federal Reserve Bank of Minneapolis**
The consumer price index data are published by the Federal Reserve Bank of Minneapolis for the time period 1800-2005.
\(^5\) Census of Housing (1950, General Characteristics, Part 7).
The adjustments presented below add to the adjustments already mentioned in earlier chapters. All together, all adjustments performed in the database have been covered at some point in the text.
A.2.1 Alaska, Hawaii, D.C., and Other Areas
From 1913 to 1959, Alaska and Hawaii do not record reliable data due to (1) the excessive amount of missing values for early years of the time period, (2) to the lack of Census data in terms of household units prior to 1960 (when Hawaii was not a U.S. state yet, only a U.S. territory).
- Alaska
1921-1938 and 1943-1954: Alaska is included in Washington state. To separate Alaska from Washington state, we calculated $r$, the growth rate of the share of Alaska in the total of the two states between 1942 and 1955, assuming a linear progression of this share annually:
\[
r = \left( \frac{\text{Alaska share}_{1955}}{\text{Alaska share}_{1942}} \right)^{1/13} - 1
\]
Using this constant rate, it is straightforward to derive the annual values of Alaska’s share:
Alaska share\textsubscript{n} = Alaska share\textsubscript{1942} \times (1 + r)^n, with \( n = 1943 \) to 1954
Defined as Alaska / (Alaska + Washington), the Alaska share contains only one unknown at this point: the numerator. After Alaska data are deduced, Washington is just the difference between the two states taken together and Alaska just estimated. Likewise for time period 1921-1938.
- **Hawaii**
The island became a United States territory in 1900, and was admitted as the 50th state in 1959.
1913-1959: Alaska and Hawaii do not record reliable data due to (1) the excessive amount of missing values for early years of the time period, (2) to the lack of Census data in terms of household units prior to 1960 (when Hawaii was not a U.S. state yet, a U.S. territory only). It is therefore possible to encounter unexplained results like the one for Alaska in 1957, with a drop in TI99.5 below its minimum level.
- **District of Columbia**
1961 and 1962: District of Columbia is included in Maryland for these two years. The 1960 and 1963 data are used to proxy the two variables (number of returns and adjusted gross income) for 1961 and 1962. However, the income class [$10,000-$15,000) in 1960 does not provide information for the intermediate income classes [$10,000-$11,000), [$11,000-$12,000), [$12,000-$13,000), [$13,000-$14,000), and [$14,000-$15,000) as 1963 does. The missing classes for 1960 where estimated by applying to 1960 the same percentage that each intermediate income class represents in the [$10,000-$15,000) total of 1963.
Puerto Rico and the Virgin Islands
The United States took possession of Puerto Rico and the Virgin Islands in 1898, and 1917, respectively. Unlike the Virgin Islands, Puerto Rico became a Commonwealth on July 25, 1952 (Source: National Park Service, U.S. Department of the Interior).
1913-1951: Puerto Rico is included in Maryland.
1917-1951: Puerto Rico and Virgin Islands are included in Maryland.
1952: Puerto Rico is included in both Maryland (1st half of 1952) and New York (2nd half of 1952). Nothing is mentioned about the Virgin Islands.
1953: Puerto Rico and Virgin Islands are included in New York.
1954: For the first time, Puerto Rico is a separate entity in the State and Territory classification.
1954 on: Puerto Rico and Virgin Islands are grouped together and they either appeared separately or were added to the ‘Other Areas’ category.
Panama Canal Zone
The United States Protectorate in the Republic of Panama started with the Treaty of 1903.
1913-1954: Panama Canal Zone is included in Florida.
A.2.2 Classes Grouped for Disclosure Purposes, 1917-1937
As the IRS tables display income by income brackets, it happened for 1917-1937 that several income classes, typically those at the very top of the ranking, were
displayed with an income grouped together and tagged with a note specifying that is was done to conceal the identity of taxpayer. The number of returns in every income class was left visible, however. To retrieve the income data removed for disclosure purposes, the estimates were approximated based on a mid-point approach. Breaking it down, the estimation method takes the midpoint of each income class that fell under disclosure. Expressed in dollars, each midpoint was weighted by the number of returns as they appear in each income class, and then added together. The final estimate therefore represents in the classes-grouped total (which is given in the tables) the same share as one midpoint represents in the sum of midpoints.
Consider the following example made of hypothetical numbers. The table below shows an income of $20,000,000 as the total of two income classes grouped together.
**Table A2.1 An Example of Classes Grouped**
| Net income classes in current $ | Number of returns | Net income in $ | Midpoint of the income class weighted by number of returns, in $ | Estimated net income, in $ |
|---------------------------------|-------------------|-----------------|---------------------------------------------------------------|-----------------------------|
| 2,000,000 under 3,000,000 | 5 | D | 12,500,000 | 11,627,907 |
| 3,000,000 under 4,000,000 | 3 | 13,000,000 | No need of … | … estimation |
| 4,000,000 under 5,000,000 | 2 | D | 9,000,000 | 8,372,093 |
| 5,000,000 and over | 1 | 7,000,000 | No need of … | … estimation |
| Total classes grouped | | 20,000,000 | 21,500,000 | 20,000,000 |
The income class [$2,000,000 - $3,000,000) records five returns while that of $4,000,000 - $5,000,000, only two. Both classes fall under the protection of the taxpayer's identity. For those two income classes, we weighted the midpoint income by the number of returns ($12,500,000 = $2,500,000 * 5, and $9,000,000 = $4,500,000 * 2).
Relative to $20,000,000, which is the classes-grouped total displayed, the net income estimates should keep the same proportions as the midpoint figure in the total of $21,500,000 (obtained by adding $12,500,000 to $9,000,000). In other words, if the midpoint of the [$2,000,000 - $3,000,000) income class represents 58% of the midpoints total (58% = 100 * 12,500 / 21,500), then the net income estimate should also represent 58% of the classes-grouped total, namely: 58% * 20,000,000 = $11,627,907. Likewise for estimating the net income of the [$4,000,000 - $5,000,000) income class ($20,000,000 * $9,000,000 / $21,500,000 = $8,372,093). As this method refers to ‘relative midpoint’ for estimation, the sum of all estimates always equals the given classes-grouped total.
In a minority of cases\(^6\), the income estimate calculated with the ‘relative midpoint’ approach did not lie within the interval of the corresponding income class. Whenever an estimate fell below the lower bound of the income class, it was replaced with the lower bound weighted by the number of returns. Whenever the estimate exceeded the upper bound, it was replaced with the upper bound weighted by the number of returns. Either way introduces a deviation of the sum of the estimates from the given classes-grouped total. One could have used instead the ‘absolute midpoint’ approach. However, the sum of the income estimates would have deviated further apart from the classes-grouped total.
The highest income class does not have an upper bound, e.g. [$5,000,000 and over). In that case, we used the ‘relative mid-point’ approach with an assumption on
---
\(^6\) The minority of cases lies around 8% of all income classes displayed in the IRS tables from 1917 to 1937.
the upper bound, but replaced the estimate of the highest income class by the residual term. Doing so eliminated the deviation of the sum of the estimates from the classes-grouped total.
Whatever the estimation method is, none of them can correct for the errors coming from the IRS itself. For instance, New Hampshire in 1918 recorded classes-grouped that were displayed with a total income amount that cannot be consistent with the income classes it corresponds to, as shown in the table below.
Table A2.2 A Typo in New Hampshire Table, 1918
| New Hampshire, 1918 Net income classes, $ | Number of returns | Net income, in $ |
|------------------------------------------|-------------------|------------------|
| 150,000 under 200,000 | 1 | D |
| 200,000 under 250,000 | 2 | D |
| Classes grouped | --- | 739,319 |
Indeed, the total of classes grouped ($739,319) exceeds the sum of the upper bounds weighted by the number of returns (739,319 > 700,000 = 200,000 + 500,000).
Likewise for Nevada 1927 (Table A2.3):
Table A2.3 Another Typo in IRS Tables
| Nevada, 1927 Net income classes, $ | Number of returns | Net income $ |
|-----------------------------------|------------------|--------------|
| 60 under 70 | 1 | D |
| 70 under 80 | | |
| 80 under 90 | 2 | D |
| 90 under 100 | 1 | D |
| 100 under 150 | 1 | D |
| 150 under 200 | | |
| 200 under 250 | 1 | D |
| Classes grouped | --- | 820,937 |
The highest estimate, that is, the sum of the upper bounds weighted by the number of returns ($750,000 = 70,000 + 180,000 + 100,000 + 150,000 + 250,000), lies beneath the level of classes grouped ($820,937).
Overall, 92 out of 1,071 classes grouped (51 states times 21 years between 1917 and 1937), had to be ‘midpoint’ adjusted. This represents around 8% of all income classes during this period.
There is no net income data by size of net income and by state for years 1913, 1914, and 1915. Only the number of returns is available. The net income estimates were derived from the same estimation approach as the classes grouped estimates were based on.
Appendix 3
NOTES ABOUT THE IRS TABLES
Returns with adjusted gross income can be both taxable and non-taxable. Returns with no adjusted gross income are non-taxable. Adjusted gross income means gross income minus a series of allowable deductions (e.g., trade and business deductions, expenses of travel and lodging in connection with employment, losses from sales or exchanges of property, etc.). Should these allowable deductions exceed the gross income, there is an adjusted gross deficit.
1917-1928, 1943 and 1945-1954: Returns with no net income (1917-1928, and 1943) or no adjusted gross income (1945-1954) were not included in the state totals, but were in the national aggregate. Why? According to the IRS, returns with adjusted gross deficit were too few and the sample variability too great, to permit their presentation on a state basis. For consistency purposes, I subtracted them from the national aggregate for both variables: number of returns and income amount.\(^7\)
\(^7\) The operation is a subtraction for the number of returns, but an addition for income amounts, as a deficit is a negative number.
1913-1916: No net income data are available at the state level. Income brackets start at [$3,000 - $4,000) except for 1913, with [$2,000 - $3,333.33) being the lowest income class.
1946-1952: Non-taxable returns of AGI of $4,000 and over are all included in the [$4,000 - 5,000) income class.
1943 and 1945: Non-taxable returns of AGI of $1,000 and over are all included in the [$1,000 - 2,000) income class.
1942: The 1942 table does not detail Forms 1040A by income classes and displays the state aggregate only. Therefore, the 1040A forms cannot be used for the calculation of fractiles, even though their value appears in the state totals.
From 1943 on, money amounts for net income (1943) and AGI (1944-2003) are in $1,000.
1962: Delaware data appear in the national aggregate, but not separately.
Appendix 4
GROWTH RATES AND WAGES
This section briefly exposes how inter-state inequality co-varied with top wages in the recent years. The idea is to see whether the regional convergence that sometimes occurs with income also occurs with salaries and wages.
A.4.1 Composition of Income in IRS Tables
The IRS tables also provide information on income composition at the state level. The IRS adjusted gross income (AGI) includes the following items: salaries and wages, interests (taxable and non-taxable), dividends, entrepreneurial income (i.e. business and farm incomes), pensions and annuities, and realized capital gains. Using the data from 1997 to 2001, the average incomes (in 2003 dollars) accruing to AI90-95, AI95-99, and to the top percentile, AI99-100, were broken down into each income source.
A.4.2 Initial Wage Levels versus Growth Rates
Six states were selected so that both urbanized and rural states are represented: California, Texas and New York vs. Kansas, Iowa and Nebraska.
In all six states, the top percentile clearly distinguishes itself from the bottom two fractiles. In the top 1 percent, wages represent a lesser share of total income than in the other two layers of the distribution, and capital gains a more substantial share. While
capital gains fluctuations seem to be consistent with those of total income, wages do not necessarily vary in the same direction as total income does.
Even though there are differences in levels between the ‘rural’ states and the ‘richer ones’, wages appear to be more stable than total income, and much more stable than capital gains in all of them.
Figure A4.2 Income Composition in Kansas, Iowa and Nebraska
In sum, wages seem to reach higher levels in states displaying high inequality, and follow more or less closely the fluctuations of capital gains in poorer states than in richer ones.
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August 2023
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August officially marks the end of the Dog Days of Summer, but the forecast predicts a hot last full month of summer. No better place to cool off than on the river!
On Saturday July 22, TIA held its 2023 AGM at Gananoque’s waterfront Playhouse Theatre. Live music, breakfast, and welcoming remarks entertained a crowd of some 200 attendees. Speakers included Ross Stewart, explaining TIA’s role on the IJC’s Great Lakes – St. Lawrence River Adaptive Management (GLAM) Committee’s Public Advisory Group (PAG) Plan 2014 Expedited Review, and Tony David, Director of Saint Regis Mohawk Tribe, Environmental Division, and a Member of the US Section of the International Lake Ontario – St. Lawrence River Board. Mr. David’s message focused on the IJC Plan 2014 and an overview of regulation capabilities, limits and some of the diverse impacts experienced across geographic areas. Understanding these impacts leads to more robust planning and mitigation of impacts of extreme wet and dry weather.
A year ago, TIA alerted the River Community about the Cataraqui Conservation’s (CRCA) 5-year update to Guidelines for Implementing Ontario Regulation 148/06: Development, Interference with Wetlands and Alterations to Shorelines and Watercourses. CRCA hit a pause on the Guidelines update due to a large volume of public and stakeholder feedback and are now preparing revisions and clarifications. CRCA has announced there will be a second round of consultation later in 2023. Monitor www.CataraquiConservation.ca to keep informed and to stay involved.
To advance TIA’s Mission on River Safety and Community Support, Board Members are researching contact information and best practices about local emergency procedures. Look for this helpful resource on TIA’s website.
TIA is grateful to the Township of Leeds and the Thousand Islands and the Town of Gananoque for 2023 Grants to help fund the replacement of 31 worn-out rock markers. The force of nature determines the rock marker’s life expectancy and the percentage of annual replacement required. This funding is critical to sustain the shoal marking essential service.
The next Trash Free River Clean up event is planned for August 19. Look for further information in upcoming TIA email blasts and social media posts from Grace Mychajlysyn, TIA’s Environmental Co-ordinator. Please sign up as a volunteer, bring a friend, and enjoy the fellowship in making a difference!
Remember to reduce, reuse, and recycle!
The two boats raced towards the marina both coming from the same direction, albeit one was closer to the shore line and behind. Suddenly the outer one goosed the throttle a bit more and surged ahead pulling into his slip seconds before his neighbor arrived at his slip. Grinning goodnaturedly, the winner proclaimed “I beat you once again, better luck next time” and they slapped a high five.
This time, however, a neighbor and a new one at that spoke up to say “Which one of you had the Right of Way?” The boaters turned in unison both claiming they had the Right of Way. The neighbor observed that neither knew who really had it.
For those of you often out on the River, this is an all too common situation. Sailboats, kayaks, paddleboards, pontoon and bass and big and small boats all intent on arriving at their destinations and seemingly unaware and/or unconcerned about all the other boats in their vicinity. Who should give to whom is not on their radar.
Yet, everyone has a boating license or is supposed to before taking to the water. So how can this be? The answer is simple, anyone can get the manual and answer the questions, often with the manual on his/her lap. Proficiency in boating is earned not given. How many of you have seen little “river rats” encompassed by their life jackets circling around and around an island, a marina or a dock then coming into dock and then going out again and again? Their parents and the generations before them knew that a large boat does not make you a Captain. Practice and knowledge of safe boating practices, rules and regulations and competency does.
River safety is often spoken about. It is indeed one of the three pillars of the Thousand Islands Association. Unfortunately there are those boaters out there who neither know nor care. They are the ones you read about and usually not in a complimentary way. If you see someone on the water who is not practicing river safety either on his/her or others behalf, speak up. Contact the Coast Guard or the police. They want to hear from you.
By the way who had the right of way coming into the marina and which boat takes precedence?
Remember those numbers/letters on the bow! The ON, QC or NY is your Pleasure Craft Licence (PCL). The PCL can expire, and their renewal may not be as simple as you think! The guidelines for how this is done and what kind of watercraft must be registered are dictated by your province, state, or country where your boat operates.
In Canada, if your PCL was issued or updated after 2010 it’s valid for 10 years, you will likely be notified by Transport Canada 90 days before expiry. After that, you could be fined for operating a vessel without a valid licence.
We thought you might like a few helpful ideas on renewing:
- Click here for the Online application ** Note: link on official TC letter may be different.
- Gather all existing info about your vessel and a copy of the previous PCL, you have to input your information as if it’s a new application
- Scan/photocopy a piece of government issued ID
- Grabbing a photo of your vessel Compliance Notice may be useful. This metal notice plate is located near the helm.
- A copy of your original bill of sales may be helpful
- A recent full side-view colour photograph of the vessel...out of the water on a trailer or cradles.
The application is straight forward if you have gathered all the info before you begin. Whether you apply on-line or by post the information you need to provide is the same.
In the USA, here are some basic steps to follow when registering a boat:
- Research the boat registration requirements in your state.
- All documents are available through your state’s DMV
- Complete the appropriate state registration form
- Provide proof of ownership—including a title and/or bill of sale
- Pay the registration fee, which varies by state and vessel size.
- Be aware of the expiry date and apply for renewal. You’ll receive a registration sticker that must be displayed beside the numbers on your bow.
How to Register a Boat -USA & Canada Federal Regulations
In the USA, state registration is similar to Cdn. licensing, be aware there are also federal registrations available in both countries. If your boat has a marine mortgage, or you are travelling outside territorial waters you must register the boat with federal authorities.
Composting is nature’s way of recycling. It is one of the most powerful actions we can take to reduce waste, address climate change, and build healthy soil. By turning our food scraps and yard trimmings into compost, we transform our waste streams into a beneficial, value-added soil amendment and use it to protect the environment and create resilient communities (or in this case, islands).
Each island stands alone and holds the footprint of a small community upon it. The islands come equipped with plumbing systems, water and shelter, but now it's time to take a closer look at how we have been dealing with food waste on “thousands of islands.”
On remote islands, on-site composting wields immense power, bestowing a multitude of environmental benefits.
Tree Seedling Growth: Combining local compost with soil boosts tree seedling survival by 75% compared to using soil alone, aiding in reforestation efforts and protecting fragile ecosystems.
Prevents Soil Erosion: Compost fortifies soil structure, reducing erosion caused by wind and water, safeguarding island landscapes.
Assists in Wetland Reclamation: Compost aids in reclaiming wetlands, fostering vital habitats for unique island flora and fauna.
Assists in Stormwater Management: Compost regulates water flow, proving vital in managing stormwater and preventing flooding.
Promotes Healthier Plant Growth: Compost nourishes plants, promoting robust growth and resisting diseases, fostering thriving flora. These are just a few examples of some of the many benefits associated with composting.
Overcoming Composting Hurdles: Composting has the potential to reduce household curbside waste by up to 25%, but land requirements pose a challenge. Luckily, the majority of the 1000 Islands provide the perfect solution to the hurdle of overcoming spatial issues.
As stewards of remote island paradises, adopting composting practices is our responsibility. The composting revolution brings a brighter future - curbing waste, nurturing resilient communities and islands), and combating climate change. Let us embrace this green movement, preserving the unspoiled allure of the 1000 Islands for our future generations to inherit. These islands hold a special place in our hearts, having been cherished by our families for generations. As a part of our family, let's nourish them with love and care.
If you are interested in learning more about composting, click here for a great resource.
They stand at about 4 feet tall and have a wingspan of up to 6 feet. I’m sure you’ve seen them quietly hunting along the river’s edge or gracefully flying by with their neck tucked close to their chest and their wings stretched way out to the side.
These elegant birds have always struck me as very solitary, and territorial creatures and it turns out they are – but only after breeding season is over. Like many species there are elaborate rituals during courtship to attract a mate. This includes aerial displays along with plenty of neck stretching and more loud calls to help seal the deal. Once they’ve made their match the nesting begins. They typically nest in colonies called rookeries, more specifically a heronry, and their large nests are made up of big coarse sticks situated high up in dead trees – often directly over the water or overlooking wetlands. On average there are 2-6 eggs per nest and while some rookeries can have as many as 40 or 50 nests others can have less than 10.
They are monogamous during mating season (but will date others the following year) and both parents share in the incubation process, which takes about 25-30 days. Once hatched both parents continue to care for the chicks who grow quickly and fledge around 60-90 days.
There are Great Blue Heron populations that are migratory (like the ones we see along the river) and they have quite a bit of variation in how far they travel. Some may only travel a few hundred miles from the northern edges of their breeding grounds to warmer regions of the United States. Other blue heron populations, however, migrate more than 3,000 miles between northern ranges in Canada to wintering grounds in southern Mexico or northern South America. When they do migrate, they do it alone or in a small group of 3 to 12.
I think they are beautiful and I love to watch them “Stay Calm and Carry On.”
We’re now a cell phone width above average. November may be that width below!
Since the flow peak of 8,880 m3/s on May 27th, outflows have been slowly reduced by about 500 m3/s to the current 8,360 m3/s (as of July 22nd). How does that compare to last year? On July 22nd, 2022, outflows were 8,660 m3/s, despite Lake Ontario being ~20cm / 8 inches lower than on July 22nd, 2023. This year’s lower outflows improve the chances that 2023 won’t be a low-water repeat of 2022’s painful fall lows. What’s different this year? We believe the key factor is the 52-week lookback component (total water supply into Lake Ontario) of the Plan 2014 calculation. That factor caused much higher outflows in 2022, even as Lake Ontario and 1000 Islands water levels fell below average. Hopefully, the GLAM process will unearth a better way to account for water supplies and make necessary improvements.
Reminder: Were YOU impacted by high or low water levels? The International Joint Committee (IJC) is now seeking public input on how water levels impact you! Have your say, TIA!
Click HERE for the latest FULL Article News Updates!
There are three men, along with untold others, out there right now on the St. Lawrence River or the various lakes in the region who could one day turn out to be among the best friends you will ever have. Many/most of you will probably never meet them and that is a good thing. For those who do, it could be for a routine boat check, a minor infraction, going too fast 30 meters from shore or they could save your life and those in the craft with you.
Constable Brian Johnson, his partner and an Auxiliary Staff Sergeant Ryan Lefebvrz are part of the 1000 Islands OPP who receive special marine training enabling them to spend the boating season on the river and the lakes patrolling an area from Wolf Island to Brockville. Somedays they are out on the water during the day, sometimes they patrol at night. They do not work to a clock as once on a call their day does not end until the call is completed.
Abuse of alcohol and the non-wearing of life jackets are among their biggest concerns followed by illegal smuggling of weapons, drugs and human cargo. A valid boating and or fishing license is a must and the lack of a boating license can lead to a $305.00 fine plus the cost of towing your boat to shore. One lamentable fact is that boat rentals do not require having a valid boating license. Your rental contract is considered sufficient.
While they try to schedule an average day in sections, i.e., Rockport to the Gananoque Narrows, calls can and do take them from one end of their territory to the other end. And, they always must be ready, day or night. Consider the cost of not having sufficient gas while on duty at night. Where is gas readily available then?
These officers respond to all calls as needed and average between 200 to 300 calls a season. They rely heavily on the eyes and the ears of the public as there are generally three to five boats to cover the entire territory. Axillary boats can be brought in for special events like the Poker Runs.
You may not see the OPP. What is important is that those in need do! So please wear your personal flotation device and leave your beer on the pier. Sober last words from one of them “I’ve never met an unconscious person who could swim”.
Imagine the following scenario: You are at your island cottage and suffer a heart attack or some other debilitating medical condition. You are alone and unable to drive your boat. Fortunately, you have a telephone within reach and are able to make a call for help. What is the best way to make sure that EMS can get to your island in time to help you?
This situation was faced by one of our members a few years ago. Fortunately, he was very lucky that the EMS found their way to his island. After his heart attack, he had managed to make it to his phone, but the 911 dispatcher was unfamiliar with "the islands" and therefore about the need for a rescue boat. He indicated that Gananoque Municipal Marina was a good pickup point for paramedics to be transported by a rescue boat, but there was lingering confusion about the island name. Luckily, his wife also arrived at the Marina and clarified the island name for the rescue boat operator, a Fire and Rescue volunteer, who knew the exact location of the island.
Lessons learned: When calling 911 from an island, it is imperative that you specify you are calling about a marine emergency. This will trigger local protocols to arrange the nearest Fire Rescue boat to take paramedics to your island. But you also need to be able to tell the 911 operator EXACTLY where your cottage is, so that information can be efficiently transmitted to EMS personnel.
Ideally, you should have a copy of the following information on hand: (1) island name and civic number that is on the blade of your main dock, (2) island group (e.g., Admiralty Group), and (3) GPS coordinates pinpointing the dock at which emergency personal should land.
Smart phones are especially useful: 911 dispatchers are typically able to determine general location using the phone’s GPS locator; these devices can make SOS emergency calls in which the phone’s location is shared; and they have apps like Google Maps and Compass that provide GPS coordinates for your current location.
For a more detailed version of this article, and answers to FAQs about emergency procedures, visit TIA’s website page here.
Thank you to all our members and sponsors for your continued support! This year's AGM was a big success complete with a delicious breakfast, engaging & informative speakers and of course all of you who attended! **THANK YOU!**
*Photos courtesy of Peter and Jan Medcalf*
2023 BUSINESS SPONSORSHIP PACKAGES
SPONSORSHIP RUNS FROM MAY 1 TO APRIL 30
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Business Sponsorship support helps TIA to fulfill its mission to the river community and its flagship program of maintaining 200 shoal markers essential to the safety of boating and our local and seasonal residents.
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Thousand Islands Association (TIA)
Due to seasonality, varying water levels, vandalism and equipment failure, the Thousand Islands Association (TIA) disclaims any liability for the absence of any of its shoal markers from time to time.
The Thousand Islands Association (TIA) is a not for profit organization that is proactive in addressing safety on the river, promoting environmental preservation and supporting the interests of the Community for the benefit of the 1000 Islands region of the St. Lawrence River.
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TIA Thanks Our ADMIRAL Sponsors
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TIA Thanks Our ADMIRAL Sponsors
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AN ALGORITHM TO ENHANCE THE NETWORK SELECTION PERFORMANCE IN AN INTEGRATED UMTS/WLAN ENVIRONMENT
Abolfazl Nazari, Naser Yazdani, Naser Rezayi
ECE department- University of Tehran, Iran
Keywords: Heterogeneous networks, UMTS, WLAN, Network selection.
Abstract: Future wireless networks will be multi-access networks, and the users can benefit from the advantages of any radio access technology. Then, network selection can play a critical role in overall network functionalities. Interworking between UMTS and WLAN is considered as a feasible approach toward next generation wireless networks. In this paper, we propose a method that uses statistical parameters of a WLAN cell traffic load to measure its capabilities to ensure QoS for the requested service. A network selection algorithm can use this measurement and user preference to select the best radio access technology. We investigate the performance of this algorithm through simulation of transferring video traffic in WLAN. The results show that the proposed algorithm has an acceptable performance and in about 95 percent of the times, a user that opt WLAN as his access network will have the requested QoS.
1 INTRODUCTION
Wireless networks have emerged, evolved, and experienced an extensive deployment. These networks include cellular networks like GSM, GPRS, UMTS, and CDMA 2000 for voice and data transmission and wireless LAN for broadband wireless Internet access. Each network has its own merits and most likely the next generation wireless networks will be multiple access networks exploiting the advantages of all existing radio access technologies (RAT).
Interworking between UMTS and WLAN is considered as a feasible approach toward next generation wireless networks (Salkintzis, 2005). UMTS can provide data rates from 384 Kbps up to 2 Mbps for wireless Internet access over a wide geographical area. In hot-spots, where user’s mobility is limited, we can use WLAN to provide users with higher data rates (up to 54 Mbps) and also benefit from low deployment cost of this network and its license free bandwidth.
Recently 3GPP has developed two UMTS-WLAN interworking architectures for different usage scenarios (3GPP, 2003), (3GPP, 2005a). A common scenario is when a UMTS subscriber can connect to a WLAN to use Internet and other WLAN data services. This architecture, called “WLAN direct access”, supports transferring authentication, authorization and accounting (AAA) signaling between two networks. The other architecture which is named “WLAN 3GPP IP access” enables UMTS subscribers to access UMTS packet switching services through WLAN.
In heterogeneous networks, where the user can select his access technology, the network selection algorithm can have an important effect on the overall network performance and the user’s experience of received QoS. An efficient algorithm for network selection should consider the network condition like received radio signal strength (RSS) and network traffic load to select the best RAT for the user.
In this paper, we focus on network selection issue in an integrated UMTS and WLAN environment. We offer an algorithm that measures WLAN cells capabilities in satisfying service requirements and user preference. In this method rather than using instant amount of the cell’s traffic load, we use statistical parameters of the network traffic load like mean and variance. These parameters are calculated in Access Point (AP) and are broadcast in the WLAN cell. We show that while in some situation instant amount of the traffic load can not be used, our method have an acceptable performance even for highly stochastic traffics like video.
The rest of the paper is organized as follows. In section II, we discuss the network selection issue in heterogeneous networks and introduce the network selection and advertisement scenario that 3GPP has proposed for UMTS and WLAN interworking. In section III, we introduce our algorithm. Simulation results come in section IV. Finally, we conclude in section V.
2 NETWORK SELECTION IN HETEROGENEOUS ENVIRONMENTS
In heterogeneous networks, where user can opt for several access technologies, network selection algorithm plays a vital role in insuring the quality of the received service and efficient usage of the network resources. An efficient network selection technique which keeps the user Always Best Connected (ABC) should consider user preference, service requirement, and network condition (Qingyang, 2005). The concept of ABC as defined in (Gustafsson, 2003) is that the user is not only connected but also connected through the best device and access technology. In a network selection procedure, the first step is collecting necessary information about network condition, application requirement, and user preference. Then, this information is used for making decision.
For interworking between UMTS and WLAN, 3GPP considers the generic network advertisement and selection scenario as been depicted in figure 1. In this scenario, a user which is a subscriber of the 3GPP home network is located in an area which is covered with several WLAN access networks. Using information which is advertised by WLAN access networks, the user decides which WLAN and which 3GPP visited network should be used.
The user can use periodic beacon frames sent by WLAN access networks to gather the necessary information. This method is called passive scanning. The user can also use active scanning to collect this information. In active scanning, by sending probe request frame, the station asks the AP to send the necessary information in the probe response frame.
In any WLAN access network, it is possible to have cells with overlapping areas. In these areas the user can opt for possible APs.
Therefore in an integrated UMTS and WLAN environment, the network selection algorithm should determine whether we must connect to UMTS or WLAN access network, which WLAN should be used and which AP in the WLAN should be selected.
Most simple conventional network selection algorithms use RSS for RAT selection. In (Yilmaz, 2005) the authors show that a simple ‘WLAN if coverage’ strategy would lead to satisfactory results. This is because when the hotspot is not congested, WLAN with its low service cost and high bandwidth can satisfy the user’s preference and the service requirement. This simple strategy can also boost the UMTS performance. Because by selecting WLAN for wireless Internet access, UMTS channels become free for voice traffic.
However, in this paper it is shown that when the hotspot is congested, UMTS can offer higher bandwidth. Hence considering only RSS is not sufficient and the network traffic load should be considered as an input parameter for network selection algorithm, as the authors in (Hyun-woo, 2005) have used for AP selection. The authors show that advertising the amount of traffic processed in AP can lead to better network performance and fairness among users.
Authors in (Qingyang, 2005) propose a general decision method to take into account the other users requirements like security, cost, and reliability.
In this paper, we propose a method for evaluating WLAN capabilities in providing QoS for real-time applications such as video and voice. We show that for video services, the traffic load is highly stochastic and instant amount of the traffic load can not be used for network selection, as it is used in (Hyun-woo, 2005) for AP selection. Therefore in our algorithm, the statistical parameters of the WLAN cell traffic load are estimated in the AP and broadcasted in WLAN beacon frames. A UMTS subscriber can use this information to determine if this AP can ensure transferring data frames in their due time or not.
3 THE PROPOSED SOLUTION
WLAN stations within a cell can use distributed coordination function (DCF) and optional point coordination function (PCF) for accessing the medium. The former in which users compete with each other to send their frames is not a feasible option to support QoS for real-time application (Rajavelsamy, 2005). Therefore, we have chosen the latter method, PCF, to be used in WLAN cells.
In PCF, the AP periodically announces the inception of a contention free period (CFP) with a specified maximum duration. The period of the CFP and its maximum duration is announced in a standard information element (IE), which is included in the beacon frame. In the CFP, the AP polls any station on a polling list. During this period, stations may transmit only if the AP solicits the transmission with a CF-Poll frame. After elapsing the maximum duration time or reaching the end of the polling list, the CFP ends. After CFP, contention period (CP) begins, in which users can access the medium using DCF.
Depending on the traffic load, it is possible that some station on the polling list can not be polled in the CFP. Now the purpose of our algorithm is to determine if a new user is added to the polling list, can it be polled at least in the x percent of the CFPs or not. The choice of x depends on the service requirement and the user preference. If this AP is not capable of polling the station, we conclude that the WLAN cell is congested and we search for other APs. If there is not any suitable AP, UMTS network is selected. Our algorithm for assessing the WLAN cell capabilities has the following stages: 1) The AP measures the traffic transmission time (TTT) for each CFP. TTT is the time spent for transmitting and receiving data frames to and from polled stations. 2) The AP estimates the mean and the variance of the TTT. 3) These estimated parameters are broadcasted using a non-standard IE which is included in the beacon frame for passive scanning or in probe response frame for active scanning. 4) By assuming normal probability density function (pdf) for TTT, and by considering the service requirements and the user preference, any station is able to estimate the upper bound so that, TTT in x percent of the CFPs is bellow it. 5) By considering CFP maximum duration, the estimated bound, the length of data packets and the transmission rate, the station can determine if this AP is capable to ensure the desired QoS or not.
Before going into detail, we shortly discuss the rationales behind our algorithm. For reasonable handoff decision, we must consider cells traffic load. However in the 802.11 standard, each station can scale back its transmission rate, according to its radio link condition. Considering only cell’s traffic load, will lead to ignoring station’s transmission rate which has a significant effect on the cell capacity. For this reason, we have used traffic transmission time to consider users rates in our WLAN capability assessment.
Rather than using instant amount of the traffic load, we use statistical parameters, mean and variance. Even though VoIP flows usually have constant bit rate, other real time services like video generate data packets with vastly different packet size. The interval between two successive packets can also be very different. In this condition, the amount of the traffic load in one CFP has little information about successive CFPs. In the next section we will show that the instant amount of the traffic load is not a viable network selection criterion for video flows.
When the number of the users associated with the AP is large enough, the assumption of the normal pdf for traffic transmission time is reasonable. This condition usually occurs within hotspots with high traffic load where the network selection algorithm can play a pivotal role in overall network functionalities.
Now we show how the mean and the variance can be estimated and how the upper bound for TTT is determined. A simple method for estimating mean and variance is the moving average, which is shown in bellow.
\[
\text{avr}[i] = \alpha \times \text{avr}[i-1] + \beta \times T[i]. \tag{1}
\]
\[
\text{var}[i] = \alpha \times \text{var}[i-1] + \beta \times (T[i] - \text{avr}[i])^2. \tag{2}
\]
Where: \(0 < \alpha < 1\) and \(\alpha + \beta = 1\)
In these formulas, \(T[i]\) is the traffic transmission time in the \(i^{th}\) CFP and \(\alpha\) is called forgetting factor and shows how much we pay attention to the past data. The choice of \(\alpha\) is a trade off between algorithm precision and its delay. With greater \(\alpha\), estimation of the mean and the variance would be more prices, but the effect of the entrance of a new user to the WLAN cell is detected with more delay.
The mean and the standard deviation of the TTT can be broadcasted in WLAN cell by using a non-standard IE. Figure 2 shows this IE. In the 802.11 standard each IE has a variable length and is identified by ‘Element ID’ field.
| Element ID | Length | Standard deviation of CFP duration (msec) | Mean of CFP duration (msec) |
|------------|--------|------------------------------------------|-----------------------------|
| 2 Byte | 2 Byte | 1 Byte | 1 Byte |
Figure 2: Proposed IE for broadcasting traffic information.
Element IDs are reserved for future uses. One of them can be used for this non-standard IE.
If we assume the normal pdf for the TTT, we easily can estimate an upper bound so that TTT in the x percent of the CFPs is less than it.
\[
\text{bound} = Q^{-1}\left(\frac{x}{100}\right) \times \sigma + \text{avr}.
\]
(3)
Where \(Q^{-1}\) is the inverse of the standard normal cumulative density function, \(\sigma\) and \(\text{avr}\) are the standard deviation and the mean of the traffic transmission time. But as a matter of fact, the normal pdf is only an approximation for probability distribution of TTT and the estimation of the mean and variance is not very accurate. Therefore we should use a little higher bound to ensure that the estimated bound is equal or greater than actual bound and our algorithm works well. Our simulation results show that by using only 25% greater standard deviation, the estimated bound has satisfactory performance. So we use (4) to estimate the bound. When the network has high traffic load, this bound is not very different from what is estimated by normal pdf.
\[
\text{bound} = 1.25*Q^{-1}\left(\frac{x}{100}\right) \times \sigma + \text{avr}.
\]
(4)
By considering this bound, maximum packet size and the transmission rate, if the station selects this AP, it can be sure that x percent of the data packets could be sent in their due time.
The choice of the x is a trade-off between service requirements and user preference on the one hand, and network performance on the other. Some applications like VoIP can tolerate more frame loss. But some applications like video are more sensitive on frame loss. Users also have different preferences. For example, rather than using an expensive UMTS service, a user may prefer to pay less and use a WLAN access network that guarantees to transfer only 95% of the data frames. The network performance is another issue. When transferring of more data frames is required, fewer users can be accepted and WLAN performance in most of the time is bellow its maximum.
4 SIMULATION RESULTS
To study the performance of the proposed algorithm, we have used a simulation scenario, in which 80 UMTS users get into a WLAN cell. The entrance time of each user is randomly chosen from 1 second to 1200 seconds. The entire simulation duration is 3000 seconds.
The AP of the WLAN cell supports 802.11a standard. All UMTS users which want to connect to WLAN should support WLAN radio interface as they do in our simulation scenario. The transmission rate of the users can be different according to their radio link condition. We did not simulate the WLAN physical layer. So we randomly chose 18 Mbps or 24 Mbps as the user’s transmission rate to imitate the different radio link condition.
WLAN cell supports PCF for medium access. The CFP maximum duration is 50 msec and CFP announcement interval is 60 msec. Therefore, stations can use DCF for remaining 10 msec. CP was not explicitly simulated. We have used a constant 10 msec period plus a random variable chosen from [0, 1 msec] interval for CP to mimic the real conditions in which CFP inception can be delayed by CP.
All users have a bidirectional (up-link and down-link) real-time video session. Video streams are coded by H.263 standards with target rate of 64 Kbps. H.263, MPEG-4 and H.264 are three codecs which 3GPP recommends for conversational video services (3GPP, 2005b). For generating video traffic, we have used trace files that publicly can be accessed in http://trace.eas.asu.edu/trace/lvt.html.
Figure 3 shows the traffic transmission time for all CFPs. From this figure it is evident that since the instant values of the TTT are vastly different, it is not a viable criterion for network selection algorithm as it is used in (Hyun-woo, 2005) for AP selection.
Figure 4 shows the cumulative density function of the TTT, when there are 80 users in the WLAN cell. In this figure 95% and 99% of the CFPs have traffic transmission time less than 45 and 49.5 msec respectively. Therefore the actual upper bound for \(x = 95\) and \(x = 99\) is 45 and 49.5 msec respectively. The CFP maximum duration is 50 msec. As a result, if the maximum size of the packets generated by application is 1500 bytes, for sending 99% of the frames, more users can not be accepted. But for sending 95% of the frames in CFP, still more users can be accepted. So we can see that there is a trade off between network performance and service quality.
For estimating the mean and the variance of the traffic transmission time we have used (1) and (2) with $\alpha = 0.01$. Figure 5 shows the mean of the traffic transmission time. The mean increases when more users enter the WLAN cell and finally it reaches to about 36 msec. As mentioned previously, to send 99% of the frames, no new user can be accepted. Therefore the performance of the WLAN cell in many times is below its maximum. The source of this deficiency is the stochastic nature of video traffic.
We have used (4) to estimate the upper bound for traffic transmission time. As stated before, this bound is a little greater than what is predicted by normal pdf. In our simulated scenario, the standard deviation is about 4 msec and the mean is 36 msec, therefore the bound estimated by (4) is only 3% greater.
This bound for $x = 95$ is depicted in figure 6. Our simulation results show the estimated bound by a new user in 98.5% of cases will be equal or greater than its actual value, 45 msec. So in these cases, if the user selects WLAN as its access technology, he can transfer at least 95% of his frames. In only 4% of the cases, the estimated bound is larger than 48.5 msec. In these cases a user with maximum packet size of 1500 and transmission rate of 24 Mbps will not choose WLAN as its access network. In these cases our network selection algorithm has been wrongly too skeptical. But as one can see in this 4% of cases, only a small percent of the cell capacity remains idle. Thus, our network selection algorithm has an acceptable performance.
Figure 7 shows the estimated bound $x = 99$. Our results show that in 6.3% of the cases, new users wrongly estimate the bound less than its actual value, which is 49.5 msec. This estimated bound can be misleading for new users. For example in 2% of the cases, a new user will estimate that the bound is less than 49 msec, if the transmission rate of this user is 24 Mbps and the maximum packet size is 1000 byte, the network selection algorithm wrongly will choose the AP.
Our results show that the access delay is mainly bellow the CFP announcement period. Access delay is a function of network load, user’s place in the polling list and the characteristics of the traffic load generated by the user’s application. To demonstrate this issue, in figure 8 we have shown the access delay for three users which are placed in first, 50th and 80th row of the polling list.
From this figure we can see that the access delay of the first user in the polling list is mainly affected by his traffic load characteristics. Due to fact that polling frame for this station is sent after CFP inception. So network load can not affect the access delay. On the other hand, access delay of the last user in the polling list (user 80) is mainly affected by CFP traffic transmission time. By comparing access delay of this user with access delay of the 50th user in the polling list, we can infer that being in the end of the polling list does not mean that the station will have greater access delay.
As a result of being the last one to be polled, the last station has more chance to transfer its frame that has been generated in this CFP interval. Therefore
acceptable performance in measuring WLAN cell capabilities to accept the UMTS users.
**REFERENCES**
Salkintzis, A.K., Dimitriadis, G. et al., 2005. Seamless continuity of real-time video across UMTS and WLAN networks: challenges and performance evaluation. In *IEEE Wireless Communications*. Vol 12, Issue 3, pp 8 – 18
3GPP TS 22.934 v6.2.0, 2003. Feasibility study on 3GPP system to WLAN interworking (Release 6).
3GPP TS 23.234 v6.5.0, 2005a. 3GPP system to WLAN interworking; System Description (Release 6).
3GPP TS 26.235 V6.4.0, 2005b. Packet switched conversational multimedia applications; Default codecs (Released 6).
Qingyang, S., Jamalipour, A., 2005. Network selection in an integrated wireless LAN and UMTS environment using mathematical modeling and computing techniques. *IEEE Wireless Communications*. Vol 12, Issue 3, pp 42 – 48
Gustafsson, E., Jonsson, A., 2003. Always best connected. *IEEE Wireless Communications*. Vol 10, Issue 1pp 49 – 55
Yilmaz, O., Furuskar, A., Pettersson, J., Simonsson, A., 2005. Access Selection in WCDMA and WLAN Multi-Access Networks. *IEEE Vehicular Technology Conference*. Vol 4, pp 2220 – 2224
Hyun-woo, L., Se-han Kim et al., 2005. Performance of an efficient method for association admission control in public wireless LAN systems. *IEEE Vehicular Technology Conference*. Vol 7, pp 5049 – 5053
Rajavelsamy, R., Jeedigunta, V. et al., 2005. Performance evaluation of VoIP over 3G-WLAN interworking system. *IEEE Wireless Communications and Networking Conference*. Vol 4 pp 2312 – 2317
**5 CONCLUSION**
Next generation wireless networks will be multi-access networks. In these networks, a subscriber can use one of the access technologies to become always best connected (ABC) according to his requested service and network condition. Integration of UMTS and WLAN is a viable solution toward the next generation wireless networks. As we discussed in this paper, the network selection algorithm has a significant effect on the overall network performance. In this paper we proposed a method for measuring WLAN cell’s capabilities in such a way that enables the network selection algorithm to consider network condition, service requirement, and user preference to keep the user ABC.
We have used video traffic in order to study the performance of our proposed method. Simulation results show that the proposed method has
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The Gift of Pure Joy & a Grateful Heart
A Report of the Magic of the ACM Lifting Lives Music Camp 2009-2016
TO ALL WHO ARE PART OF ACM AND ACM LIFTING LIVES—
The generous gift of ACM Lifting Lives to the Vanderbilt Kennedy Center has been making magic happen in Nashville and beyond for eight wonderful years.
The impact of this gift has been extraordinary not only in the lives of the Music Campers with Williams syndrome and their families but also in the lives of the songwriters, musicians, producers, stage hands, audiences, and more.
In this report we attempt to share that impact so that ACM and ACM Lifting Lives can experience the significance of their gifts of funds and talent and time.
Above all, on behalf of our Campers and all of us at the Vanderbilt Kennedy Center, we want to express our deep gratitude to ACM and ACM Lifting Lives. “Thank you” does not begin to say it. If only our Music Campers could sing it!
Elisabeth Dykens, Ph.D.
Director of Vanderbilt Kennedy Center
Annette Schaffer Eskind Chair
It would take a book, your Camp means so much to us. Every aspect…. Mikey gets so much from every little piece of Camp…. It’s so amazing to witness the magic of the Lifting Lives Music Camp…. Every person involved with each stage from the minute we arrive until departure is incredible. The level of care and concern for our children is so evident.
~Parent of Camper
The ACM Lifting Lives Music Camp is a week-long residential program open to individuals with Williams syndrome who have a passion for music. They come from around the nation and even Canada.
The Camp has a dual purpose of studying Williams syndrome while providing music enrichment through performance and education.
Campers take part in a songwriting workshop and recording session, along with other music-oriented activities, culminating in a live performance on the world-famous Grand Ole Opry.
From 2009 to 2016, ACM Lifting Lives has funded the costs of the Camp in addition to providing scholarships to campers who would otherwise be unable to take part.
The ACM Lifting Lives Music Camp enables the Vanderbilt Kennedy Center in advancing its mission of improving the lives of individuals with developmental disabilities and their families through research, training, and service.
Williams syndrome is a rare genetic condition (estimated to occur in 1/7,500 births) that causes medical and developmental problems. It is associated with an unusual pattern of strengths and weaknesses in linguistic and cognitive profiles, as well as intellectual disability.
This is the only opportunity Jake has ever had to be with other individuals with Williams syndrome. His first year at camp was the first time either of us had met anyone else with Williams syndrome….Each person associated with the camp has such an incredibly generous spirit….Each year is better than the last….Thank you, thank you, thank you.
~Parent
IMPACT OF ACM LIFTING LIVES MUSIC CAMP
130 ACM Lifting Lives Scholarships awarded to campers who otherwise could not have attended.
27 Research staff trained, acquiring skills that will advance understanding of Williams syndrome and other intellectual and developmental disabilities.
32 Peer-reviewed articles reporting findings from research conducted during Camps published in scholarly journals.
1,000 Family members impacted as Campers learn life skills that improve families’ quality of life.
71 Camp counselors trained, learning professional skills and compassion.
2009 through 2016
239 Music Campers* served who came from 34 states and Canada.
Media coverage has increased each year, with credit to ACM’s Brooke Primero, PR & Marketing, and ACM staff. Music Camp 2014 included 10 TV spots; 34 print/online spots; 4,982,581 impressions, for an ad value of approximately $39,860.
*For research purposes, roughly half of each year’s campers return; thus, 129 individuals have attended.
LEARNING LIFE SKILLS THAT LEAD TO EMPLOYMENT
The rate of unemployment for adults with intellectual and developmental disabilities is significantly higher nationwide compared to that of adults without disabilities. With the support of ACM Lifting Lives Music Camp activities, Campers build independence and social skills. Highlights include:
- Camper who now works in the records department of a major insurance company
- Camper who sterilizes surgical equipment in a hospital
- Camper who now works at a music store in his hometown
- Camper who now gives tours of the Grand Ole Opry—and tells her tours that she has sung on the stage of the Grand Old Opry seven times as an ACM Lifting Lives Music Camper
HE FEELS SAFE AND SECURE AND GAINS A SENSE OF INDEPENDENCE AND SELF-CONFIDENCE. CAMP ENCOURAGES HIM TO TRY NEW THINGS AND ACCEPT RESPONSIBILITY.
~PARENT
HIS CONFIDENCE AND SELF-ESTEEM JUST SOARED!! HE LEARNED THAT GIVEN THE RIGHT OPPORTUNITY YOUR DREAMS CAN COME TRUE.
~PARENT
MUSIC CAMP HIGHLIGHTS AND ACM STAR VOLUNTEERS, 2009-2016
SONGWRITING
• Thom Schyler & LeAnn Rimes
• Chris Young & Brett James
• Gary Allan, Odie Blackmon, & Brett James
• Brett Eldredge & David Lee Murphy
• Dallas Davidson & Jerrod Niemann
• The Band Perry
• Ross Copperman & Heather Morgan
• Eric Paslay & Ross Copperman
PRODUCTION/RECORDING
• Blake Chancey, Westwood Sound Studio
• Frank Liddell, Javalina Studios
• Mark Bright & Carrie Underwood, Starstruck Studio
• Paul Worley & Luke Bryan, Ocean Way
• Ross Copperman & Jake Owen, Ocean Way
• Ross Copperman & Lee Brice, Ocean Way
• Ross Copperman & Hunter Hayes, Ocean Way
• Ross Copperman & Carrie Underwood, Ocean Way
OPRY PERFORMANCE
• Darius Rucker
• Big & Rich
• Jerrod Niemann
• Chris Janson
• Hunter Hayes
• Rascal Flatts
KAROKE
• Julianne Hough
• Wynonna
• Lauren Alaina
• Love and Theft
• Brett Eldredge
• The Swon Brothers
• Montgomery Gentry
IT’S MY FAVORITE DAY OF THE YEAR. I LOOK FORWARD TO THIS DAY MORE THAN ANYTHING. IT FILLS ME UP FOR THE REST OF THE YEAR.
~ROSS COPPERMAN
WILD HORSE SALOON
• Lauren Alaina
• The Swon Brothers
• JT Hodges
• Maddie & Tae
BLUEBIRD CAFÉ
• Casey James
• Scotty McCreery
• Maren Morris
AND OTHER FUN
• Little Big Town
• Jana Kramer
• RaeLynn
GIBSON GUITARS
Having the ACM Lifting Lives campers come visit us at the Gibson Custom Shop reminds us ALL what our purpose is – it is to make people happy with the most phenomenal guitar we can make! EVERYONE at the factory can’t help but smile at the campers who are enjoying the music played on the instruments we created with our own hands. It touches our hearts and makes all our hard work worth it!
~Maureen Garces, Gibson Custom Engineer
HATCH SHOW PRINTS
The kids make me a better person. Printing with the ACM campers takes me out of myself. They oughta charge us a therapy fee just to be around those beautiful creatures of God, cause they make us feel so good and remind us how graceful is the balance of life.
~Jim Sherraden, Master Printer and Archivist, Hatch Show Print
We make music because we love to make music, and they do, too. That spreads, and it’s very inspiring. It changes the spirit of your day, month, week, or year. Having that experience, I feel very fortunate. It was just incredible. That’s real music passion right there.
~Hunter Hayes
The ACM Lifting Lives Moment at the 46th Annual Academy of Country Music Awards, April 3, 2011, in Las Vegas, featured Darius Rucker and 25 ACM Lifting Lives Music Campers—and was broadcast to millions by CBS to the nation and world. Together they sang “Music from the Heart” composed by the Campers with professional singer-songwriters Chris Young and Brett James.
Three days after the broadcast, ACM Lifting Lives reported that media impressions were at 110,733,145 with an approximate advertising value of $887,968.
ACM staff received thanks you’s from every single family for this opportunity. They said that it was life changing and life affirming and the “nicest thing anyone has ever done” for them.
Families from all over the country emailed and posted comments on Facebook thanking ACM for showing how truly special people with disabilities are. Many said it was the first time they have seen such an uplifting display of special abilities.
Tim Shriver, Chair and CEO of Special Olympics, International, watched the live performance and said that it was inspiring and moving and a huge step for people with disabilities.
On July 28, 2015, Hunter Hayes and the Music Campers performed at a private reception in support of the 2015 Special Olympics World Games in Los Angeles (see photo below).
**PEOPLE WITH DISABILITIES OFTEN HAVE RARE ABILITIES, AND IN SOME CASES THOSE ABILITIES INVOLVE A SPECIAL TALENT OR AFFINITY FOR MUSIC. I AM HONORED TO JOIN ACM LIFTING LIVES AND THE VANDERBILT KENNEDY CENTER TO HIGHLIGHT HOW MUSIC CAN BETTER THE LIVES OF YOUNG PEOPLE WITH DEVELOPMENTAL DISABILITIES ON COUNTRY MUSIC’S BIGGEST NIGHT.**
~DARIUS RUCKER
RESPONSES TO ACM LIFTING LIVES MOMENT FROM AROUND THE NATION AND WORLD
• I want to thank you for what you do. I have a 4-year-old son. He had a stroke, seizures, was diagnosed with cerebral palsy. He is the sweetest boy you will ever see. He loves music. Doesn’t matter what it is. He stood up and listened to the song that was sung by Darius Rucker. He smiled and loved the song. There needs to be more for children with disabilities. God bless you all, keep him in your heart.
• It does my heart good to know there are so many who, like myself and our wonderful staff and volunteers, share the joy of working alongside our folks as we help to create opportunities for the best quality of life, give breath to their dreams, and stand as advocates for their rights and abilities. Thank you for tonight. I was moved to tears and filled with joy!
• I am from Melbourne, Australia. I have just been watching the ACM awards on YouTube—and have just seen Darius Rucker and a group of beautiful, inspirational people sing the most uplifting song. It bought me to tears. I am the mother of two special needs children (one with autism the other with Asperger’s), and music plays a huge part in their lives. I have been criticized over the years for encouraging this love of all things musical and have been told that they would both be better off playing a team sport. I commend you on doing all you can to bring music into the lives of these special people….Please keep up the awesome work.
ACM LIFTING LIVES MUSIC CAMP IS UNIQUE IN ITS ROLE IN DISCOVERY
The Camp provides invaluable opportunities to understand Williams syndrome and other developmental disabilities. It is the only camp of its kind to incorporate research aimed at understanding the musical passion common in persons with Williams syndrome while also studying other aspects like anxiety.
Vanderbilt Kennedy Center (VKC) researchers have identified novel ways to alleviate anxiety in Williams syndrome. Mindfulness techniques were taught to Campers. They then incorporated these techniques into their daily home routines. This intervention significantly decreased anxiety and stress, and a hormone associated with stress. Such interventions also can help individuals with other developmental disorders.
Because youth and adults with developmental disabilities are at increased risk for abuse and exploitation, a VKC researcher developed a program to teach self-protection skills during Camp. Researchers found that persons with Williams syndrome can successfully learn safety skills without compromising their friendly, empathic personalities. This paves the way for safety training in other developmental disorders.
Using imaging techniques to “see” brain activity has led to new understandings of how and why those with Williams syndrome are so attracted to music, and of music’s ability to reduce anxiety and to increase well-being.
I have developed a strong line of research related to the social behaviors of adults with Williams syndrome. The research that was made possible through this camp has been shared with countless families of adults with this syndrome across the country. I am indebted to the ACM Lifting Lives Music Camp for the impact it has made on my career, my life, and on the lives of the countless individuals who have participated throughout the years.
~Marisa Fisher, Ph.D., Assistant Professor of Counseling, Educational Psychology, & Special Education, Michigan State University
AGENDA FOR THE FUTURE—MUSIC IS A HEALER
The partnership of the Academy of Country Music and ACM Lifting Lives with the Vanderbilt Kennedy Center has been life-changing for all touched by this truly unique annual Music Camp that blends service, research, and training.
Through your philanthropy, the musical magic of annual ACM Lifting Lives Music Camps could continue.
The visionary leadership of ACM and ACM Lifting Lives demonstrates the power of philanthropy in expanding knowledge and advancing interventions to improve quality of life for persons with developmental disabilities and their families.
We welcome a new opportunity to explore with you creative ways to bring the extraordinary musical gifts of the ACM community in order to expand our impact beyond Williams syndrome to autism spectrum disorder (ASD) or other developmental disabilities.
ASD is a common, lifelong condition that is now documented to affect 1 in 68 children, affecting many families in the ACM music community.
The Vanderbilt Kennedy Center and its Treatment and Research Institute for Autism Spectrum Disorders (TRIAD) are national leaders in ASD early diagnosis, early intervention and education, supports for families, innovative treatment approaches, training professionals, and partnering with community musical and other cultural organizations to include families who have children with autism.
ACM and ACM Lifting Lives and the Vanderbilt Kennedy Center could build on our success with Williams syndrome and develop innovative, high-profile, music-related programming and research for children and adults with autism and other developmental disabilities.
With the generous philanthropy of ACM and ACM Lifting Lives, together we can continue to be transformative leaders who are advancing the understanding of music’s healing powers for ALL.
HEART TO HEART*
In my eyes, do you see something different?
Well, tell me what it is- that you see.
I believe you’d understand me better
If you’d take the time to stop and look at me.
Heart to heart
We’re all the same
We all love to sing and dance and laugh everyday
Soul to soul
I’m just like you
I have hopes and plans and dreams just like you do
I’ll always hold you close no matter who you are.
Heart to heart
Music is a powerful connection
It’s a part of you, yeah, it’s a part of me
A song can knock down walls and build some bridges
And take us all where we want to be.
Heart to heart.
We’re all the same
We all love to sing and dance and laugh everyday
Soul to soul
I’m just like you
I have hopes and plans and dreams just like you do
I’ll always hold you close no matter who you are.
*Composed by ACM Lifting Lives Music Campers with Terry McBride and Marv Green
At the Vanderbilt Kennedy Center, science brings hope for persons with developmental disabilities and their families. We focus on genetic syndromes, autism, learning disabilities, and more. We help train the next generation of researchers, health care professionals, teachers, and service providers. Contact: vkc.mc.vanderbilt.edu, email@example.com, (615) 322-8240.
Our Center is one of only a few in the nation to have all three major components of the national DD network: a Eunice Kennedy Shriver Intellectual and Developmental Disabilities Research Center, a University Center for Excellence in Developmental Disabilities, and a Leadership Education in Neurodevelopmental Disabilities training program—as well as the VKC Treatment and Research Institute for Autism Spectrum Disorders (TRIAD).
Photos by Getty Images, Courtesy of ACM Lifting Lives
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